Form 3 Monteiro Mallika

Initial statement of beneficial ownership of securities

Published: 2019-10-11 16:35:48
Submitted: 2019-10-11
Period Ending In: 2019-10-02
wf-form3_157082612606161.html FORM 3


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SEC FORM 3

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Monteiro Mallika

(Last) (First) (Middle)
C/O CONSTELLATION BRANDS, INC.
207 HIGH POINT DRIVE, BUILDING 100

(Street)
VICTOR NY 14564

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/02/2019
3. Issuer Name and Ticker or Trading Symbol
CONSTELLATION BRANDS, INC. [ STZ ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Chief Growth&Strategy Off
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 312 D
Class A Common Stock 1 I By husband
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Non-Qualified Stock Option (right to buy) 11/30/2017(1) 11/30/2026 Class 1 (convertible) Common Stock 942 151.14 D
Non-Qualified Stock Option (right to buy) 04/21/2018(1) 04/21/2027 Class 1 (convertible) Common Stock 954 172.09 D
Non-Qualified Stock Option (right to buy) 04/23/2019(1) 04/23/2028 Class 1 (convertible) Common Stock 1,260 228.26 D
Non-Qualified Stock Option (right to buy) 04/23/2020(1) 04/23/2029 Class 1 (convertible) Common Stock 2,461 207.48 D
Restricted Stock Units 05/01/2020(2) 05/01/2020(2) Class A Common Stock 39 (3) D
Restricted Stock Units 05/01/2020(4) 05/01/2021(4) Class A Common Stock 74 (3) D
Restricted Stock Units (5) 05/01/2021(5) Class A Common Stock 212 (3) D
Restricted Stock Units 05/01/2020(6) 05/01/2022(6) Class A Common Stock 136 (3) D
Restricted Stock Units 05/01/2020(7) 05/01/2023(7) Class A Common Stock 256 (3) D
Explanation of Responses:
1. This option becomes exercisable at the rate of 25% per year beginning on the date specified.
2. These restricted stock units vest on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
3. Each restricted stock unit represents a contingent right to receive one share of Constellation Brands, Inc. Class A Common Stock.
4. These restricted stock units vest in two equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
5. These restricted stock units vest as follows: one-third on May 1, 2020 and the remaining two-thirds on May 1, 2021. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
6. These restricted stock units vest in three equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
7. These restricted stock units vest in four equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
Remarks:
/s/ Mallika Monteiro 10/10/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
1
wf-form3_157082612606161.xml FORM 3
Schema Version:
X0206
Document Type:
3
Period Of Report:
2019-10-02
No Securities Owned:
0

Issuer

Issuer Cik
0000016918
Issuer Name
CONSTELLATION BRANDS, INC.
Issuer Trading Symbol
STZ

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001790492
Rpt Owner Name
Monteiro Mallika

Reporting Owner Address

Rpt Owner Street1
C/O CONSTELLATION BRANDS, INC.
Rpt Owner Street2
207 HIGH POINT DRIVE, BUILDING 100
Rpt Owner City
VICTOR
Rpt Owner State
NY
Rpt Owner Zip Code
14564

Reporting Owner Relationship

Is Director
0
Is Officer
1
Is Ten Percent Owner
0
Is Other
0
Officer Title
EVP, Chief Growth&Strategy Off

Non Derivative Holding

Security Title
Class A Common Stock
Shares Owned Following Transaction
312
Direct Or Indirect Ownership
D
Security Title
Class A Common Stock
Shares Owned Following Transaction
1

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
By husband

Derivative Holding

Security Title
Non-Qualified Stock Option (right to buy)
Conversion Or Exercise Price
151.14

Exercise Date

Value
2017-11-30
@attributes Id
F1
Expiration Date
2026-11-30

Underlying Security

Underlying Security Title
Class 1 (convertible) Common Stock
Underlying Security Shares
942.0
Direct Or Indirect Ownership
D
Security Title
Non-Qualified Stock Option (right to buy)
Conversion Or Exercise Price
172.09

Exercise Date

Value
2018-04-21
@attributes Id
F1
Expiration Date
2027-04-21

Underlying Security

Underlying Security Title
Class 1 (convertible) Common Stock
Underlying Security Shares
954.0
Direct Or Indirect Ownership
D
Security Title
Non-Qualified Stock Option (right to buy)
Conversion Or Exercise Price
228.26

Exercise Date

Value
2019-04-23
@attributes Id
F1
Expiration Date
2028-04-23

Underlying Security

Underlying Security Title
Class 1 (convertible) Common Stock
Underlying Security Shares
1260.0
Direct Or Indirect Ownership
D
Security Title
Non-Qualified Stock Option (right to buy)
Conversion Or Exercise Price
207.48

Exercise Date

Value
2020-04-23
@attributes Id
F1
Expiration Date
2029-04-23

Underlying Security

Underlying Security Title
Class 1 (convertible) Common Stock
Underlying Security Shares
2461.0
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F3

Exercise Date

Value
2020-05-01
@attributes Id
F2

Expiration Date

Value
2020-05-01
@attributes Id
F2

Underlying Security

Underlying Security Title
Class A Common Stock
Underlying Security Shares
39.0
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F3

Exercise Date

Value
2020-05-01
@attributes Id
F4

Expiration Date

Value
2021-05-01
@attributes Id
F4

Underlying Security

Underlying Security Title
Class A Common Stock
Underlying Security Shares
74.0
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F3
@attributes Id
F5

Expiration Date

Value
2021-05-01
@attributes Id
F5

Underlying Security

Underlying Security Title
Class A Common Stock
Underlying Security Shares
212.0
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F3

Exercise Date

Value
2020-05-01
@attributes Id
F6

Expiration Date

Value
2022-05-01
@attributes Id
F6

Underlying Security

Underlying Security Title
Class A Common Stock
Underlying Security Shares
136.0
Direct Or Indirect Ownership
D
Security Title
Restricted Stock Units
@attributes Id
F3

Exercise Date

Value
2020-05-01
@attributes Id
F7

Expiration Date

Value
2023-05-01
@attributes Id
F7

Underlying Security

Underlying Security Title
Class A Common Stock
Underlying Security Shares
256.0
Direct Or Indirect Ownership
D

Footnote

0
This option becomes exercisable at the rate of 25% per year beginning on the date specified.
1
These restricted stock units vest on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
2
Each restricted stock unit represents a contingent right to receive one share of Constellation Brands, Inc. Class A Common Stock.
3
These restricted stock units vest in two equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
4
These restricted stock units vest as follows: one-third on May 1, 2020 and the remaining two-thirds on May 1, 2021. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
5
These restricted stock units vest in three equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.
6
These restricted stock units vest in four equal annual installments beginning on the date specified. Vested shares will be delivered to the reporting person as of each vesting date net of shares withheld to satisfy taxes.

Owner Signature

Signature Name
/s/ Mallika Monteiro
Signature Date
2019-10-10
poa-mallikamonteiro.htm POWER OF ATTORNEY


> ENT> EX-24 2 poa-mallikamonteiro.htm POWER OF ATTORNEY
POWER OF ATTORNEY

KNOW ALL BY THESE PRESENTS, THAT THE UNDERSIGNED HEREBY CONSTITUTES AND APPOINTS EACH OF H. ELAINE ZIAKAS, BRIAN S. BENNETT, AND BARBARA J. LAVERDI, SIGNING SINGLY, THE UNDERSIGNED'S TRUE AND LAWFUL ATTORNEY-IN-FACT TO:

(1)  prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 (the "Exchange Act") or any rule or regulation of the SEC;

(2)  execute for and on behalf of the undersigned, in the undersigned's capacity as a reporting person under Section 16 of the Securities Exchange Act of 1934 and the rules thereunder, all Forms 3, 4, and 5 (including any amendments thereto) that the undersigned may be required to file with the U.S. Securities and Exchange Commission as a result of the undersigned's ownership of or transactions in securities of Constellation Brands, Inc. (the "Company");

(3)  do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5 (including any amendments thereto) and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(4)  take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

The execution of this Power of Attorney in no way revokes or rescinds any prior authorizations or designations given by the undersigned with respect to the undersigned's responsibilities under the Securities Exchange Act of 1934, including, but not limited to, the execution and filing of Forms 3, 4, and 5 (including any amendments thereto) that the undersigned may be required to file with the U.S. Securities and Exchange Commission as a result of the undersigned's ownership of or transactions in securities of the Company.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of
October 4, 2019.


/s/ Mallika Monteiro
Mallika Monteiro

WITNESS:

Signature: /s/ Linda Puglise

Name: Linda Puglise

Date:  October 4, 2019

Additional Files
FileSequenceDescriptionTypeSize
0000016918-19-000106.txt   Complete submission text file   20144
$STZ

© 2019 SEC.report
SEC CFR Title 17 of the Code of Federal Regulations.