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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 | ||||||||
Class B (convertible) Common Stock | (5) | 04/26/2018 | J(1) | 61,144 | (5) | (5) | Class A Common Stock | 61,144 | (1) | 8,073,856 (2) | I | by A&Z 2015 Business Holdings LP (3) | |||
Class B (convertible) Common Stock | (5) | 04/26/2018 | J(1) | 183,432 | (5) | (5) | Class A Common Stock | 183,432 | (1) | 0 | I | by MAS Business Holdings LP (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STERN ZACHARY M C/O CONSTELLATION BRANDS, INC. 207 HIGH POINT DRIVE, BUILDING 100 VICTOR, NY 14564 |
X |
/s/ Thomas M. Farace, Attorney-in-Fact | 04/30/2018 | |
**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) | On April 26, 2018, A&Z 2015 Business Holdings LP ("A&Z Holdings") and two other affiliated limited partnerships, each exchanged, on a one-for-one basis, 61,144 shares of Class A Common Stock for 61,144 shares of Class B Common Stock with MAS Business Holdings LP ("MAS Holdings"). |
(2) | Except to the extent that the reporting person has a direct or indirect pecuniary interest in securities owned by the applicable trust, partnership or limited liability company, the reporting person disclaims beneficial ownership with respect to securities held in this manner. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or any other purpose. |
(3) | Held by A&Z Holdings. A&Z 2015 business Management LLC ("A&Z Management") is a co-general partner of A&Z Holdings, holding a .0249% general partner interest. The reporting person indirectly holds limited partner interests in A&Z Holdings and is a member of A&Z Management. |
(4) | MAS Holdings is a limited partnership and MAS Business Management LLC ("MAS Management") is its co-general partner. MAS Management holds a .0319% general partner interest in MAS Holdings. Abby & Zach Holdings LLC ("Abby & Zach Holdings") holds a 33.3% interest in MAS Management. The reporting person is a member and co-manager of Abby & Zach Holdings. |
(5) | Shares of Class B Common Stock are convertible into shares of Class A Common Stock of the Issuer on a one-to-one basis at any time at the option of the holder. The ticker symbol for Class B Common Stock is STZ.B. |
Remarks: The reporting person resigned as a Trustee of the Marilyn Sands Master Trust, and therefore, no longer reports shares held by such Trust. |