Senior Vice President and Corporate Controller

0000021175-16-000223.txt : 20161114 0000021175-16-000223.hdr.sgml : 20161111 20161114122842 ACCESSION NUMBER: 0000021175-16-000223 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 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: 161992748 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 09-30-2016 09-30-2016 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 11-09-2016 3 177 433444 false 1 28-217 Loews Corporation 2 28-172 The Continental Corporation 3 28-387 Continental Casualty Company INFORMATION TABLE 2 q32016form13fhrinformation.xml INFORMATION TABLE ARC DOCUMENT SOLUTIONS INC COM 00191G103 502 134475 SH DFND 1,2,3 0 134475 0 ABBOTT LABORATORIES COM 002824100 1627 38475 SH DFND 1,2,3 0 38475 0 ACTUANT CORP CL A 00508X203 1559 67120 SH DFND 1,2,3 0 67120 0 AECOM COM 00766T100 1451 48827 SH DFND 1,2,3 0 48827 0 AETNA INC COM 00817Y108 6118 53000 SH DFND 1,2,3 0 53000 0 ALPHABET INC CAP STK CL A CL A 02079K305 751 935 SH DFND 1,2,3 0 935 0 AMERICAN AIRLINES GROUP INC COM 02376R102 3375 92200 SH DFND 1,2,3 0 92200 0 AMERICAN INTERNATIONAL GROUP COM NEW 026874784 2186 36850 SH DFND 1,2,3 0 36850 0 ANADARKO PETROLEUM CORP COM 032511107 5566 87860 SH DFND 1,2,3 0 87860 0 APACHE CORP COM 037411105 3030 47450 SH DFND 1,2,3 0 47450 0 APOLLO GLOBAL MANAGEMENT CLA SHS 037612306 784 43700 SH DFND 1,2,3 0 43700 0 ARGAN INC COM 04010E109 283 4789 SH DFND 1,2,3 0 4789 0 ASSOCIATED BANC-CORP COM 045487105 1783 91050 SH DFND 1,2,3 0 91050 0 ASSURANT INC COM 04621X108 8505 92200 SH DFND 1,2,3 0 92200 0 AVNET INC COM 053807103 2546 62025 SH DFND 1,2,3 0 62025 0 BP PLC SPONSORED ADR 055622104 1841 52382 SH DFND 1,2,3 0 52382 0 BANK OF AMERICA CORP COM 060505104 2987 190900 SH DFND 1,2,3 0 190900 0 BARRICK GOLD CORP COM 067901108 2279 128640 SH DFND 1,2,3 0 128640 0 BROOKDALE SENIOR LIVING INC COM 112463104 1704 97675 SH DFND 1,2,3 0 97675 0 CNO FINANCIAL GROUP COM 12621E103 1102 72189 SH DFND 1,2,3 0 72189 0 CVR PARTNERS LP COM 126633106 2664 502664 SH DFND 1,2,3 0 502664 0 CARPENTER TECHNOLOGY COM 144285103 550 13336 SH DFND 1,2,3 0 13336 0 CATCHMARK TIMBER TR INC CL A 14912Y202 163 13960 SH DFND 1,2,3 0 13960 0 CEMPRA INC COM 15130J109 1055 43610 SH DFND 1,2,3 0 43610 0 CHART INDUSTRIES INC COM 16115Q308 1830 55750 SH DFND 1,2,3 0 55750 0 CISCO SYSTEMS INC COM 17275R102 2049 64600 SH DFND 1,2,3 0 64600 0 CITIGROUP INC COM 172967424 8565 181366 SH DFND 1,2,3 0 181366 0 COCA COLA CO COM 191216100 1206 28500 SH DFND 1,2,3 0 28500 0 COLUMBUS MCKINNON CORP/NY COM 199333105 852 47789 SH DFND 1,2,3 0 47789 0 COMCAST CORP CL A 20030N101 5917 89200 SH DFND 1,2,3 0 89200 0 CORNING INC COM 219350105 5654 239105 SH DFND 1,2,3 0 239105 0 COVANTA HOLDING CORP COM 22282E102 3104 201706 SH DFND 1,2,3 0 201706 0 CUBIC CORP COM 229669106 1467 31350 SH DFND 1,2,3 0 31350 0 DR HORTON INC COM 23331A109 3146 104200 SH DFND 1,2,3 0 104200 0 DANA HOLDING CORP COM 235825205 984 63165 SH DFND 1,2,3 0 63165 0 DELTA AIR LINES INC COM NEW 247361702 3874 98440 SH DFND 1,2,3 0 98440 0 DEVON ENERGY CORP COM 25179M103 2421 54900 SH DFND 1,2,3 0 54900 0 DIAMONDROCK HOSPITALITY CO COM 252784301 305 33571 SH DFND 1,2,3 0 33571 0 DIODES INC COM 254543101 1206 56544 SH DFND 1,2,3 0 56544 0 DOVER CORP COM 260003108 1852 25150 SH DFND 1,2,3 0 25150 0 DOW CHEMICAL CORP COM 260543103 3292 63530 SH DFND 1,2,3 0 63530 0 ENBRIDGE ENERGY PARTNERS LP COM 29250R106 1188 46740 SH DFND 1,2,3 0 46740 0 ENOVA INTERNATIONAL INC-W/I COM 29357K103 155 16025 SH DFND 1,2,3 0 16025 0 ESSENDANT INC COM 296689102 880 42900 SH DFND 1,2,3 0 42900 0 EZCORP INC CL A 302301106 454 41100 SH DFND 1,2,3 0 41100 0 EXXON MOBIL CORP COM 30231G102 1409 16150 SH DFND 1,2,3 0 16150 0 FEDEX CORPORATION COM 31428X106 4716 27000 SH DFND 1,2,3 0 27000 0 FIRST CITIZENS BCSHS CL A 31946M103 747 2545 SH DFND 1,2,3 0 2545 0 FIRST HORIZON NATIONAL CORP COM 320517105 802 52700 SH DFND 1,2,3 0 52700 0 FIRST MIDWEST BANCORP INC/IL COM 320867104 1271 65675 SH DFND 1,2,3 0 65675 0 FORD MOTOR COMPANY COM 345370860 1608 133275 SH DFND 1,2,3 0 133275 0 FRANKLIN RESOURCES INC COM 354613101 2256 63450 SH DFND 1,2,3 0 63450 0 FUELCELL ENERGY INC COM NEW 35952H502 668 123394 SH DFND 1,2,3 0 123394 0 GENERAL CABLE CORP COM 369300108 1003 66975 SH DFND 1,2,3 0 66975 0 GENERAL MOTORS CO COM 37045V100 1874 59000 SH DFND 1,2,3 0 59000 0 GENWORTH FINANCIAL INC CL A 37247D106 310 62650 SH DFND 1,2,3 0 62650 0 GIBRALTAR INDUSTRIES INC COM 374689107 487 13131 SH DFND 1,2,3 0 13131 0 GOLDMAN SACHS GROUP INC COM 38141G104 2177 13500 SH DFND 1,2,3 0 13500 0 GOVERNMENT PROPERTIES INCOME COM SHS BEN INT 38376A103 980 43350 SH DFND 1,2,3 0 43350 0 GRANITE REAL ESTATE INVESTMENT TRST UNIT 387437114 1030 33600 SH DFND 1,2,3 0 33600 0 GREAT PLAINS ENERGY INC COM 391164100 493 18100 SH DFND 1,2,3 0 18100 0 HP INC COM 40434L105 2075 133655 SH DFND 1,2,3 0 133655 0 HARSCO CORP COM 415864107 489 49300 SH DFND 1,2,3 0 49300 0 HEALTH INSURANCE INNOVATION COM CL A 42225K106 78 14859 SH DFND 1,2,3 0 14859 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 3040 133655 SH DFND 1,2,3 0 133655 0 ICONIX BRAND GROUP INC COM 451055107 756 93187 SH DFND 1,2,3 0 93187 0 INSIGHT ENTERPRISES INC COM 45765U103 1473 45278 SH DFND 1,2,3 0 45278 0 INORG CHEM NEC COM 45768S105 1072 17631 SH DFND 1,2,3 0 17631 0 INTEL CORP COM 458140100 1603 42475 SH DFND 1,2,3 0 42475 0 INTERPUBLIC GROUP COS INC COM 460690100 1053 47150 SH DFND 1,2,3 0 47150 0 JPMORGAN CHASE & COMPANY COM 46625H100 7940 119250 SH DFND 1,2,3 0 119250 0 JIVE SOFTWARE INC COM 47760A108 428 100553 SH DFND 1,2,3 0 100553 0 JOHNSON & JOHNSON COM 478160104 1303 11035 SH DFND 1,2,3 0 11035 0 JOY GLOBAL INC COM 481165108 1738 62655 SH DFND 1,2,3 0 62655 0 KBR INC COM 48242W106 2134 141059 SH DFND 1,2,3 0 141059 0 KAISER ALUMINUM CORP COM 483007704 562 6500 SH DFND 1,2,3 0 6500 0 LAMAR ADVERTISING CO CL A 512816109 1902 29125 SH DFND 1,2,3 0 29125 0 LENNAR CORP CL A 526057104 2117 50000 SH DFND 1,2,3 0 50000 0 LEXMARK INTL GROUP INC CL A 529771107 699 17499 SH DFND 1,2,3 0 17499 0 LINCOLN NATIONAL CORP INDIANA COM 534187109 6793 144600 SH DFND 1,2,3 0 144600 0 LINKEDIN CORP CL A 53578A108 1116 5840 SH DFND 1,2,3 0 5840 0 WILLIAM LYON HOMES CL A NEW 552074700 534 28800 SH DFND 1,2,3 0 28800 0 MASONITE INTERNATIONAL CORP COM 575385109 1605 25831 SH DFND 1,2,3 0 25831 0 MAXWELL TECHNOLOGIES INC COM 577767106 79 15321 SH DFND 1,2,3 0 15321 0 MERCER INTL INC COM 588056101 165 19510 SH DFND 1,2,3 0 19510 0 METLIFE INC COM 59156R108 2001 45050 SH DFND 1,2,3 0 45050 0 MICROSOFT CORP COM 594918104 9992 173475 SH DFND 1,2,3 0 173475 0 MILLER INDUSTRIES INC/TENN COM 600551204 250 10973 SH DFND 1,2,3 0 10973 0 MOELIS & CO CL A 60786M105 5871 218337 SH DFND 1,2,3 0 218337 0 MORGAN STANLEY COM 617446448 2779 86700 SH DFND 1,2,3 0 86700 0 NRG ENERGY INC COM NEW 629377508 474 42341 SH DFND 1,2,3 0 42341 0 NELNET INC CL A 64031N108 213 5300 SH DFND 1,2,3 0 5300 0 NEW SR INVT GROUP INC COM 648691103 2892 250655 SH DFND 1,2,3 0 250655 0 NEWS CORP CL A 65249B109 1023 73225 SH DFND 1,2,3 0 73225 0 NEWS CORP CL B 65249B208 729 51275 SH DFND 1,2,3 0 51275 0 NOVAGOLD RESOURCES INC COM NEW 66987E206 611 109110 SH DFND 1,2,3 0 109110 0 OCI PARTNERS LP COM UNIT REP LP 67091N108 387 65496 SH DFND 1,2,3 0 65496 0 OCCIDENTAL PETROLEUM COM 674599105 4146 56866 SH DFND 1,2,3 0 56866 0 OMNICOM GROUP INC COM COM 681919106 2031 23900 SH DFND 1,2,3 0 23900 0 ON SEMICONDUCTOR CORPORATION COM 682189105 3867 313944 SH DFND 1,2,3 0 313944 0 ORACLE CORP COM 68389X105 9254 235600 SH DFND 1,2,3 0 235600 0 OWENS & MINOR INC COM 690732102 1171 33746 SH DFND 1,2,3 0 33746 0 PARK STERLING CORP COM 70086Y105 718 88466 SH DFND 1,2,3 0 88466 0 PARKER HANNIFIN CORP COM 701094104 1697 13525 SH DFND 1,2,3 0 13525 0 PFIZER INC COM 717081103 7298 215491 SH DFND 1,2,3 0 215491 0 PIONEER NATURAL RESOURCES CO COM 723787107 4975 26800 SH DFND 1,2,3 0 26800 0 PORTLAND GENERAL ELECTRIC COM 736508847 434 10200 SH DFND 1,2,3 0 10200 0 REINSURANCE GROUP OF AMERICA COM NEW 759351604 1079 10000 SH DFND 1,2,3 0 10000 0 RENT-A-CENTER INC COM 76009N100 923 73050 SH DFND 1,2,3 0 73050 0 ROYAL DUTCH SHELL PLC SPONSORED ADR 780259206 3156 63048 SH DFND 1,2,3 0 63048 0 SPDR GOLD TRUST SHS 78463V107 27515 219000 SH DFND 1,2,3 0 219000 0 SCHNITZER STEEL INDS INC CL A 806882106 902 43175 SH DFND 1,2,3 0 43175 0 SCIENCE APPLICATIONS INTE COM 808625107 874 12600 SH DFND 1,2,3 0 12600 0 STAPLES INC COM 855030102 1886 220653 SH DFND 1,2,3 0 220653 0 STATE STR CORP COM 857477103 1559 22400 SH DFND 1,2,3 0 22400 0 STONERIDGE INC COM 86183P102 993 53983 SH DFND 1,2,3 0 53983 0 SUPERIOR ENERGY SERVICES INC COM 868157108 2058 114975 SH DFND 1,2,3 0 114975 0 SYNOVUS FINANCIAL CORP COM 87161C501 1497 46046 SH DFND 1,2,3 0 46046 0 TCF FINANCIAL CORP COM 872275102 868 59825 SH DFND 1,2,3 0 59825 0 TENET HEALTHCARE CORP COM NEW 88033G407 220 9725 SH DFND 1,2,3 0 9725 0 TEREX CORP COM 880779103 4589 180633 SH DFND 1,2,3 0 180633 0 TETRA TECH INC COM 88162G103 725 20456 SH DFND 1,2,3 0 20456 0 TRAVELERS COS INC/THE COM 89417E109 4925 43000 SH DFND 1,2,3 0 43000 0 TRIBUNE MEDIA CO CL A 896047503 3230 88445 SH DFND 1,2,3 0 88445 0 TRIMAS CORP COM NEW 896215209 964 51825 SH DFND 1,2,3 0 51825 0 TRIPLE-S MANAGEMENT CORP CL B 896749108 1581 72125 SH DFND 1,2,3 0 72125 0 TUPPERWARE CORP COM 899896104 882 13500 SH DFND 1,2,3 0 13500 0 UFP TECHNOLOGIES INC COM 902673102 263 9961 SH DFND 1,2,3 0 9961 0 UAL CORP COM 910047109 3872 73800 SH DFND 1,2,3 0 73800 0 UNIVERSAL CORP VA COM 913456109 1332 22892 SH DFND 1,2,3 0 22892 0 VIRTUS INVESTMENT PARTNERS COM 92828Q109 904 9243 SH DFND 1,2,3 0 9243 0 VOYA FINL INC COM 929089100 2642 91675 SH DFND 1,2,3 0 91675 0 WSFS FINANCIAL CORP COM 929328102 754 20675 SH DFND 1,2,3 0 20675 0 WAL-MART STORES INC COM 931142103 1920 26625 SH DFND 1,2,3 0 26625 0 WEBSTER FINANCIAL CORP COM 947890109 1523 40075 SH DFND 1,2,3 0 40075 0 WHIRLPOOL CORPORATION COM 963320106 4054 25000 SH DFND 1,2,3 0 25000 0 UBS GROUP AG SHS SHS H42097107 1367 100375 SH DFND 1,2,3 0 100375 0 ARGO GROUP INTERNATIONAL COM G0464B107 964 17094 SH DFND 1,2,3 0 17094 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 1182 25375 SH DFND 1,2,3 0 25375 0 AXIS CAPITAL HOLDINGS LTD SHS G0692U109 1723 31728 SH DFND 1,2,3 0 31728 0 EATON CORP PLC SHS G29183103 4118 62676 SH DFND 1,2,3 0 62676 0 ENDURANCE SPECIALTY HOLDINGS SHS G30397106 1325 20250 SH DFND 1,2,3 0 20250 0 ELECTRUM SPECIAL ACQUISITION COM G3105C120 791 78949 SH DFND 1,2,3 0 78949 0 GOLAR LNG LTD SHS G9456A100 1837 86663 SH DFND 1,2,3 0 86663 0 AERCAP HOLDINGS NV SHS N00985106 1774 46100 SH DFND 1,2,3 0 46100 0 LYONDELLBASELL INDU SHS N53745100 6049 75000 SH DFND 1,2,3 0 75000 0 TEEKAY TANKERS LTD CL A Y8565N102 588 232650 SH DFND 1,2,3 0 232650 0 ROYAL BANK OF CANADA NOTE 4.650% 1/2 780082AD5 34647 31662000 PRN DFND 1,2,3 0 31662000 0 HEALTHSOUTH CORP WARRANT 421924127 129 53352 SH DFND 1,2,3 0 53352 0 CONMED CORP COM 207410101 220 5503 SH DFND 1,2,3 0 5503 0 ARRIS INTL INC SHS HS G0551A103 771 27216 SH DFND 1,2,3 0 27216 0 WILLIAMS COS INC DEL COM COM 969457100 983 32005 SH DFND 1,2,3 0 32005 0 VORNADO RLTY TR SH BEN INT SH BEN INT 929042109 2622 25915 SH DFND 1,2,3 0 25915 0 HESS CORP COM COM 42809H107 1618 30186 SH DFND 1,2,3 0 30186 0 EOG RES INC COM COM 26875P101 3674 38000 SH DFND 1,2,3 0 38000 0 MURPHY OIL CORP COM COM 626717102 3253 107025 SH DFND 1,2,3 0 107025 0 SCANSOURCE INC COM COM 806037107 1443 39548 SH DFND 1,2,3 0 39548 0 AMERICAN EQTY INVT LIFE HLD COM COM 025676206 1670 94206 SH DFND 1,2,3 0 94206 0 ANIXTER INTL INC COM COM 035290105 1542 23909 SH DFND 1,2,3 0 23909 0 SEAGATE TECHNOLOGY PLC SHS SHS G7945M107 2506 65025 SH DFND 1,2,3 0 65025 0 CENOVUS ENERGY INC COM COM 15135U109 1650 115075 SH DFND 1,2,3 0 115075 0 HALLIBURTON CO COM COM 406216101 1602 35700 SH DFND 1,2,3 0 35700 0 COMTECH TELECOMMUNICATIONS COM 205826209 387 30219 SH DFND 1,2,3 0 30219 0 MONSANTO CO COM 61166W101 2190 21435 SH DFND 1,2,3 0 21435 0 TOLL BROTHERS INC ADR 889478103 1104 37000 SH DFND 1,2,3 0 37000 0 TEVA PHARMACEUTICAL INDS LTD COM 881624209 2438 53000 SH DFND 1,2,3 0 53000 0 BB&T CORP COM 054937107 571 15150 SH DFND 1,2,3 0 15150 0 HERTZ GLOBAL HLDGS INC COM 42806J106 330 8220 SH DFND 1,2,3 0 8220 0 BANK OF NOVA SCOTIA NOTE 4.500%12/1 064159HB5 20383 19105000 PRN DFND 1,2,3 0 19105000 0 WESCO AIRCRAFT HLDGS INC COM 950814103 165 12323 SH DFND 1,2,3 0 12323 0 CAPITAL ONE FINL CORP COM 14040H105 2065 28750 SH DFND 1,2,3 0 28750 0 HILTON WORLDWIDE HLDGS INC COM 43300A104 1542 67250 SH DFND 1,2,3 0 67250 0 LIFEPOINT HEALTH INC COM 53219L109 1338 22591 SH DFND 1,2,3 0 22591 0 DELL TECHNOLOGIES INC CL V 24703L103 1520 31815 SH DFND 1,2,3 0 31815 0 CATERPILLAR INC COM 149123101 817 9205 SH DFND 1,2,3 0 9205 0 KADMON HLDGS INC COM 48283N106 616 9205 SH DFND 1,2,3 0 9205 0 TORONTO DOMINION BK ONT NOTE 3.625% 9/1 891160MJ9 10030 84005 SH DFND 1,2,3 0 84005 0