Deputy General Counsel & Asst. Secretary

0000021175-13-000046.txt : 20131115 0000021175-13-000046.hdr.sgml : 20131115 20131114174130 ACCESSION NUMBER: 0000021175-13-000046 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131115 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CNA FINANCIAL CORP CENTRAL INDEX KEY: 0000021175 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 366169860 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-00346 FILM NUMBER: 131221705 BUSINESS ADDRESS: STREET 1: CNA STREET 2: 333 S. WABASH CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3128225000 MAIL ADDRESS: STREET 1: CNA STREET 2: 333 S. WABASH CITY: CHICAGO STATE: IL ZIP: 60604 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000021175 XXXXXXXX 09-30-2013 09-30-2013 CNA FINANCIAL CORP

CNA 333 S. Wabash CHICAGO IL 60604

13F HOLDINGS REPORT 028-00346 Y Assets reported herein are described as having shared investment discretion among Loews Corporation, CNA Financial Corporation, The Continental Corporation and Continental Casualty Company. Each of the foregoing entities specifically disclaims ownership of any securities in this report which are not beneficially owned by that entity and states that such assets are solely under the control of its board of directors. The characterization of shared investment discretion with parent holding companies is made solely as a consequence of SEC interpretations regarding control of the subsidiary through share ownership. Loews Corporation owns approximately 90% of the outstanding shares of CNA Financial Corporation; CNA Financial Corporation owns 100% of the outstanding shares of The Continental Corporation; and The Continental Corporation owns 100% of the outstanding shares of Continental Casualty Company. Loews Corporation will report separately on securities over which it has investment discretion which are not part of this report. Stathy Darcy Deputy General Counsel & Asst. Secretary 312-822-3742 /s/ Stathy Darcy Chicago IL 11-14-2013 3 193 495581 false 1 28-217 Loews Corporation 2 28-172 The Continental Corporation 3 28-387 Continental Casualty Company INFORMATION TABLE 2 q313form13fhrinformation.xml INFORMATION TABLE ABBOTT LABORATORIES COM 002824100 920 27725 SH DFND 1,2,3 0 27725 0 ACTUANT CORP-CL A CL A 00508X203 1504 38725 SH DFND 1,2,3 0 38725 0 AEROPOSTALE INC COM 007865108 881 93750 SH DFND 1,2,3 0 93750 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1391 45572 SH DFND 1,2,3 0 45572 0 ALLERGAN INC COM 018490102 965 10665 SH DFND 1,2,3 0 10665 0 AMERICAN ELECT PWR INC COM 025537101 267 6154 SH DFND 1,2,3 0 6154 0 AMERICAN EQUITY INVT LIFE HL COM 025676206 1590 74950 SH DFND 1,2,3 0 74950 0 AMERICAN INTERNATIONAL GROUP COM NEW 026874784 3146 64700 SH DFND 1,2,3 0 64700 0 AMERICAN REPROGRAPHICS CO COM 00191G103 598 130375 SH DFND 1,2,3 0 130375 0 ANADARKO PETROLEUM CORP COM 032511107 13914 149626 SH DFND 1,2,3 0 149626 0 ANIXTER INTERNATIONAL INC COM 035290105 1468 16750 SH DFND 1,2,3 0 16750 0 AON CORP SHS CL A G0408V102 744 10000 SH DFND 1,2,3 0 10000 0 APACHE CORP COM 037411105 5534 65000 SH DFND 1,2,3 0 65000 0 APPLE COMPUTER INC COM 037833100 1180 2475 SH DFND 1,2,3 0 2475 0 ARGAN INC COM 04010E109 337 15351 SH DFND 1,2,3 0 15351 0 ARGO GROUP INTERNATIONAL COM G0464B107 1805 42075 SH DFND 1,2,3 0 42075 0 ARRIS CORP COM 04270V106 508 29800 SH DFND 1,2,3 0 29800 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 1662 45800 SH DFND 1,2,3 0 45800 0 ASSURANT INC COM 04621X108 8321 153800 SH DFND 1,2,3 0 153800 0 AVNET INC COM 053807103 4104 98400 SH DFND 1,2,3 0 98400 0 BABCOCK & WILCOX CO/THE COM 05615F102 948 28121 SH DFND 1,2,3 0 28121 0 BAKER HUGHES INC COM 057224107 2828 57600 SH DFND 1,2,3 0 57600 0 BANCORPSOUTH INC COM 059692103 1613 80905 SH DFND 1,2,3 0 80905 0 BANK OF AMERICA CORP COM 060505104 2015 146050 SH DFND 1,2,3 0 146050 0 BANK OF NEW YORK COM 064058100 2023 67012 SH DFND 1,2,3 0 67012 0 BARNES & NOBLE INC COM 067774109 971 75041 SH DFND 1,2,3 0 75041 0 BARRICK GOLD CORP COM 067901108 2853 153241 SH DFND 1,2,3 0 153241 0 BBCN BANCORP INC COM 073295107 1403 102050 SH DFND 1,2,3 0 102050 0 BECTON DICKINSON & CO COM 075887109 1763 17625 SH DFND 1,2,3 0 17625 0 BLUEKNIGHT ENERGY PARTNERS LP COM UNIT 09625U109 2591 315610 SH DFND 1,2,3 0 315610 0 BOEING COMPANY COM 097023105 7344 62500 SH DFND 1,2,3 0 62500 0 BP PLC-SPONS ADR SPONSORED ADR 055622104 3626 86282 SH DFND 1,2,3 0 86282 0 BRADY CORPORATION - CL A CL A 104674106 1536 50350 SH DFND 1,2,3 0 50350 0 CABOT OIL & GAS CORP -CL A COM 127097103 2351 63000 SH DFND 1,2,3 0 63000 0 CAL DIVE INTERNATIONAL INC COM 12802T101 619 301800 SH DFND 1,2,3 0 301800 0 CALLAWAY GOLF COMPANY COM 131193104 288 40500 SH DFND 1,2,3 0 40500 0 CAPITAL LEASE FUNDING INC COM 140288101 1308 154081 SH DFND 1,2,3 0 154081 0 CAPITAL PRODUCT PARTNERS LP COM UNIT Y11082107 1390 154394 SH DFND 1,2,3 0 154394 0 CARPENTER TECHNOLOGY COM 144285103 901 15500 SH DFND 1,2,3 0 15500 0 CASH AMERICA INTL INC COM 14754D100 290 6400 SH DFND 1,2,3 0 6400 0 CASTLE (A.M.) & CO COM 148411101 715 44400 SH DFND 1,2,3 0 44400 0 CHEMED CORP COM 16359R103 1208 16900 SH DFND 1,2,3 0 16900 0 CISCO SYSTEMS INC COM 17275R102 1640 70000 SH DFND 1,2,3 0 70000 0 CITIGROUP INC COM 172967424 5690 117291 SH DFND 1,2,3 0 117291 0 COCA COLA CO COM 191216100 629 16600 SH DFND 1,2,3 0 16600 0 COLUMBUS MCKINNON CORP/NY COM 199333105 348 14485 SH DFND 1,2,3 0 14485 0 COMCAST CORP CL A SPL CL A 20030N200 8670 200000 SH DFND 1,2,3 0 200000 0 CONSECO INC COM 12621E103 2052 142500 SH DFND 1,2,3 0 142500 0 CON-WAY INC COM 205944101 1796 41675 SH DFND 1,2,3 0 41675 0 CRAY INC COM NEW 225223304 2428 100908 SH DFND 1,2,3 0 100908 0 CVR PARTNERS LP COM 126633106 4248 240000 SH DFND 1,2,3 0 240000 0 DANA HOLDING CORP COM 235825205 1378 60324 SH DFND 1,2,3 0 60324 0 DEERE & CO COM 244199105 4883 60000 SH DFND 1,2,3 0 60000 0 DELL COMPUTER CORP COM 24702R101 1036 75325 SH DFND 1,2,3 0 75325 0 DELPHI AUTOMOTIVE PLC SHS G27823106 2033 34800 SH DFND 1,2,3 0 34800 0 DELTA AIR LINES INC COM NEW 247361702 6477 274555 SH DFND 1,2,3 0 274555 0 DENBURY RESOURCES INC COM 247916208 2854 155000 SH DFND 1,2,3 0 155000 0 DEVON ENERGY CORP COM 25179M103 5316 92035 SH DFND 1,2,3 0 92035 0 DIAMONDROCK HOSPITALITY CO COM 252784301 1129 105771 SH DFND 1,2,3 0 105771 0 DIODES INC COM 254543101 1506 61450 SH DFND 1,2,3 0 61450 0 EATON CORP PLC SHS G29183103 3823 55540 SH DFND 1,2,3 0 55540 0 EMC CORPORATION COM 268648102 1534 60000 SH DFND 1,2,3 0 60000 0 ENBRIDGE ENERGY PARTNERS LP COM 29250R106 6699 220000 SH DFND 1,2,3 0 220000 0 ENDO HEALTH SOLUTIONS INC COM 29264F205 736 16200 SH DFND 1,2,3 0 16200 0 ENERGY TRANSFER EQUITY LP COM UNIT 29273V100 2138 32500 SH DFND 1,2,3 0 32500 0 ENGILITY HOLDINGS INC - W/I COM 29285W104 1291 40680 SH DFND 1,2,3 0 40680 0 ENSCO INTERNATIONAL INC SHS CL A G3157S106 3225 60000 SH DFND 1,2,3 0 60000 0 EXXON MOBIL CORP COM 30231G102 1536 17850 SH DFND 1,2,3 0 17850 0 EZCORP INC-CL A CL A 302301106 808 47900 SH DFND 1,2,3 0 47900 0 FEDEX CORPORATION COM 31428X106 9528 83500 SH DFND 1,2,3 0 83500 0 FIRST CITIZENS BCSHS -CL A CL A 31946M103 605 2945 SH DFND 1,2,3 0 2945 0 FIRST MIDWEST BANCORP INC/IL COM 320867104 625 41425 SH DFND 1,2,3 0 41425 0 GENERAL MOTORS-CW16 WARRANT 37045V118 1442 54576 SH DFND 1,2,3 0 1441898 0 GENTIVA HEALTH SERVICES COM 37247A102 463 38491 SH DFND 1,2,3 0 38491 0 GLOBAL CASH ACCESS INC COM 378967103 1109 142016 SH DFND 1,2,3 0 142016 0 GOLDMAN SACHS GROUP INC COM 38141G104 2385 15075 SH DFND 1,2,3 0 15075 0 GOOGLE INC-CL A CL A 38259P508 2912 3325 SH DFND 1,2,3 0 3325 0 GOVERNMENT PROPERTIES INCOME COM SHS BEN INT 38376A103 586 24500 SH DFND 1,2,3 0 24500 0 GRANITE REAL ESTATE INVESTMENT TRST UNIT 387437114 1116 31300 SH DFND 1,2,3 0 31300 0 GREAT PLAINS ENERGY INC COM 391164100 460 20700 SH DFND 1,2,3 0 20700 0 GRIFFON CORPORATION COM 398433102 1128 89919 SH DFND 1,2,3 0 89919 0 HARSCO CORP COM 415864107 1703 68400 SH DFND 1,2,3 0 68400 0 HARTE-HANKS INC COM 416196103 1304 147625 SH DFND 1,2,3 0 147625 0 HEALTH MGMT ASSOCIATES INC-A CL A 421933102 1887 147390 SH DFND 1,2,3 0 147390 0 HERMAN MILLER INC COM 600544100 790 27075 SH DFND 1,2,3 0 27075 0 HESS CORP COM 42809H107 916 11850 SH DFND 1,2,3 0 11850 0 HEWLETT-PACKARD CO. COM 428236103 5153 245505 SH DFND 1,2,3 0 245505 0 HOSPITALITY PROPERTIES TRUST COM SHS 44106M102 2198 77675 SH DFND 1,2,3 0 77675 0 HUNTINGTON INGALLS INDUSTRIES COM 446413106 315 4675 SH DFND 1,2,3 0 4675 0 ICONIX BRAND GROUP INC COM 451055107 874 26300 SH DFND 1,2,3 0 26300 0 ING US INC COM 45685E106 1948 66675 SH DFND 1,2,3 0 66675 0 INGERSOLL RAND CO SHS G47791101 1130 17405 SH DFND 1,2,3 0 17405 0 INGRAM MICRO INC-CL A CL A 457153104 1782 77300 SH DFND 1,2,3 0 77300 0 Inorg Chem Nec COM 45768S105 10869 58695 SH DFND 1,2,3 0 58695 0 INSIGHT ENTERPRISES INC COM 45765U103 1115 58968 SH DFND 1,2,3 0 58968 0 INTERNATIONAL BUSINESS MACHINE COM 459200101 961 20598 SH DFND 1,2,3 0 20598 0 INTERVAL LEISURE GROUP COM 46113M108 202 8568 SH DFND 1,2,3 0 8568 0 INVESCO LTD SHS G491BT108 2531 79350 SH DFND 1,2,3 0 79350 0 JOHNSON & JOHNSON COM 478160104 4920 56750 SH DFND 1,2,3 0 56750 0 JONES APPAREL GROUP INC COM 48020T101 1326 88334 SH DFND 1,2,3 0 88334 0 JPMORGAN CHASE & COMPANY COM 46625H100 8848 171175 SH DFND 1,2,3 0 171175 0 KAISER ALUMINUM CORP COM 483007704 691 9700 SH DFND 1,2,3 0 9700 0 KAPSTONE PAPER AND PACKAGING COM 48562P103 287 6700 SH DFND 1,2,3 0 6700 0 L-3 COMMUNICATIONS CORP COM 502424104 2306 24400 SH DFND 1,2,3 0 24400 0 LABORATORY CRP OF AMER HLDGS COM NEW 50540R409 1809 18250 SH DFND 1,2,3 0 18250 0 LEGG MASON INC COM 524901105 2870 85825 SH DFND 1,2,3 0 85825 0 LENNAR CORP - B SHS CL B 526057302 584 20380 SH DFND 1,2,3 0 20380 0 LEXMARK INTL GROUP INC-CL A CL A 529771107 531 16100 SH DFND 1,2,3 0 16100 0 LINCOLN NATIONAL CORP INDIANA COM 534187109 8524 203000 SH DFND 1,2,3 0 203000 0 MARKWEST ENERGY PARTNERS LP UNIT LP 570759100 3612 50000 SH DFND 1,2,3 0 50000 0 MASONITE INTERNATIONAL CORP COM 575385109 1727 35300 SH DFND 1,2,3 0 35300 0 MATTHEWS INTL CORP-CLASS A CL A 577128101 1043 27400 SH DFND 1,2,3 0 27400 0 MEDTRONIC INC COM 585055106 1101 20680 SH DFND 1,2,3 0 20680 0 MERCK & CO. INC. COM 58933Y105 3259 68459 SH DFND 1,2,3 0 68459 0 METLIFE INC COM 59156R108 6051 128875 SH DFND 1,2,3 0 128875 0 MICROSOFT CORP COM 594918104 18278 549220 SH DFND 1,2,3 0 549220 0 MILLER INDUSTRIES INC/TENN COM 600551204 276 16262 SH DFND 1,2,3 0 16262 0 MONSTER WORLDWIDE INC COM 611742107 710 160675 SH DFND 1,2,3 0 160675 0 MORGAN ST DEAN WITTER DISCOV COM 617446448 1955 72550 SH DFND 1,2,3 0 72550 0 MUELLER WATER PRODUCTS INC-A COM 624758108 1160 145225 SH DFND 1,2,3 0 145225 0 NATL PENN BCSHS INC COM 637138108 1271 126475 SH DFND 1,2,3 0 126475 0 NELNET INC-CL A CL A 64031N108 331 8600 SH DFND 1,2,3 0 8600 0 NEWMONT MINING CORP COM 651639106 915 32565 SH DFND 1,2,3 0 32565 0 NEWS CORP - CLASS A CL A 65249B109 2289 142510 SH DFND 1,2,3 0 142510 0 NEWS CORP - CLASS B CL B 65249B208 1902 115750 SH DFND 1,2,3 0 115750 0 NOVAGOLD RESOURCES INC COM NEW 66987E206 101 43627 SH DFND 1,2,3 0 43627 0 NRG ENERGY INC COM NEW 629377508 941 34446 SH DFND 1,2,3 0 34446 0 NV ENERGY INC COM 67073Y106 640 27100 SH DFND 1,2,3 0 27100 0 OCCIDENTAL PETROLEUM COM 674599105 10948 117045 SH DFND 1,2,3 0 117045 0 OCEAN RIG UDW INC SHS Y64354205 680 37344 SH DFND 1,2,3 0 37344 0 OMNICOM GROUP COM 681919106 2076 32725 SH DFND 1,2,3 0 32725 0 ORACLE CORP COM 68389X105 17537 528695 SH DFND 1,2,3 0 528695 0 OWENS CORNING COM 690742101 2414 63550 SH DFND 1,2,3 0 63550 0 P G & E CORPORATION COM 69331C108 1876 45834 SH DFND 1,2,3 0 45834 0 PACIFIC ETHANOL INC COM 69423U305 140 40000 SH DFND 1,2,3 0 40000 0 PARK STERLING CORP COM 70086Y105 589 91866 SH DFND 1,2,3 0 91866 0 PARKER HANNIFIN CORP COM 701094104 2079 19125 SH DFND 1,2,3 0 19125 0 PARTNERRE LTD COM G6852T105 2137 23350 SH DFND 1,2,3 0 23350 0 PBF ENERGY INC CL A 69318G106 2090 93100 SH DFND 1,2,3 0 93100 0 PETROLOGISTICS LP UNIT LTD PTH INT 71672U101 3253 272000 SH DFND 1,2,3 0 272000 0 PFIZER INC COM 717081103 12555 437071 SH DFND 1,2,3 0 437071 0 PHH CORP COM 693320202 1142 48100 SH DFND 1,2,3 0 48100 0 PHOTOMEDEX INC COM 719358301 1666 104770 SH DFND 1,2,3 0 104770 0 PIONEER NATURAL RESOURCES CO COM 723787107 7552 40000 SH DFND 1,2,3 0 40000 0 PIPER JAFFRAY COS COM 724078100 652 19000 SH DFND 1,2,3 0 19000 0 PNC FINANCIAL CORP COM 693475105 2365 32644 SH DFND 1,2,3 0 32644 0 PORTLAND GENERAL ELECTRIC COM 736508847 288 10200 SH DFND 1,2,3 0 10200 0 PRIMERICA INC COM 74164M108 1236 30631 SH DFND 1,2,3 0 30631 0 PROTECTIVE LIFE CORP COM 743674103 845 19860 SH DFND 1,2,3 0 19860 0 PULTE CORP COM 745867101 4043 245000 SH DFND 1,2,3 0 245000 0 QEP MIDSTREAM PARTNERS LP COM UNIT RP LTD 74735R115 1811 80000 SH DFND 1,2,3 0 80000 0 REINSURANCE GROUP OF AMERICA COM NEW 759351604 1608 24000 SH DFND 1,2,3 0 24000 0 RENT-A-CENTER INC COM 76009N100 2601 68250 SH DFND 1,2,3 0 68250 0 RENTECH NITROGEN PARTNERS LP COM 760113100 6215 253448 SH DFND 1,2,3 0 253448 0 ROWAN COS INC SHS CL A G7665A101 2754 75000 SH DFND 1,2,3 0 75000 0 ROYAL DUTCH SHELL PLC-ADR SPONSORED ADR 780259206 2816 42881 SH DFND 1,2,3 0 42881 0 SCHNITZER STEEL INDS INC-A CL A 806882106 541 19675 SH DFND 1,2,3 0 19675 0 SKECHERS USA INC-CL A CL A 830566105 201 6467 SH DFND 1,2,3 0 6467 0 SPDR GOLD TRUST SHS 78463V107 32045 250000 SH DFND 1,2,3 0 250000 0 STAPLES INC COM 855030102 3613 246598 SH DFND 1,2,3 0 246598 0 STATE STREET CORP COM 857477103 1931 29375 SH DFND 1,2,3 0 29375 0 SUPERIOR ENERGY SERVICES INC COM 868157108 3117 124500 SH DFND 1,2,3 0 124500 0 SYNOVUS FINANCIAL CORP COM 87161C105 742 224900 SH DFND 1,2,3 0 224900 0 TALLGRASS ENERGY PARTNERS LP COM UNIT 874697105 1165 50000 SH DFND 1,2,3 0 50000 0 TCF FINANCIAL CORP COM 872275102 1538 107675 SH DFND 1,2,3 0 107675 0 TE CONNECTIVITY LTD. REG SHS H84989104 1972 38075 SH DFND 1,2,3 0 38075 0 TENET HEALTHCARE CORP COM NEW 88033G407 359 8725 SH DFND 1,2,3 0 8725 0 TETRA TECH INC COM 88162G103 587 22675 SH DFND 1,2,3 0 22675 0 TEVA PHARMACEUTICAL-SP ADR COM 881624209 1680 44455 SH DFND 1,2,3 0 44455 0 THERMO FISHER SCIENTIFIC COM 883556102 503 5458 SH DFND 1,2,3 0 5458 0 TITAN MACHINERY INC COM 88830R101 11105 131000 SH DFND 1,2,3 0 131000 0 TRAVELERS COS INC/THE COM 89417E109 272 16900 SH DFND 1,2,3 0 16900 0 TRW AUTOMOTIVE HOLDINGS CORP COM 87264S106 1913 26825 SH DFND 1,2,3 0 26825 0 TUPPERWARE CORP COM 899896104 760 8800 SH DFND 1,2,3 0 8800 0 TUTOR PERINI CORP COM 901109108 1412 66250 SH DFND 1,2,3 0 66250 0 UAL CORP COM 910047109 1536 50000 SH DFND 1,2,3 0 50000 0 UFP TECHNOLOGIES INC COM 902673102 438 19243 SH DFND 1,2,3 0 19243 0 UNITED STATIONERS INC COM 913004107 1015 23375 SH DFND 1,2,3 0 23375 0 URANIUM ENERGY CORP COM 916896103 742 329700 SH DFND 1,2,3 0 329700 0 URS CORP COM 903236107 2650 49300 SH DFND 1,2,3 0 49300 0 VALASSIS COMMUNICATIONS INC COM 918866104 2253 78000 SH DFND 1,2,3 0 78000 0 VCA ANTECH INC COM 918194101 1386 50475 SH DFND 1,2,3 0 50475 0 VIRTUS INVESTMENT PARTNERS COM 92828Q109 1886 11595 SH DFND 1,2,3 0 11595 0 WALTER INDUSTRIES INC COM 93317Q105 2029 144600 SH DFND 1,2,3 0 144600 0 WEBSTER FINANCIAL CORP COM 947890109 1108 43400 SH DFND 1,2,3 0 43400 0 WELLCARE GROUP INC COM 94946T106 1981 28410 SH DFND 1,2,3 0 28410 0 WET SEAL INC/THE CLASS A CL A 961840105 277 70400 SH DFND 1,2,3 0 70400 0 WILEY (JOHN) & SONS-CLASS A CL A 968223206 515 10800 SH DFND 1,2,3 0 10800 0 WPX ENERGY INC-W/I COM 98212B103 5724 297175 SH DFND 1,2,3 0 297175 0 WSFS FINANCIAL CORP COM 929328102 566 9400 SH DFND 1,2,3 0 9400 0 XEROX CORP COM 984121103 3272 317960 SH DFND 1,2,3 0 317960 0 XL GROUP PLC SHS G98290102 468 15200 SH DFND 1,2,3 0 15200 0 ZOETIS INC CL A 98978V103 690 22185 SH DFND 1,2,3 0 22185 0