0001085146-21-000293.txt : 20210128 0001085146-21-000293.hdr.sgml : 20210128 20210127174113 ACCESSION NUMBER: 0001085146-21-000293 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210128 DATE AS OF CHANGE: 20210127 EFFECTIVENESS DATE: 20210128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CONNING INC. CENTRAL INDEX KEY: 0000801051 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 431719355 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04513 FILM NUMBER: 21561159 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06103-2627 BUSINESS PHONE: 860-299-2151 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA CITY: HARTFORD STATE: CT ZIP: 06103-2627 FORMER COMPANY: FORMER CONFORMED NAME: CONNING Asset Management Co. DATE OF NAME CHANGE: 20040726 FORMER COMPANY: FORMER CONFORMED NAME: CONNING CORP DATE OF NAME CHANGE: 19970407 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000801051 XXXXXXXX 12-31-2020 12-31-2020 false CONNING INC.

ONE FINANCIAL PLAZA HARTFORD CT 06103-2627

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COM 595017104 503 3643 SH SOLE 3643 0 0 MICRON TECHNOLOGY INC COM 595112103 1224 16282 SH SOLE 16282 0 0 MICROSOFT CORP COM 594918104 24549 110371 SH SOLE 110371 0 0 MIDWEST HLDG INC COM NEW 59833J206 3219 60000 SH SOLE 60000 0 0 MONDELEZ INTL INC CL A 609207105 47790 817340 SH SOLE 817340 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 561 6061 SH SOLE 6061 0 0 MOODYS CORP COM 615369105 650 2241 SH SOLE 2241 0 0 MORGAN STANLEY COM NEW 617446448 1421 20732 SH SOLE 20732 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 335 1970 SH SOLE 1970 0 0 MPLX LP COM UNIT REP LTD 55336V100 356 16452 SH SOLE 16452 0 0 MSCI INC COM 55354G100 514 1151 SH SOLE 1151 0 0 NASDAQ INC COM 631103108 218 1646 SH SOLE 1646 0 0 NETAPP INC COM 64110D104 243 3670 SH SOLE 3670 0 0 NETEASE INC SPONSORED ADS 64110W102 342 3575 SH SOLE 3575 0 0 NETFLIX INC COM 64110L106 3441 6363 SH SOLE 6363 0 0 NEW YORK MTG TR INC COM PAR $.02 649604501 37 10077 SH SOLE 10077 0 0 NEWMONT CORP COM 651639106 666 11119 SH SOLE 11119 0 0 NEXTERA ENERGY INC COM 65339F101 2232 28936 SH SOLE 28936 0 0 NIKE INC CL B 654106103 2994 21164 SH SOLE 21164 0 0 NORFOLK SOUTHN CORP COM 655844108 921 3877 SH SOLE 3877 0 0 NORTHERN TR CORP COM 665859104 293 3150 SH SOLE 3150 0 0 NORTHROP GRUMMAN CORP COM 666807102 695 2281 SH SOLE 2281 0 0 NORTHWESTERN CORP COM NEW 668074305 4494 77076 SH SOLE 77076 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 9863 660000 PRN SOLE 660000 0 0 NOVO-NORDISK A S ADR 670100205 291 4173 SH SOLE 4173 0 0 NUCOR CORP COM 670346105 38022 714843 SH SOLE 714843 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 472 54000 SH SOLE 54000 0 0 NUVEEN MUN VALUE FD INC COM 670928100 175 15800 SH SOLE 15800 0 0 NVIDIA CORPORATION COM 67066G104 4631 8869 SH SOLE 8869 0 0 OCCIDENTAL PETE CORP COM 674599105 207 11944 SH SOLE 11944 0 0 OLD DOMINION FREIGHT LINE IN COM 679580100 207 1059 SH SOLE 1059 0 0 OMNICOM GROUP INC COM 681919106 216 3470 SH SOLE 3470 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 5154 3050000 PRN SOLE 3050000 0 0 ONEOK INC NEW COM 682680103 416 10846 SH SOLE 10846 0 0 ORACLE CORP COM 68389X105 1847 28548 SH SOLE 28548 0 0 OREILLY AUTOMOTIVE INC COM 67103H107 478 1057 SH SOLE 1057 0 0 OTIS WORLDWIDE CORP COM 68902V107 365 5400 SH SOLE 5400 0 0 PACCAR INC COM 693718108 450 5210 SH SOLE 5210 0 0 PARKER-HANNIFIN CORP COM 701094104 531 1948 SH SOLE 1948 0 0 PAYCHEX INC COM 704326107 39093 419539 SH SOLE 419539 0 0 PAYCOM SOFTWARE INC COM 70432V102 295 652 SH SOLE 652 0 0 PAYPAL HLDGS INC COM 70450Y103 3932 16790 SH SOLE 16790 0 0 PEPSICO INC COM 713448108 50044 337448 SH SOLE 337448 0 0 PERKINELMER INC COM 714046109 239 1663 SH SOLE 1663 0 0 PFIZER INC COM 717081103 48209 1309671 SH SOLE 1309671 0 0 PHILIP MORRIS INTL INC COM 718172109 32818 396405 SH SOLE 396405 0 0 PHILLIPS 66 COM 718546104 482 6892 SH SOLE 6892 0 0 PIMCO INCOME STRATEGY FD II COM 72201J104 136 13666 SH SOLE 13666 0 0 PIONEER NAT RES CO COM 723787107 294 2581 SH SOLE 2581 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 154 18747 SH SOLE 18747 0 0 PNC FINL SVCS GROUP INC COM 693475105 50985 342178 SH SOLE 342178 0 0 PPG INDS INC COM 693506107 544 3773 SH SOLE 3773 0 0 PPL CORP COM 69351T106 287 10173 SH SOLE 10173 0 0 PRICE T ROWE GROUP INC COM 74144T108 543 3589 SH SOLE 3589 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 9505 8180000 PRN SOLE 8180000 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 7681 154825 SH SOLE 154825 0 0 PROCTER AND GAMBLE CO COM 742718109 50832 365329 SH SOLE 365329 0 0 PROGRESSIVE CORP COM 743315103 859 8686 SH SOLE 8686 0 0 PROLOGIS INC. COM 74340W103 1340 13442 SH SOLE 13442 0 0 PROSHARES TR ULTSHT RUSS2000 74348A319 6889 1375000 SH SOLE 1375000 0 0 PRUDENTIAL FINL INC COM 744320102 468 5998 SH SOLE 5998 0 0 PUBLIC STORAGE COM 74460D109 532 2302 SH SOLE 2302 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 450 7711 SH SOLE 7711 0 0 QORVO INC COM 74736K101 265 1596 SH SOLE 1596 0 0 QUALCOMM INC COM 747525103 49704 326273 SH SOLE 326273 0 0 QUEST DIAGNOSTICS INC COM 74834L100 246 2061 SH SOLE 2061 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1505 21047 SH SOLE 21047 0 0 REALTY INCOME CORP COM 756109104 279 4482 SH SOLE 4482 0 0 REGENERON PHARMACEUTICALS COM 75886F107 660 1366 SH SOLE 1366 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 240 14907 SH SOLE 14907 0 0 REPUBLIC SVCS INC COM 760759100 296 3070 SH SOLE 3070 0 0 RESMED INC COM 761152107 413 1942 SH SOLE 1942 0 0 RIO TINTO PLC SPONSORED ADR 767204100 390 5185 SH SOLE 5185 0 0 ROCKWELL AUTOMATION INC COM 773903109 448 1788 SH SOLE 1788 0 0 ROPER TECHNOLOGIES INC COM 776696106 680 1578 SH SOLE 1578 0 0 ROSS STORES INC COM 778296103 1015 8263 SH SOLE 8263 0 0 S&P GLOBAL INC COM 78409V104 1106 3363 SH SOLE 3363 0 0 SALESFORCE COM INC COM 79466L302 2868 12887 SH SOLE 12887 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 444 1573 SH SOLE 1573 0 0 SCHLUMBERGER LTD COM 806857108 378 17294 SH SOLE 17294 0 0 SCHWAB CHARLES CORP COM 808513105 1080 20353 SH SOLE 20353 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 3943 66230 SH SOLE 66230 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 203 3262 SH SOLE 3262 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1251 33000 SH SOLE 33000 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 311 8500 SH SOLE 8500 0 0 SEMPRA ENERGY COM 816851109 540 4237 SH SOLE 4237 0 0 SERVICENOW INC COM 81762P102 1453 2639 SH SOLE 2639 0 0 SHERWIN WILLIAMS CO COM 824348106 860 1170 SH SOLE 1170 0 0 SIMON PPTY GROUP INC NEW COM 828806109 438 5131 SH SOLE 5131 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 343 2243 SH SOLE 2243 0 0 SMUCKER J M CO COM NEW 832696405 211 1827 SH SOLE 1827 0 0 SOUTHERN CO COM 842587107 937 15260 SH SOLE 15260 0 0 SOUTHWEST AIRLS CO COM 844741108 377 8091 SH SOLE 8091 0 0 SOUTHWESTERN ENERGY CO COM 845467109 51 17230 SH SOLE 17230 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 84677 226481 SH SOLE 226481 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 43728 104135 SH SOLE 104135 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1998 18600 SH SOLE 18600 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 3641 115954 SH SOLE 115954 0 0 SPDR SER TR S&P DIVID ETF 78464A763 3260 30775 SH SOLE 30775 0 0 SPIRIT RLTY CAP INC NEW NOTE 3.750% 5/1 84860WAB8 5612 5525000 PRN SOLE 5525000 0 0 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 50571 1107795 SH SOLE 1107795 0 0 STANLEY BLACK & DECKER INC COM 854502101 418 2341 SH SOLE 2341 0 0 STARBUCKS CORP COM 855244109 43973 411040 SH SOLE 411040 0 0 STATE STR CORP COM 857477103 354 4868 SH SOLE 4868 0 0 STRYKER CORPORATION COM 863667101 1171 4780 SH SOLE 4780 0 0 SUNCOR ENERGY INC NEW COM 867224107 1542 91920 SH SOLE 91920 0 0 SVB FINANCIAL GROUP COM 78486Q101 277 714 SH SOLE 714 0 0 SYNCHRONY FINANCIAL COM 87165B103 238 6852 SH SOLE 6852 0 0 SYNOPSYS INC COM 871607107 517 1996 SH SOLE 1996 0 0 SYSCO CORP COM 871829107 560 7543 SH SOLE 7543 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 329 1583 SH SOLE 1583 0 0 TARGET CORP COM 87612E106 46689 264481 SH SOLE 264481 0 0 TE CONNECTIVITY LTD REG SHS H84989104 609 5030 SH SOLE 5030 0 0 TELEFLEX INCORPORATED COM 879369106 269 654 SH SOLE 654 0 0 TERADYNE INC COM 880770102 215 1790 SH SOLE 1790 0 0 TESLA INC COM 88160R101 7532 10674 SH SOLE 10674 0 0 TEXAS INSTRS INC COM 882508104 48929 298111 SH SOLE 298111 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 3979 8543 SH SOLE 8543 0 0 TIFFANY & CO NEW COM 886547108 208 1583 SH SOLE 1583 0 0 TJX COS INC NEW COM 872540109 1221 17876 SH SOLE 17876 0 0 T-MOBILE US INC COM 872590104 1005 7455 SH SOLE 7455 0 0 TRACTOR SUPPLY CO COM 892356106 224 1590 SH SOLE 1590 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 527 3629 SH SOLE 3629 0 0 TRANSDIGM GROUP INC COM 893641100 446 721 SH SOLE 721 0 0 TRAVELERS COMPANIES INC COM 89417E109 50207 357675 SH SOLE 357675 0 0 TRUIST FINL CORP COM 89832Q109 833 17375 SH SOLE 17375 0 0 TWITTER INC COM 90184L102 614 11347 SH SOLE 11347 0 0 TWITTER INC NOTE 0.250% 6/1 90184LAF9 4669 3850000 PRN SOLE 3850000 0 0 TYSON FOODS INC CL A 902494103 37769 586117 SH SOLE 586117 0 0 ULTA BEAUTY INC COM 90384S303 215 747 SH SOLE 747 0 0 UNION PAC CORP COM 907818108 48788 234309 SH SOLE 234309 0 0 UNITED PARCEL SERVICE INC CL B 911312106 46976 278953 SH SOLE 278953 0 0 UNITED RENTALS INC COM 911363109 258 1114 SH SOLE 1114 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4847 13822 SH SOLE 13822 0 0 US BANCORP DEL COM NEW 902973304 959 20582 SH SOLE 20582 0 0 V F CORP COM 918204108 47703 558521 SH SOLE 558521 0 0 VALERO ENERGY CORP COM 91913Y100 343 6071 SH SOLE 6071 0 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 6854 213506 SH SOLE 213506 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2605 12598 SH SOLE 12598 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 11727 34122 SH SOLE 34122 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2606 13386 SH SOLE 13386 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 12453 63981 SH SOLE 63981 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 11796 106205 SH SOLE 106205 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1374 29111 SH SOLE 29111 0 0 VARIAN MED SYS INC COM 92220P105 242 1382 SH SOLE 1382 0 0 VENTAS INC COM 92276F100 263 5367 SH SOLE 5367 0 0 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 3128 2900000 PRN SOLE 2900000 0 0 VERISIGN INC COM 92343E102 334 1545 SH SOLE 1545 0 0 VERISK ANALYTICS INC COM 92345Y106 464 2235 SH SOLE 2235 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 48917 832636 SH SOLE 832636 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 871 3687 SH SOLE 3687 0 0 VIACOMCBS INC CL B 92556H206 304 8159 SH SOLE 8159 0 0 VIATRIS INC COM 92556V106 405 21623 SH SOLE 21623 0 0 VISA INC COM CL A 92826C839 5710 26105 SH SOLE 26105 0 0 VULCAN MATLS CO COM 929160109 306 2060 SH SOLE 2060 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 439 11004 SH SOLE 11004 0 0 WALMART INC COM 931142103 2812 19505 SH SOLE 19505 0 0 WASTE MGMT INC DEL COM 94106L109 638 5410 SH SOLE 5410 0 0 WATERS CORP COM 941848103 256 1036 SH SOLE 1036 0 0 WEC ENERGY GROUP INC COM 92939U106 1409 15311 SH SOLE 15311 0 0 WELLPOINT INC NOTE 2.750%10/1 94973VBG1 6425 1435000 PRN SOLE 1435000 0 0 WELLS FARGO CO NEW COM 949746101 1933 64046 SH SOLE 64046 0 0 WELLTOWER INC COM 95040Q104 372 5752 SH SOLE 5752 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 237 835 SH SOLE 835 0 0 WESTERN DIGITAL CORP. COM 958102105 254 4577 SH SOLE 4577 0 0 WESTERN DIGITAL CORP. NOTE 1.500% 2/0 958102AP0 7595 7635000 PRN SOLE 7635000 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 461 13762 SH SOLE 13762 0 0 WILLIAMS COS INC COM 969457100 462 23018 SH SOLE 23018 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 340 1612 SH SOLE 1612 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 4429 66805 SH SOLE 66805 0 0 XCEL ENERGY INC COM 98389B100 522 7823 SH SOLE 7823 0 0 XILINX INC COM 983919101 521 3678 SH SOLE 3678 0 0 XYLEM INC COM 98419M100 281 2760 SH SOLE 2760 0 0 YUM BRANDS INC COM 988498101 520 4786 SH SOLE 4786 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 278 723 SH SOLE 723 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 464 3014 SH SOLE 3014 0 0 ZOETIS INC CL A 98978V103 1128 6818 SH SOLE 6818 0 0