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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 225.17 | 07/20/2021 | A | 987 | 01/20/2022 | 07/20/2031 | Class 1 (convertible) Common Stock | 987.00 | $ 0 | 987 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 225.17 | 01/20/2022 | 07/20/2031 | Class 1 (convertible) Common Stock | 987.00 | 987 | I | James A. Locke III Revocable Trust (3) (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LOCKE JAMES A III C/O CONSTELLATION BRANDS, INC. 207 HIGH POINT DRIVE, BUILDING 100 VICTOR, NY 14564 |
X |
/s/Barbara J. LaVerdi, Attorney-in-fact | 07/22/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares reported herein were granted on July 20, 2021 in the form of restricted stock units. The restricted stock units vest on July 10, 2022. |
(2) | Reflects a change in beneficial ownership of 567 shares of Class A Common Stock from direct to indirect. On July 21, 2021, the reporting person transferred 567 Shares to the James A. Locke III Revocable Trust. |
(3) | Held by the James A. Locke III Revocable Trust, of which the reporting person serves as trustee and is the sole beneficiary. |
(4) | Reflects a change in beneficial ownership of the reported Non-Qualified Stock Options from direct to indirect. On July 21, 2021, the reporting person transferred the Non-Qualified Stock Options to the James A. Locke III Revocable Trust. |