Senior Vice President and Corporate Controller

0000021175-17-000032.txt : 20170214 0000021175-17-000032.hdr.sgml : 20170214 20170214143814 ACCESSION NUMBER: 0000021175-17-000032 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17607252 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 12-31-2016 12-31-2016 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 02-13-2017 3 167 447618 false 1 28-217 Loews Corporation 2 28-172 The Continental Corporation 3 28-387 Continental Casualty Company INFORMATION TABLE 2 q42016form13fhrinformation.xml INFORMATION TABLE ARC DOCUMENT SOLUTIONS INC COM COM 00191G103 441 86820 SH DFND 1,2,3 0 86820 0 ABBOTT LABS COM COM 002824100 1325 34500 SH DFND 1,2,3 0 34500 0 ACTUANT CORP CL A NEW CL A 00508X203 1433 55223 SH DFND 1,2,3 0 55223 0 AECOM COM COM 00766T100 1170 32202 SH DFND 1,2,3 0 32202 0 AETNA INC NEW COM COM 00817Y108 6572 53000 SH DFND 1,2,3 0 53000 0 ALPHABET INC CAP STK CL A CL A 02079K305 740 935 SH DFND 1,2,3 0 935 0 AMERICAN AIRLS GROUP INC COM COM 02376R102 3674 78700 SH DFND 1,2,3 0 78700 0 AMERICAN INTL GROUP INC COM NEW COM NEW 026874784 2406 36850 SH DFND 1,2,3 0 36850 0 ANADARKO PETE CORP COM COM 032511107 6126 87860 SH DFND 1,2,3 0 87860 0 APACHE CORP COM COM 037411105 3011 47450 SH DFND 1,2,3 0 47450 0 APOLLO GLOBAL MGMT LLC CL A SHS CLA SHS 037612306 574 29700 SH DFND 1,2,3 0 29700 0 ASSOCIATED BANC CORP COM COM 045487105 1618 65513 SH DFND 1,2,3 0 65513 0 ASSURANT INC COM COM 04621X108 7029 75700 SH DFND 1,2,3 0 75700 0 AVNET INC COM COM 053807103 2918 61300 SH DFND 1,2,3 0 61300 0 BP PLC SPONSORED ADR SPONSORED ADR 055622104 1958 52382 SH DFND 1,2,3 0 52382 0 BANK AMER CORP COM COM 060505104 3039 137525 SH DFND 1,2,3 0 137525 0 BARRICK GOLD CORP COM COM 067901108 2055 128640 SH DFND 1,2,3 0 128640 0 BROOKDALE SR LIVING INC COM COM 112463104 1213 97675 SH DFND 1,2,3 0 97675 0 CNO FINL GROUP INC COM COM 12621E103 1202 62789 SH DFND 1,2,3 0 62789 0 CVR PARTNERS LP COM COM 126633106 3021 502664 SH DFND 1,2,3 0 502664 0 CARPENTER TECHNOLOGY CORP COM COM 144285103 471 13036 SH DFND 1,2,3 0 13036 0 CATCHMARK TIMBER TR INC CL A CL A 14912Y202 157 13960 SH DFND 1,2,3 0 13960 0 CHART INDUSTRIES INC COM 16115Q308 1408 39092 SH DFND 1,2,3 0 39092 0 CISCO SYS INC COM COM 17275R102 1952 64600 SH DFND 1,2,3 0 64600 0 CITIGROUP INC COM NEW COM 172967424 9406 158271 SH DFND 1,2,3 0 158271 0 COCA COLA CO COM COM 191216100 1181 28500 SH DFND 1,2,3 0 28500 0 COLUMBUS MCKINNON CORP N Y COM COM 199333105 876 32412 SH DFND 1,2,3 0 32412 0 COMCAST CORP NEW CL A CL A 20030N101 5634 81600 SH DFND 1,2,3 0 81600 0 CORNING INC COM COM 219350105 5803 239105 SH DFND 1,2,3 0 239105 0 COVANTA HLDG CORP COM COM 22282E102 8221 527000 SH DFND 1,2,3 0 527000 0 CUBIC CORP COM COM 229669106 1208 25193 SH DFND 1,2,3 0 25193 0 D R HORTON INC COM COM 23331A109 2847 104200 SH DFND 1,2,3 0 104200 0 DANA INCORPORATED COM COM 235825205 892 47041 SH DFND 1,2,3 0 47041 0 DELTA AIR LINES INC DEL COM NEW COM NEW 247361702 4842 98440 SH DFND 1,2,3 0 98440 0 DEVON ENERGY CORP NEW COM COM 25179M103 2507 54900 SH DFND 1,2,3 0 54900 0 DIAMONDROCK HOSPITALITY CO COM COM 252784301 387 33571 SH DFND 1,2,3 0 33571 0 DIODES INC COM COM 254543101 877 34184 SH DFND 1,2,3 0 34184 0 DOVER CORP COM COM 260003108 1884 25150 SH DFND 1,2,3 0 25150 0 DOW CHEM CO COM COM 260543103 3635 63530 SH DFND 1,2,3 0 63530 0 ENOVA INTL INC COM COM 29357K103 315 25125 SH DFND 1,2,3 0 25125 0 ESSENDANT INC COM COM 296689102 1299 62185 SH DFND 1,2,3 0 62185 0 EZCORP INC CL A NON VTG CL A 302301106 437 41100 SH DFND 1,2,3 0 41100 0 EXXON MOBIL CORP COM COM 30231G102 1457 16150 SH DFND 1,2,3 0 16150 0 FEDEX CORP COM COM 31428X106 4673 25100 SH DFND 1,2,3 0 25100 0 FIRST CTZNS BANCSHARES INC N CL A CL A 31946M103 974 2745 SH DFND 1,2,3 0 2745 0 FIRST HORIZON NATL CORP COM COM 320517105 1054 52700 SH DFND 1,2,3 0 52700 0 FIRST MIDWEST BANCORP DEL COM COM 320867104 850 33701 SH DFND 1,2,3 0 33701 0 FORD MOTOR COMPANY COM 345370860 1616 133275 SH DFND 1,2,3 0 133275 0 FRANKLIN RES INC COM COM 354613101 2511 63450 SH DFND 1,2,3 0 63450 0 GENERAL CABLE CORP DEL NEW COM COM 369300108 932 48956 SH DFND 1,2,3 0 48956 0 GENERAL MTRS CO COM COM 37045V100 1636 46980 SH DFND 1,2,3 0 46980 0 GENWORTH FINL INC COM CL A CL A 37247D106 238 62650 SH DFND 1,2,3 0 62650 0 GOLDMAN SACHS GROUP INC COM COM 38141G104 3232 13500 SH DFND 1,2,3 0 13500 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT COM SHS BEN INT 38376A103 866 45450 SH DFND 1,2,3 0 45450 0 GRANITE REAL ESTATE INVESTMENT TRUST UNIT 387437114 1214 36300 SH DFND 1,2,3 0 36300 0 GREAT PLAINS ENERGY INC COM COM 391164100 495 18100 SH DFND 1,2,3 0 18100 0 HP INC COM COM 40434L105 742 50055 SH DFND 1,2,3 0 50055 0 HARSCO CORP COM COM 415864107 607 44700 SH DFND 1,2,3 0 44700 0 HEWLETT PACKARD ENTERPRISE C COM COM 42824C109 3012 130205 SH DFND 1,2,3 0 130205 0 ICONIX BRAND GROUP INC COM COM 451055107 874 93587 SH DFND 1,2,3 0 93587 0 INSIGHT ENTERPRISES INC COM COM 45765U103 1366 33796 SH DFND 1,2,3 0 33796 0 INNOSPEC INC COM COM 45768S105 1207 17631 SH DFND 1,2,3 0 17631 0 INTEL CORP COM COM 458140100 1400 38625 SH DFND 1,2,3 0 38625 0 JPMORGAN CHASE & CO COM COM 46625H100 9550 110675 SH DFND 1,2,3 0 110675 0 JIVE SOFTWARE INC COM COM 47760A108 437 100553 SH DFND 1,2,3 0 100553 0 JOHNSON & JOHNSON COM COM 478160104 1271 11035 SH DFND 1,2,3 0 11035 0 KBR INC COM COM 48242W106 2118 126919 SH DFND 1,2,3 0 126919 0 KAISER ALUMINUM CORP COM 483007704 551 7100 SH DFND 1,2,3 0 7100 0 KAPSTONE PAPER & PACKAGING C COM COM 48562P103 210 9531 SH DFND 1,2,3 0 9531 0 LAMAR ADVERTISING CO NEW CL A CL A 512816109 1877 27925 SH DFND 1,2,3 0 27925 0 LENNAR CORP CL A CL A 526057104 2146 50000 SH DFND 1,2,3 0 50000 0 LINCOLN NATL CORP IND COM COM 534187109 8880 134000 SH DFND 1,2,3 0 134000 0 LYON WILLIAM HOMES CL A NEW CL A NEW 552074700 548 28800 SH DFND 1,2,3 0 28800 0 MASONITE INTL CORP NEW COM COM 575385109 1601 24336 SH DFND 1,2,3 0 24336 0 MERCER INTL INC COM COM 588056101 242 22810 SH DFND 1,2,3 0 22810 0 METLIFE INC COM COM 59156R108 2210 41025 SH DFND 1,2,3 0 41025 0 MICROSOFT CORP COM COM 594918104 10779 173475 SH DFND 1,2,3 0 173475 0 MILLER INDS INC TENN COM NEW COM 600551204 283 10727 SH DFND 1,2,3 0 10727 0 MOELIS & CO CL A CL A 60786M105 7401 218337 SH DFND 1,2,3 0 218337 0 MORGAN STANLEY COM NEW COM 617446448 3075 72800 SH DFND 1,2,3 0 72800 0 NRG ENERGY INC COM NEW COM NEW 629377508 519 42341 SH DFND 1,2,3 0 42341 0 NELNET INC CL A CL A 64031N108 263 5200 SH DFND 1,2,3 0 5200 0 NEW SR INVT GROUP INC COM COM 648691103 1730 176740 SH DFND 1,2,3 0 176740 0 NEWS CORP NEW CL A CL A 65249B109 839 73225 SH DFND 1,2,3 0 73225 0 NEWS CORP NEW CL B CL B 65249B208 363 30775 SH DFND 1,2,3 0 30775 0 NOVAGOLD RES INC COM NEW COM NEW 66987E206 497 109110 SH DFND 1,2,3 0 109110 0 OCCIDENTAL PETE CORP DEL COM COM 674599105 1778 24966 SH DFND 1,2,3 0 24966 0 OMNICOM GROUP INC COM COM 681919106 2229 26200 SH DFND 1,2,3 0 26200 0 ON SEMICONDUCTOR CORP COM COM 682189105 3077 241165 SH DFND 1,2,3 0 241165 0 ORACLE CORP COM COM 68389X105 8573 222975 SH DFND 1,2,3 0 222975 0 OWENS & MINOR INC NEW COM COM 690732102 1272 36057 SH DFND 1,2,3 0 36057 0 PARK STERLING CORP COM COM 70086Y105 954 88466 SH DFND 1,2,3 0 88466 0 PARKER HANNIFIN CORP COM COM 701094104 1627 11625 SH DFND 1,2,3 0 11625 0 PFIZER INC COM COM 717081103 5375 165491 SH DFND 1,2,3 0 165491 0 PIONEER NAT RES CO COM COM 723787107 4825 26800 SH DFND 1,2,3 0 26800 0 PORTLAND GEN ELEC CO COM NEW COM 736508847 441 10200 SH DFND 1,2,3 0 10200 0 RENT A CTR INC NEW COM COM 76009N100 652 58020 SH DFND 1,2,3 0 58020 0 ROYAL DUTCH SHELL PLC SPONS ADR A SPONSORED ADR 780259206 3229 59379 SH DFND 1,2,3 0 59379 0 SPDR GOLD TRUST GOLD SHS SHS 78463V107 25648 234000 SH DFND 1,2,3 0 234000 0 SCIENCE APPLICATNS INTL CP N COM COM 808625107 975 11500 SH DFND 1,2,3 0 11500 0 STAPLES INC COM COM 855030102 1996 220653 SH DFND 1,2,3 0 220653 0 STATE STR CORP COM COM 857477103 1628 20950 SH DFND 1,2,3 0 20950 0 STONERIDGE INC COM COM 86183P102 705 39857 SH DFND 1,2,3 0 39857 0 SUPERIOR ENERGY SVCS INC COM COM 868157108 1445 85660 SH DFND 1,2,3 0 85660 0 SYNOVUS FINL CORP COM NEW COM 87161C501 1389 33817 SH DFND 1,2,3 0 33817 0 TCF FINL CORP COM COM 872275102 990 50542 SH DFND 1,2,3 0 50542 0 TEREX CORP NEW COM COM 880779103 3803 120619 SH DFND 1,2,3 0 120619 0 TRAVELERS COMPANIES INC COM COM 89417E109 5264 43000 SH DFND 1,2,3 0 43000 0 TRIBUNE MEDIA CO CL A CL A 896047503 3504 100175 SH DFND 1,2,3 0 100175 0 TRIMAS CORP COM NEW COM NEW 896215209 1342 57132 SH DFND 1,2,3 0 57132 0 TRIPLE-S MGMT CORP CL B CL B 896749108 1230 59447 SH DFND 1,2,3 0 59447 0 TUPPERWARE BRANDS CORP COM COM 899896104 710 13500 SH DFND 1,2,3 0 13500 0 UFP TECHNOLOGIES INC COM COM 902673102 222 8731 SH DFND 1,2,3 0 8731 0 UNITED CONTL HLDGS INC COM COM 910047109 5378 73800 SH DFND 1,2,3 0 73800 0 UNIVERSAL CORP VA COM COM 913456109 1451 22770 SH DFND 1,2,3 0 22770 0 VIRTUS INVT PARTNERS INC COM COM 92828Q109 1167 9889 SH DFND 1,2,3 0 9889 0 VOYA FINL INC COM COM 929089100 3595 91675 SH DFND 1,2,3 0 91675 0 WSFS FINL CORP COM COM 929328102 698 15073 SH DFND 1,2,3 0 15073 0 WAL-MART STORES INC COM COM 931142103 1747 25275 SH DFND 1,2,3 0 25275 0 WEBSTER FINL CORP CONN COM COM 947890109 1570 28941 SH DFND 1,2,3 0 28941 0 WHIRLPOOL CORP COM COM 963320106 4544 25000 SH DFND 1,2,3 0 25000 0 ARGO GROUP INTL HLDGS LTD COM COM G0464B107 1070 16248 SH DFND 1,2,3 0 16248 0 ASPEN INSURANCE HOLDINGS LTD SHS SHS G05384105 1513 27516 SH DFND 1,2,3 0 27516 0 AXIS CAPITAL HOLDINGS LTD SHS SHS G0692U109 1752 26853 SH DFND 1,2,3 0 26853 0 EATON CORP PLC SHS SHS G29183103 4204 62676 SH DFND 1,2,3 0 62676 0 ENDURANCE SPECIALTY HLDGS LT SHS SHS G30397106 1114 12065 SH DFND 1,2,3 0 12065 0 GOLAR LNG LTD BERMUDA SHS SHS G9456A100 1988 86663 SH DFND 1,2,3 0 86663 0 AERCAP HOLDINGS NV SHS SHS N00985106 1273 30600 SH DFND 1,2,3 0 30600 0 LYONDELLBASELL INDUSTRIES N SHS - A - SHS N53745100 6433 75000 SH DFND 1,2,3 0 75000 0 TEEKAY TANKERS LTD CL A CLA Y8565N102 581 257350 SH DFND 1,2,3 0 257350 0 ROYAL BANK OF CANADA NOTE 4.650% 1/2 780082AD5 33704 31662000 PRN DFND 1,2,3 0 31662000 0 CONMED CORP COM COM 207410101 243 5503 SH DFND 1,2,3 0 5503 0 ARRIS INTL INC SHS HS G0551A103 705 23416 SH DFND 1,2,3 0 23416 0 WILLIAMS COS INC DEL COM COM 969457100 531 17070 SH DFND 1,2,3 0 17070 0 VORNADO RLTY TR SH BEN INT SH BEN INT 929042109 2704 25915 SH DFND 1,2,3 0 25915 0 HESS CORP COM COM 42809H107 2093 33611 SH DFND 1,2,3 0 33611 0 EOG RES INC COM COM 26875P101 3841 38000 SH DFND 1,2,3 0 38000 0 MURPHY OIL CORP COM COM 626717102 2502 80380 SH DFND 1,2,3 0 80380 0 SCANSOURCE INC COM COM 806037107 1584 39261 SH DFND 1,2,3 0 39261 0 AMERICAN EQTY INVT LIFE HLD COM COM 025676206 1468 65164 SH DFND 1,2,3 0 65164 0 ANIXTER INTL INC COM COM 035290105 1319 16277 SH DFND 1,2,3 0 16277 0 SEAGATE TECHNOLOGY PLC SHS SHS G7945M107 1637 42900 SH DFND 1,2,3 0 42900 0 CENOVUS ENERGY INC COM COM 15135U109 1532 101500 SH DFND 1,2,3 0 101500 0 HALLIBURTON CO COM COM 406216101 1757 32500 SH DFND 1,2,3 0 32500 0 COMTECH TELECOMMUNICATIONS C COM NEW COM 205826209 764 64519 SH DFND 1,2,3 0 64519 0 MONSANTO CO NEW COM COM 61166W101 2255 21435 SH DFND 1,2,3 0 21435 0 TOLL BROTHERS INC COM ADR 889478103 1147 37000 SH DFND 1,2,3 0 37000 0 BANK OF NOVA SCOTIA NOTE 4.500% 12/1 064159HB5 19626 19105000 PRN DFND 1,2,3 0 19105000 0 WESCO AIRCRAFT HLDGS INC COM COM 950814103 416 27870 SH DFND 1,2,3 0 27870 0 HOPE BANCORP INC COM COM 43940T109 1386 63331 SH DFND 1,2,3 0 63331 0 CAPITAL ONE FINL CORP COM COM 14040H105 2303 26400 SH DFND 1,2,3 0 26400 0 HILTON WORLDWIDE HLDGS INC COM COM 43300A104 2155 79250 SH DFND 1,2,3 0 79250 0 LIFEPOINT HEALTH INC COM COM 53219L109 1283 22591 SH DFND 1,2,3 0 22591 0 DELL TECHNOLOGIES INC COM CL V CL V 24703L103 1748 31815 SH DFND 1,2,3 0 31815 0 CATERPILLAR INC DEL COM COM 149123101 853 9205 SH DFND 1,2,3 0 9205 0 KADMON HLDGS INC COM COM 48283N106 449 84005 SH DFND 1,2,3 0 84005 0 TORONTO DOMINION BK ONT NOTE 3.625% 9/1 891160MJ9 9865 10000000 PRN DFND 1,2,3 0 10000000 0 CIGNA CORPORATION COM COM 125509109 2044 15325 SH DFND 1,2,3 0 15325 0 COGNIZANT TECHNOLOGY SOLUTIO CL A CLA 192446102 2074 37025 SH DFND 1,2,3 0 37025 0 CABOT OIL & GAS CORP COM COM 127097103 2336 100000 SH DFND 1,2,3 0 100000 0 VIRTUSA CORP COM COM 92827P102 221 8825 SH DFND 1,2,3 0 8825 0 AMTRUST FINL SVCS INC COM COM 032359309 2874 105000 SH DFND 1,2,3 0 105000 0 PLY GEM HLDGS INC COM COM 72941W100 215 13250 SH DFND 1,2,3 0 13250 0 HOEGH LNG PARTNERS LP COM UNIT LTD COM Y3262R100 636 33500 SH DFND 1,2,3 0 33500 0 OM ASSET MGMT PLC SHS SHS G67506108 416 28733 SH DFND 1,2,3 0 28733 0 ELECTRUM SPECIAL ACQUISITION CORP COM G3105C120 799 78949 SH DFND 1,2,3 0 78949 0 ENBRIDGE INC NOTE 6.000% 1/1 29250NAN5 15062 15000000 PRN DFND 1,2,3 0 15000000 0