Managing Director

0001085146-21-001279.txt : 20210423 0001085146-21-001279.hdr.sgml : 20210423 20210422204800 ACCESSION NUMBER: 0001085146-21-001279 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210423 DATE AS OF CHANGE: 20210422 EFFECTIVENESS DATE: 20210423 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: 21846420 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 03-31-2021 03-31-2021 false CONNING INC.

ONE FINANCIAL PLAZA HARTFORD CT 06103-2627

13F HOLDINGS REPORT 028-04513 N Robert Pearce Managing Director 860-299-2151 /s/ Robert Pearce Hartford CT 04-22-2021 0 475 3324333 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 44838 232707 SH SOLE 232707 0 0 ABBOTT LABS COM 002824100 8848 73833 SH SOLE 73833 0 0 ABBVIE INC COM 00287Y109 2489 23000 SH SOLE 23000 0 0 ABIOMED INC COM 003654100 592 1856 SH SOLE 1856 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2322 8404 SH SOLE 8404 0 0 ACTIVISION BLIZZARD INC COM 00507V109 924 9937 SH SOLE 9937 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 3062 6442 SH SOLE 6442 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1217 15498 SH SOLE 15498 0 0 AES CORP COM 00130H105 250 9336 SH SOLE 9336 0 0 AFLAC INC COM 001055102 497 9708 SH SOLE 9708 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 556 4370 SH SOLE 4370 0 0 AIR PRODS & CHEMS INC COM 009158106 52160 185400 SH SOLE 185400 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 229 2247 SH SOLE 2247 0 0 AKAMAI TECHNOLOGIES INC NOTE 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COM 595017104 519 3342 SH SOLE 3342 0 0 MICRON TECHNOLOGY INC COM 595112103 1317 14932 SH SOLE 14932 0 0 MICROSOFT CORP COM 594918104 30117 127741 SH SOLE 127741 0 0 MIDWEST HLDG INC COM NEW 59833J206 2999 60000 SH SOLE 60000 0 0 MONDELEZ INTL INC CL A 609207105 53086 906984 SH SOLE 906984 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 513 5631 SH SOLE 5631 0 0 MOODYS CORP COM 615369105 611 2046 SH SOLE 2046 0 0 MORGAN STANLEY COM NEW 617446448 1490 19192 SH SOLE 19192 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 337 1790 SH SOLE 1790 0 0 MPLX LP COM UNIT REP LTD 55336V100 422 16452 SH SOLE 16452 0 0 MSCI INC COM 55354G100 434 1036 SH SOLE 1036 0 0 NASDAQ INC COM 631103108 222 1506 SH SOLE 1506 0 0 NETAPP INC COM 64110D104 240 3300 SH SOLE 3300 0 0 NETEASE INC SPONSORED ADS 64110W102 369 3575 SH SOLE 3575 0 0 NETFLIX INC COM 64110L106 3045 5838 SH SOLE 5838 0 0 NEWMONT CORP COM 651639106 614 10189 SH SOLE 10189 0 0 NEXTERA ENERGY INC COM 65339F101 2012 26606 SH SOLE 26606 0 0 NIKE INC CL B 654106103 2616 19684 SH SOLE 19684 0 0 NORFOLK SOUTHN CORP COM 655844108 962 3582 SH SOLE 3582 0 0 NORTHERN TR CORP COM 665859104 308 2930 SH SOLE 2930 0 0 NORTHROP GRUMMAN CORP COM 666807102 682 2107 SH SOLE 2107 0 0 NORTHWESTERN CORP COM NEW 668074305 5025 77076 SH SOLE 77076 0 0 NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 12495 660000 PRN SOLE 660000 0 0 NOVO-NORDISK A S ADR 670100205 281 4173 SH SOLE 4173 0 0 NUCOR CORP COM 670346105 52265 651117 SH SOLE 651117 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 522 54000 SH SOLE 54000 0 0 NUVEEN MUN VALUE FD INC COM 670928100 176 15800 SH SOLE 15800 0 0 NVIDIA CORPORATION COM 67066G104 10344 19373 SH SOLE 19373 0 0 NVR INC COM 62944T105 203 43 SH SOLE 43 0 0 OCCIDENTAL PETE CORP COM 674599105 305 11454 SH SOLE 11454 0 0 OLD DOMINION FREIGHT LINE IN COM 679580100 235 979 SH SOLE 979 0 0 OMNICOM GROUP INC COM 681919106 238 3210 SH SOLE 3210 0 0 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 6290 3050000 PRN SOLE 3050000 0 0 ONEOK INC NEW COM 682680103 521 10276 SH SOLE 10276 0 0 ORACLE CORP COM 68389X105 1817 25898 SH SOLE 25898 0 0 OREILLY AUTOMOTIVE INC COM 67103H107 491 967 SH SOLE 967 0 0 OTIS WORLDWIDE CORP COM 68902V107 341 4980 SH SOLE 4980 0 0 PACCAR INC COM 693718108 447 4810 SH SOLE 4810 0 0 PARKER-HANNIFIN CORP COM 701094104 570 1808 SH SOLE 1808 0 0 PAYCHEX INC COM 704326107 42435 432925 SH SOLE 432925 0 0 PAYCOM SOFTWARE INC COM 70432V102 221 597 SH SOLE 597 0 0 PAYPAL HLDGS INC COM 70450Y103 3732 15370 SH SOLE 15370 0 0 PEPSICO INC COM 713448108 54072 382272 SH SOLE 382272 0 0 PFIZER INC COM 717081103 55297 1526270 SH SOLE 1526270 0 0 PHILIP MORRIS INTL INC COM 718172109 33833 381261 SH SOLE 381261 0 0 PHILLIPS 66 COM 718546104 520 6372 SH SOLE 6372 0 0 PIMCO INCOME STRATEGY FD II COM 72201J104 140 13666 SH SOLE 13666 0 0 PIONEER NAT RES CO COM 723787107 404 2541 SH SOLE 2541 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 171 18747 SH SOLE 18747 0 0 PNC FINL SVCS GROUP INC COM 693475105 48974 279196 SH SOLE 279196 0 0 PPG INDS INC COM 693506107 523 3483 SH SOLE 3483 0 0 PPL CORP COM 69351T106 271 9403 SH SOLE 9403 0 0 PRICE T ROWE GROUP INC COM 74144T108 568 3309 SH SOLE 3309 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 9638 8180000 PRN SOLE 8180000 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 7617 127034 SH SOLE 127034 0 0 PROCTER AND GAMBLE CO COM 742718109 56181 414837 SH SOLE 414837 0 0 PROGRESSIVE CORP COM 743315103 765 8006 SH SOLE 8006 0 0 PROLOGIS INC. COM 74340W103 1332 12562 SH SOLE 12562 0 0 PRUDENTIAL FINL INC COM 744320102 505 5538 SH SOLE 5538 0 0 PUBLIC STORAGE COM 74460D109 524 2122 SH SOLE 2122 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 426 7081 SH SOLE 7081 0 0 PULTE GROUP INC COM 745867101 215 4093 SH SOLE 4093 0 0 QORVO INC COM 74736K101 266 1456 SH SOLE 1456 0 0 QUALCOMM INC COM 747525103 48085 362660 SH SOLE 362660 0 0 QUEST DIAGNOSTICS INC COM 74834L100 244 1901 SH SOLE 1901 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 51099 661302 SH SOLE 661302 0 0 REALTY INCOME CORP COM 756109104 257 4052 SH SOLE 4052 0 0 REGENERON PHARMACEUTICALS COM 75886F107 599 1265 SH SOLE 1265 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 284 13757 SH SOLE 13757 0 0 REPUBLIC SVCS INC COM 760759100 282 2841 SH SOLE 2841 0 0 RESMED INC COM 761152107 344 1772 SH SOLE 1772 0 0 RIO TINTO PLC SPONSORED ADR 767204100 403 5185 SH SOLE 5185 0 0 ROCKWELL AUTOMATION INC COM 773903109 439 1653 SH SOLE 1653 0 0 ROPER TECHNOLOGIES INC COM 776696106 584 1448 SH SOLE 1448 0 0 ROSS STORES INC COM 778296103 940 7843 SH SOLE 7843 0 0 ROYAL CARIBBEAN GROUP COM V7780T103 208 2433 SH SOLE 2433 0 0 S&P GLOBAL INC COM 78409V104 1091 3093 SH SOLE 3093 0 0 SALESFORCE COM INC COM 79466L302 2506 11827 SH SOLE 11827 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 399 1438 SH SOLE 1438 0 0 SCHLUMBERGER LTD COM 806857108 452 16624 SH SOLE 16624 0 0 SCHWAB CHARLES CORP COM 808513105 1964 30127 SH SOLE 30127 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 8263 63667 SH SOLE 63667 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 4190 64180 SH SOLE 64180 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 215 2802 SH SOLE 2802 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1619 33000 SH SOLE 33000 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 336 8500 SH SOLE 8500 0 0 SEMPRA ENERGY COM 816851109 517 3897 SH SOLE 3897 0 0 SERVICENOW INC COM 81762P102 1213 2426 SH SOLE 2426 0 0 SHERWIN WILLIAMS CO COM 824348106 790 1071 SH SOLE 1071 0 0 SIMON PPTY GROUP INC NEW COM 828806109 542 4761 SH SOLE 4761 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 375 2043 SH SOLE 2043 0 0 SMUCKER J M CO COM NEW 832696405 211 1668 SH SOLE 1668 0 0 SOUTHERN CO COM 842587107 870 13990 SH SOLE 13990 0 0 SOUTHWEST AIRLS CO COM 844741108 457 7481 SH SOLE 7481 0 0 SOUTHWESTERN ENERGY CO COM 845467109 52 11240 SH SOLE 11240 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 88381 222998 SH SOLE 222998 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 49573 104135 SH SOLE 104135 0 0 SPDR SER TR PORTFLI HIGH YLD 78468R606 4999 188275 SH SOLE 188275 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 3631 115954 SH SOLE 115954 0 0 SPDR SER TR S&P DIVID ETF 78464A763 3413 28914 SH SOLE 28914 0 0 SPIRIT RLTY CAP INC NEW NOTE 3.750% 5/1 84860WAB8 5655 5525000 PRN SOLE 5525000 0 0 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 50671 1107795 SH SOLE 1107795 0 0 STANLEY BLACK & DECKER INC COM 854502101 433 2171 SH SOLE 2171 0 0 STARBUCKS CORP COM 855244109 1729 15820 SH SOLE 15820 0 0 STATE STR CORP COM 857477103 375 4458 SH SOLE 4458 0 0 STRYKER CORPORATION COM 863667101 1072 4400 SH SOLE 4400 0 0 SUNCOR ENERGY INC NEW COM 867224107 1921 91920 SH SOLE 91920 0 0 SVB FINANCIAL GROUP COM 78486Q101 325 659 SH SOLE 659 0 0 SYNCHRONY FINANCIAL COM 87165B103 250 6152 SH SOLE 6152 0 0 SYNOPSYS INC COM 871607107 449 1811 SH SOLE 1811 0 0 SYSCO CORP COM 871829107 548 6963 SH SOLE 6963 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 255 1443 SH SOLE 1443 0 0 TARGET CORP COM 87612E106 1298 6553 SH SOLE 6553 0 0 TE CONNECTIVITY LTD REG SHS H84989104 595 4610 SH SOLE 4610 0 0 TELEFLEX INCORPORATED COM 879369106 251 604 SH SOLE 604 0 0 TERADYNE INC COM 880770102 204 1680 SH SOLE 1680 0 0 TESLA INC COM 88160R101 6644 9947 SH SOLE 9947 0 0 TEXAS INSTRS INC COM 882508104 54119 286357 SH SOLE 286357 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 3376 7397 SH SOLE 7397 0 0 TJX COS INC NEW COM 872540109 1085 16396 SH SOLE 16396 0 0 T-MOBILE US INC COM 872590104 873 6965 SH SOLE 6965 0 0 TRACTOR SUPPLY CO COM 892356106 255 1440 SH SOLE 1440 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 556 3359 SH SOLE 3359 0 0 TRANSDIGM GROUP INC COM 893641100 390 664 SH SOLE 664 0 0 TRAVELERS COMPANIES INC COM 89417E109 48585 323040 SH SOLE 323040 0 0 TRUIST FINL CORP COM 89832Q109 922 15805 SH SOLE 15805 0 0 TWITTER INC COM 90184L102 663 10417 SH SOLE 10417 0 0 TYSON FOODS INC CL A 902494103 43471 585068 SH SOLE 585068 0 0 ULTA BEAUTY INC COM 90384S303 214 692 SH SOLE 692 0 0 UNION PAC CORP COM 907818108 52151 236611 SH SOLE 236611 0 0 UNITED PARCEL SERVICE INC CL B 911312106 51775 304578 SH SOLE 304578 0 0 UNITED RENTALS INC COM 911363109 337 1024 SH SOLE 1024 0 0 UNITEDHEALTH GROUP INC COM 91324P102 11617 31222 SH SOLE 31222 0 0 US BANCORP DEL COM NEW 902973304 1041 18823 SH SOLE 18823 0 0 V F CORP COM 918204108 47158 590063 SH SOLE 590063 0 0 VALERO ENERGY CORP COM 91913Y100 401 5601 SH SOLE 5601 0 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 6817 213506 SH SOLE 213506 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3318 14992 SH SOLE 14992 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 13157 36116 SH SOLE 36116 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2866 13386 SH SOLE 13386 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 13224 63981 SH SOLE 63981 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 2620 25880 SH SOLE 25880 0 0 VANGUARD SCOTTSDALE FDS VNG RUS3000IDX 92206C599 523 2830 SH SOLE 2830 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 2894 58927 SH SOLE 58927 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 416 1160 SH SOLE 1160 0 0 VARIAN MED SYS INC COM 92220P105 230 1302 SH SOLE 1302 0 0 VENTAS INC COM 92276F100 265 4977 SH SOLE 4977 0 0 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 3269 2900000 PRN SOLE 2900000 0 0 VERISIGN INC COM 92343E102 279 1405 SH SOLE 1405 0 0 VERISK ANALYTICS INC COM 92345Y106 356 2015 SH SOLE 2015 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 54096 930278 SH SOLE 930278 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 728 3387 SH SOLE 3387 0 0 VIACOMCBS INC CL B 92556H206 337 7479 SH SOLE 7479 0 0 VIATRIS INC COM 92556V106 281 20102 SH SOLE 20102 0 0 VISA INC COM CL A 92826C839 11248 53122 SH SOLE 53122 0 0 VULCAN MATLS CO COM 929160109 319 1890 SH SOLE 1890 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 555 10114 SH SOLE 10114 0 0 WALMART INC COM 931142103 8853 65175 SH SOLE 65175 0 0 WASTE MGMT INC DEL COM 94106L109 636 4930 SH SOLE 4930 0 0 WATERS CORP COM 941848103 273 961 SH SOLE 961 0 0 WEC ENERGY GROUP INC COM 92939U106 1400 14961 SH SOLE 14961 0 0 WELLPOINT INC NOTE 2.750%10/1 94973VBG1 7289 1435000 PRN SOLE 1435000 0 0 WELLS FARGO CO NEW COM 949746101 2310 59126 SH SOLE 59126 0 0 WELLTOWER INC COM 95040Q104 380 5302 SH SOLE 5302 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 218 775 SH SOLE 775 0 0 WESTERN DIGITAL CORP. COM 958102105 277 4147 SH SOLE 4147 0 0 WESTERN DIGITAL CORP. NOTE 1.500% 2/0 958102AP0 7779 7635000 PRN SOLE 7635000 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 453 12722 SH SOLE 12722 0 0 WHIRLPOOL CORP COM 963320106 203 919 SH SOLE 919 0 0 WILLIAMS COS INC COM 969457100 516 21778 SH SOLE 21778 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 332 1452 SH SOLE 1452 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 4861 66805 SH SOLE 66805 0 0 XCEL ENERGY INC COM 98389B100 482 7253 SH SOLE 7253 0 0 XILINX INC COM 983919101 419 3378 SH SOLE 3378 0 0 XYLEM INC COM 98419M100 266 2530 SH SOLE 2530 0 0 YUM BRANDS INC COM 988498101 479 4426 SH SOLE 4426 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 319 658 SH SOLE 658 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 446 2784 SH SOLE 2784 0 0 ZOETIS INC CL A 98978V103 986 6258 SH SOLE 6258 0 0