Senior Vice President and Corporate Controller

0000021175-16-000209.txt : 20160810 0000021175-16-000209.hdr.sgml : 20160810 20160810143306 ACCESSION NUMBER: 0000021175-16-000209 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160810 DATE AS OF CHANGE: 20160810 EFFECTIVENESS DATE: 20160810 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: 161821113 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 06-30-2016 06-30-2016 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. Lawrence J. Boysen Senior Vice President and Corporate Controller 312-822-5653 Lawrence J. Boysen Chicago IL 08-04-2016 3 179 402209 false 1 28-217 Loews Corporation 2 28-172 The Continental Corporation 3 28-387 Continental Casualty Company INFORMATION TABLE 2 q2form13fhrinformation.xml INFORMATION TABLE ARC DOCUMENT SOLUTIONS INC COM 00191G103 591 152175 SH DFND 1,2,3 0 152175 0 ABBOTT LABORATORIES COM 002824100 1512 38475 SH DFND 1,2,3 0 38475 0 ACTUANT CORP CL A 00508X203 1458 64500 SH DFND 1,2,3 0 64500 0 AECOM COM 00766T100 1999 62952 SH DFND 1,2,3 0 62952 0 AETNA INC COM 00817Y108 6472 53000 SH DFND 1,2,3 0 53000 0 ALPHABET INC CAP STK CL A CL A 02079K305 657 935 SH DFND 1,2,3 0 935 0 AMERICAN AIRLINES GROUP INC COM 02376R102 2610 92200 SH DFND 1,2,3 0 92200 0 AMERICAN INTERNATIONAL GROUP COM NEW 026874784 1948 36850 SH DFND 1,2,3 0 36850 0 ANADARKO PETROLEUM CORP COM 032511107 5009 94080 SH DFND 1,2,3 0 94080 0 APACHE CORP COM 037411105 2641 47450 SH DFND 1,2,3 0 47450 0 APOLLO GLOBAL MANAGEMENT CLA SHS 037612306 662 43700 SH DFND 1,2,3 0 43700 0 ARGAN INC COM 04010E109 410 9851 SH DFND 1,2,3 0 9851 0 ASSOCIATED BANC-CORP COM 045487105 1561 91050 SH DFND 1,2,3 0 91050 0 ASSURANT INC COM 04621X108 7957 92200 SH DFND 1,2,3 0 92200 0 AVNET INC COM 053807103 2512 62025 SH DFND 1,2,3 0 62025 0 BP PLC SPONSORED ADR 055622104 2447 68932 SH DFND 1,2,3 0 68932 0 BANK OF AMERICA CORP COM 060505104 2533 190900 SH DFND 1,2,3 0 190900 0 BARRICK GOLD CORP COM 067901108 3295 154350 SH DFND 1,2,3 0 154350 0 BBCN BANCORP INC COM 073295107 1211 81225 SH DFND 1,2,3 0 81225 0 BROOKDALE SENIOR LIVING INC COM 112463104 1508 97675 SH DFND 1,2,3 0 97675 0 CNO FINANCIAL GROUP COM 12621E103 913 52323 SH DFND 1,2,3 0 52323 0 CVR PARTNERS LP COM 126633106 4119 504164 SH DFND 1,2,3 0 504164 0 CARPENTER TECHNOLOGY COM 144285103 615 18696 SH DFND 1,2,3 0 18696 0 CATCHMARK TIMBER TR INC CL A 14912Y202 144 11860 SH DFND 1,2,3 0 11860 0 CEMPRA INC COM 15130J109 584 35472 SH DFND 1,2,3 0 35472 0 CHART INDUSTRIES INC COM 16115Q308 1507 62475 SH DFND 1,2,3 0 62475 0 CISCO SYSTEMS INC COM 17275R102 1853 64600 SH DFND 1,2,3 0 64600 0 CITIGROUP INC COM 172967424 6711 158321 SH DFND 1,2,3 0 158321 0 COCA COLA CO COM 191216100 1693 37350 SH DFND 1,2,3 0 37350 0 COLUMBUS MCKINNON CORP/NY COM 199333105 854 60393 SH DFND 1,2,3 0 60393 0 COMCAST CORP CL A 20030N101 5814 89200 SH DFND 1,2,3 0 89200 0 CORNING INC COM 219350105 4896 239105 SH DFND 1,2,3 0 239105 0 COVANTA HOLDING CORP COM 22282E102 2457 149386 SH DFND 1,2,3 0 149386 0 CUBIC CORP COM 229669106 1259 31350 SH DFND 1,2,3 0 31350 0 DR HORTON INC COM 23331A109 3280 104200 SH DFND 1,2,3 0 104200 0 DANA HOLDING CORP COM 235825205 811 76849 SH DFND 1,2,3 0 76849 0 DELTA AIR LINES INC COM NEW 247361702 3586 98440 SH DFND 1,2,3 0 98440 0 DEVON ENERGY CORP COM 25179M103 1990 54900 SH DFND 1,2,3 0 54900 0 DIAMONDROCK HOSPITALITY CO COM 252784301 303 33571 SH DFND 1,2,3 0 33571 0 DIODES INC COM 254543101 1125 59875 SH DFND 1,2,3 0 59875 0 DOVER CORP COM 260003108 1743 25150 SH DFND 1,2,3 0 25150 0 DOW CHEMICAL CORP COM 260543103 2752 55380 SH DFND 1,2,3 0 55380 0 ENBRIDGE ENERGY PARTNERS LP COM 29250R106 3214 138540 SH DFND 1,2,3 0 138540 0 ENERGY TRANSFER PARTNERS LP UNIT LTD PARTN 29273R109 501 13175 SH DFND 1,2,3 0 13175 0 ENOVA INTERNATIONAL INC-W/I COM 29357K103 117 16025 SH DFND 1,2,3 0 16025 0 ESSENDANT INC COM 296689102 1311 42900 SH DFND 1,2,3 0 42900 0 EZCORP INC CL A 302301106 310 41100 SH DFND 1,2,3 0 41100 0 EXXON MOBIL CORP COM 30231G102 2013 21475 SH DFND 1,2,3 0 21475 0 FEDEX CORPORATION COM 31428X106 4098 27000 SH DFND 1,2,3 0 27000 0 FIRST CITIZENS BCSHS CL A 31946M103 658 2545 SH DFND 1,2,3 0 2545 0 FIRST HORIZON NATIONAL CORP COM 320517105 726 52700 SH DFND 1,2,3 0 52700 0 FIRST MIDWEST BANCORP INC/IL COM 320867104 1153 65675 SH DFND 1,2,3 0 65675 0 FORD MOTOR COMPANY COM 345370860 1675 133275 SH DFND 1,2,3 0 133275 0 FRANKLIN RESOURCES INC COM 354613101 2117 63450 SH DFND 1,2,3 0 63450 0 FUELCELL ENERGY INC COM NEW 35952H502 446 71712 SH DFND 1,2,3 0 71712 0 GENERAL CABLE CORP COM 369300108 851 66975 SH DFND 1,2,3 0 66975 0 GENERAL MOTORS CO COM 37045V100 1222 43190 SH DFND 1,2,3 0 43190 0 GENERAL MOTORS WARRANT 37045V118 1005 54576 SH DFND 1,2,3 0 54576 0 GENWORTH FINANCIAL INC CL A 37247D106 161 62650 SH DFND 1,2,3 0 62650 0 GIBRALTAR INDUSTRIES INC COM 374689107 1331 42179 SH DFND 1,2,3 0 42179 0 GOLDMAN SACHS GROUP INC COM 38141G104 5809 39100 SH DFND 1,2,3 0 39100 0 GOVERNMENT PROPERTIES INCOME COM SHS BEN INT 38376A103 1001 43450 SH DFND 1,2,3 0 43450 0 GRANITE REAL ESTATE INVESTMENT TRST UNIT 387437114 1014 33600 SH DFND 1,2,3 0 33600 0 GREAT PLAINS ENERGY INC COM 391164100 550 18100 SH DFND 1,2,3 0 18100 0 HP INC COM 40434L105 1677 133655 SH DFND 1,2,3 0 133655 0 HARSCO CORP COM 415864107 327 49300 SH DFND 1,2,3 0 49300 0 HEALTH INSURANCE INNOVATION COM CL A 42225K106 58 14859 SH DFND 1,2,3 0 14859 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 454 41100 SH DFND 1,2,3 0 41100 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 2441 133655 SH DFND 1,2,3 0 133655 0 ICONIX BRAND GROUP INC COM 451055107 539 79787 SH DFND 1,2,3 0 79787 0 INSIGHT ENTERPRISES INC COM 45765U103 1303 50128 SH DFND 1,2,3 0 50128 0 INORG CHEM NEC COM 45768S105 914 19887 SH DFND 1,2,3 0 19887 0 INTEL CORP COM 458140100 1609 49075 SH DFND 1,2,3 0 49075 0 INTERPUBLIC GROUP COS INC COM 460690100 1089 47150 SH DFND 1,2,3 0 47150 0 JPMORGAN CHASE & COMPANY COM 46625H100 7410 119250 SH DFND 1,2,3 0 119250 0 JIVE SOFTWARE INC COM 47760A108 378 100553 SH DFND 1,2,3 0 100553 0 JOHNSON & JOHNSON COM 478160104 1338 11035 SH DFND 1,2,3 0 11035 0 JOY GLOBAL INC COM 481165108 1324 62655 SH DFND 1,2,3 0 62655 0 KBR INC COM 48242W106 1815 137159 SH DFND 1,2,3 0 137159 0 KAISER ALUMINUM CORP COM 483007704 542 6000 SH DFND 1,2,3 0 6000 0 KAPSTONE PAPER AND PACKAGING COM 48562P103 177 13631 SH DFND 1,2,3 0 13631 0 KEY ENERGY SERVICES INC COM 492914106 62 269075 SH DFND 1,2,3 0 269075 0 KRATOS DEFENSE & SECURITY COM NEW 50077B207 60 14788 SH DFND 1,2,3 0 14788 0 LAMAR ADVERTISING CO CL A 512816109 1930 29125 SH DFND 1,2,3 0 29125 0 LENNAR CORP CL A 526057104 2305 50000 SH DFND 1,2,3 0 50000 0 LEXMARK INTL GROUP INC CL A 529771107 517 13700 SH DFND 1,2,3 0 13700 0 LINCOLN NATIONAL CORP INDIANA COM 534187109 5606 144600 SH DFND 1,2,3 0 144600 0 LINKEDIN CORP CL A 53578A108 1105 5840 SH DFND 1,2,3 0 5840 0 WILLIAM LYON HOMES CL A NEW 552074700 444 27600 SH DFND 1,2,3 0 27600 0 MASONITE INTERNATIONAL CORP COM 575385109 1554 23500 SH DFND 1,2,3 0 23500 0 MAXWELL TECHNOLOGIES INC COM 577767106 132 25091 SH DFND 1,2,3 0 25091 0 MERCER INTL INC COM 588056101 138 17410 SH DFND 1,2,3 0 17410 0 METLIFE INC COM 59156R108 1602 40225 SH DFND 1,2,3 0 40225 0 MICROSOFT CORP COM 594918104 8876 173475 SH DFND 1,2,3 0 173475 0 MILLER INDUSTRIES INC/TENN COM 600551204 225 10973 SH DFND 1,2,3 0 10973 0 MOELIS & CO CL A 60786M105 4912 218337 SH DFND 1,2,3 0 218337 0 MORGAN STANLEY COM 617446448 2252 86700 SH DFND 1,2,3 0 86700 0 NRG ENERGY INC COM NEW 629377508 634 42341 SH DFND 1,2,3 0 42341 0 NEW SR INVT GROUP INC COM 648691103 2905 272052 SH DFND 1,2,3 0 272052 0 NEWS CORP CL A 65249B109 831 73225 SH DFND 1,2,3 0 73225 0 NEWS CORP CL B 65249B208 598 51275 SH DFND 1,2,3 0 51275 0 NOVAGOLD RESOURCES INC COM NEW 66987E206 667 109110 SH DFND 1,2,3 0 109110 0 OCI PARTNERS LP COM UNIT REP LP 67091N108 577 76518 SH DFND 1,2,3 0 76518 0 OCCIDENTAL PETROLEUM COM 674599105 4296 56866 SH DFND 1,2,3 0 56866 0 OMNICOM GROUP INC COM COM 681919106 1947 23900 SH DFND 1,2,3 0 23900 0 ON SEMICONDUCTOR CORPORATION COM 682189105 2757 312675 SH DFND 1,2,3 0 312675 0 ORACLE CORP COM 68389X105 9643 235600 SH DFND 1,2,3 0 235600 0 OWENS & MINOR INC COM 690732102 669 17900 SH DFND 1,2,3 0 17900 0 PNC FINL SVCS GROUP INC COM 693475105 1025 12604 SH DFND 1,2,3 0 12604 0 PARK STERLING CORP COM 70086Y105 627 88466 SH DFND 1,2,3 0 88466 0 PARKER HANNIFIN CORP COM 701094104 1461 13525 SH DFND 1,2,3 0 13525 0 PFIZER INC COM 717081103 7587 215491 SH DFND 1,2,3 0 215491 0 PIONEER NATURAL RESOURCES CO COM 723787107 4052 26800 SH DFND 1,2,3 0 26800 0 PORTLAND GENERAL ELECTRIC COM 736508847 450 10200 SH DFND 1,2,3 0 10200 0 PRIMERICA INC COM 74164M108 230 4031 SH DFND 1,2,3 0 4031 0 REINSURANCE GROUP OF AMERICA COM NEW 759351604 969 10000 SH DFND 1,2,3 0 10000 0 RENT-A-CENTER INC COM 76009N100 897 73050 SH DFND 1,2,3 0 73050 0 ROYAL DUTCH SHELL PLC SPONSORED ADR 780259206 3417 61890 SH DFND 1,2,3 0 61890 0 SPDR GOLD TRUST SHS 78463V107 31630 250000 SH DFND 1,2,3 0 250000 0 SCHNITZER STEEL INDS INC CL A 806882106 759 43175 SH DFND 1,2,3 0 43175 0 SCIENCE APPLICATIONS INTE COM 808625107 735 12600 SH DFND 1,2,3 0 12600 0 STANLEY BLACK & DECKER INC COM 854502101 1092 9825 SH DFND 1,2,3 0 9825 0 STAPLES INC COM 855030102 1902 220653 SH DFND 1,2,3 0 220653 0 STATE STR CORP COM 857477103 1207 22400 SH DFND 1,2,3 0 22400 0 STONERIDGE INC COM 86183P102 866 57975 SH DFND 1,2,3 0 57975 0 SUPERIOR ENERGY SERVICES INC COM 868157108 2116 114975 SH DFND 1,2,3 0 114975 0 SYNOVUS FINANCIAL CORP COM 87161C501 1334 46046 SH DFND 1,2,3 0 46046 0 TCF FINANCIAL CORP COM 872275102 756 59825 SH DFND 1,2,3 0 59825 0 TENET HEALTHCARE CORP COM NEW 88033G407 219 7925 SH DFND 1,2,3 0 7925 0 TEREX CORP COM 880779103 3428 168808 SH DFND 1,2,3 0 168808 0 TETRA TECH INC COM 88162G103 1105 35950 SH DFND 1,2,3 0 35950 0 TRAVELERS COS INC/THE COM 89417E109 5118 43000 SH DFND 1,2,3 0 43000 0 TRIBUNE MEDIA CO CL A 896047503 3465 88445 SH DFND 1,2,3 0 88445 0 TRIMAS CORP COM NEW 896215209 663 36875 SH DFND 1,2,3 0 36875 0 TRIPLE-S MANAGEMENT CORP CL B 896749108 1367 55973 SH DFND 1,2,3 0 55973 0 TUPPERWARE CORP COM 899896104 866 15400 SH DFND 1,2,3 0 15400 0 UFP TECHNOLOGIES INC COM 902673102 226 10061 SH DFND 1,2,3 0 10061 0 UAL CORP COM 910047109 3028 73800 SH DFND 1,2,3 0 73800 0 UNIVERSAL CORP VA COM 913456109 1368 23700 SH DFND 1,2,3 0 23700 0 VIRTUS INVESTMENT PARTNERS COM 92828Q109 721 10143 SH DFND 1,2,3 0 10143 0 VOYA FINL INC COM 929089100 2104 85000 SH DFND 1,2,3 0 85000 0 WSFS FINANCIAL CORP COM 929328102 665 20675 SH DFND 1,2,3 0 20675 0 WAL-MART STORES INC COM 931142103 1944 26625 SH DFND 1,2,3 0 26625 0 WEBSTER FINANCIAL CORP COM 947890109 1360 40075 SH DFND 1,2,3 0 40075 0 WHIRLPOOL CORPORATION COM 963320106 2499 15000 SH DFND 1,2,3 0 15000 0 YAHOO! INC COM 984332106 368 9810 SH DFND 1,2,3 0 9810 0 UBS GROUP AG SHS SHS H42097107 1292 100375 SH DFND 1,2,3 0 100375 0 ARGO GROUP INTERNATIONAL COM G0464B107 887 17094 SH DFND 1,2,3 0 17094 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 1122 24200 SH DFND 1,2,3 0 24200 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 1745 31728 SH DFND 1,2,3 0 31728 0 EATON CORP PLC SHS G29183103 3743 62676 SH DFND 1,2,3 0 62676 0 ENDURANCE SPECIALTY HOLDINGS SHS G30397106 1359 20250 SH DFND 1,2,3 0 20250 0 ELECTRUM SPECIAL ACQUISITION COM G3105C120 785 78949 SH DFND 1,2,3 0 78949 0 OM ASSET MANAGEMENT PLC SHS G67506108 181 13600 SH DFND 1,2,3 0 13600 0 GOLAR LNG LTD SHS G9456A100 1343 86663 SH DFND 1,2,3 0 86663 0 AERCAP HOLDINGS NV SHS N00985106 1548 46100 SH DFND 1,2,3 0 46100 0 LYONDELLBASELL INDU SHS N53745100 5581 75000 SH DFND 1,2,3 0 75000 0 TEEKAY TANKERS LTD CL A Y8565N102 693 232650 SH DFND 1,2,3 0 232650 0 ROYAL BANK OF CANADA NOTE 4.650% 1/2 780082AD5 34112 31662000 PRN DFND 1,2,3 0 31662000 0 HEALTHSOUTH CORP WARRANT 421924127 86 53352 SH DFND 1,2,3 0 53352 0 CONMED CORP COM 207410101 229 4803 SH DFND 1,2,3 0 4803 0 ARRIS INTL INC SHS HS G0551A103 583 27816 SH DFND 1,2,3 0 27816 0 WILLIAMS COS INC DEL COM COM 969457100 692 32005 SH DFND 1,2,3 0 32005 0 VORNADO RLTY TR SH BEN INT SH BEN INT 929042109 2817 28143 SH DFND 1,2,3 0 28143 0 HESS CORP COM COM 42809H107 1152 19183 SH DFND 1,2,3 0 19183 0 EOG RES INC COM COM 26875P101 834 10000 SH DFND 1,2,3 0 10000 0 MURPHY OIL CORP COM COM 626717102 3398 107025 SH DFND 1,2,3 0 107025 0 SCANSOURCE INC COM COM 806037107 1305 35191 SH DFND 1,2,3 0 35191 0 AMERICAN EQTY INVT LIFE HLD COM COM 025676206 1467 102971 SH DFND 1,2,3 0 102971 0 ANIXTER INTL INC COM COM 035290105 1273 23909 SH DFND 1,2,3 0 23909 0 SEAGATE TECHNOLOGY PLC SHS SHS G7945M107 1923 78975 SH DFND 1,2,3 0 78975 0 CENOVUS ENERGY INC COM COM 15135U109 1591 115075 SH DFND 1,2,3 0 115075 0 HALLIBURTON CO COM COM 406216101 1616 35700 SH DFND 1,2,3 0 35700 0 COMTECH TELECOMMUNICATIONS COM 205826209 269 21000 SH DFND 1,2,3 0 21000 0 MONSANTO CO COM 61166W101 714 6905 SH DFND 1,2,3 0 6905 0 TOLL BROTHERS INC ADR 889478103 995 37000 SH DFND 1,2,3 0 37000 0 TEVA PHARMACEUTICAL INDS LTD COM 881624209 2662 53000 SH DFND 1,2,3 0 53000 0 BB&T CORP COM 054937107 539 15150 SH DFND 1,2,3 0 15150 0 BANK OF NOVA SCOTIA NOTE 4.500%12/1 064159HB5 20123 19105000 PRN DFND 1,2,3 0 19105000 0