-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KddDgW9qeJyoT6FdYMuLlb/UEBBxhEAzLyKil5DGE4pSUqZwn/krJk4JujGbZKOu GT0JwWKVdWqoA6oTYDOasA== 0000021175-02-000021.txt : 20021120 0000021175-02-000021.hdr.sgml : 20021120 20021120143055 ACCESSION NUMBER: 0000021175-02-000021 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20021120 EFFECTIVENESS DATE: 20021120 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-00346 FILM NUMBER: 02834592 BUSINESS ADDRESS: STREET 1: CNA PLZ STREET 2: 235 CITY: CHICAGO STATE: IL ZIP: 60685 BUSINESS PHONE: 3128225000 MAIL ADDRESS: STREET 1: CNA PLAZA STREET 2: 235 CITY: CHICAGO STATE: IL ZIP: 60685 13F-HR/A 1 cnafmartm.txt FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2002 Check here if Amendment [ x ]; Amendment Number: 1 This Amendment (Check only one.): [ x ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: CNA Financial Corporation Address: CNA Plaza Chicago,IL 60685 13F File Number: 28-346 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct, and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Lynne Gugenheim Title: Senior Vice President and Deputy General Counsel Phone: (312) 822 4921 Signature, Place, and Date of Signing: November 12,2002 Chicago, Illinois, 60685 I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: Assets reported herein are described as having shared investment discretion among Loews Corporation, CNA Financial Corporation,The Continental Corporation, Continental Casualty Company and Continental Assurance 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 Continental Casualty Company and The Continental Corporation; and Continental Casualty Company owns 100% of the outstanding shares of Continental Assurance Company. Loews Corporation will report separately on securities over which it has investment discretion which are not part of this report. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 324 Form 13F Information Table Value Total: 1,609,319.45 (in thousands) List of Other Included Managers: No. 13F File Number Name 1 28-172 The Continental Corporation 2 28-217 Loews Corporation 3 28-386 Continental Assurance Company 4 28-387 Continental Casualty Company 13F Information Table CLASS VALUE OTHER PUT/ INVSTMT VOTING AUTHORITY NAME OF ISSUER TITLE CUSIP (X1000) MGRS AMOUNT TYPE CALL DSCRETN SOLE SH NONE ACCENTURE CL A G1150G111 3,500 4,2 131100 SH DEFINED 131100 ACME COMM INC COM 004631107 1,371 3,2 132595 SH DEFINED 132595 ACXIOM CORP COM 005125109 407 3,2 24800 SH DEFINED 24800 ADELPHIA COMM NOTE 006848BG9 5,524 4,2,1 7000000 PRN DEFINED AETNA INC COM 00817Y108 2,030 2 52300 SH DEFINED 52300 AFFIL COMP SUBNTCV 008190AF7 3,465 3,2 2400000 PRN DEFINED AFFILIATED COMP CL A 008190100 2,380 3,2 42400 SH DEFINED 42400 AGCO CORP COM 001084102 163 2 7125 SH DEFINED 7125 AGERE SYS INC-A CL A 00845V100 1,903 4,2 489100 SH DEFINED 489100 AGILENT TECH COM 00846U101 6,261 3,4,2 179100 SH DEFINED 179100 ALBERTA EN COM 012873105 3,156 4,2 71900 SH DEFINED 71900 ALCOA INC COM 013817101 5,586 3,4,2 148000 SH DEFINED 148000 ALLEGHENY EN INC COM 017361106 4,300 4,2 104000 SH DEFINED 104000 ALLSTATE CORP COM 020002101 778 3,2 20600 SH DEFINED 20600 ALLTEL CORP COM 020039103 5,583 4,2 100500 SH DEFINED 100500 AMBAC FIN GRP COM 023139108 6,498 3,4,2 110000 SH DEFINED 110000 AMERADA HESS COM 023551104 8,730 4,2 110000 SH DEFINED 110000 AMERICA ONLINE NOTE 02364JAC8 6,630 4,2 12450000 PRN DEFINED AMERICAN EXPRESS COM 025816109 2,662 3,4,2 65000 SH DEFINED 65000 AMERICAN INTL GR COM 026874107 4,342 3,4,2 60190 SH DEFINED 60190 AMERICAN NAT INS COM 028591105 473 2 5000 SH DEFINED 5000 AMERICAN PHYS CAP COM 028884104 550 2 28200 SH DEFINED 28200 AMERISOURCEBERGEN COM 03073E105 2,808 3,2 41110 SH DEFINED 41110 AMGEN INC COM 031162100 10,432 3.4.2 174800 SH DEFINED 174800 AMN HEALTHCARE SER COM 001744101 404 4,2 15000 SH DEFINED 15000 ANADARKO PET COM 032511107 6,618 4,2 117250 SH DEFINED 117250 ANIXTER INTL INC COM 035290105 414 2 13975 SH DEFINED 13975 AON CORP COM 037389103 17,500 4,2 500000 SH DEFINED 500000 APACHE CORP COM 037411105 2,304 3,2 40500 SH DEFINED 40500 APPLIED MAT INC COM 038222105 3,528 3,2 65000 SH DEFINED 65000 ARDEN REALTY GROUP INC COM 039793104 1,005 4,2 35400 SH DEFINED 35400 ARRIS GROUP COM 04269Q100 372 4,2 40000 SH DEFINED 40000 ARVINMERITOR INC COM 043353101 416 2 14575 SH DEFINED 14575 AT & T CORPORATION COM 001957109 5,574 3,2 355001 SH DEFINED 355001 AT&T WRLESS SER COM 00209A106 662 4,2 73993 SH DEFINED 73993 ATLAS AIR WWHLDGS COM 049164106 645 4,2,1 49000 SH DEFINED 49000 AVAYA INC COM 053499109 759 3,4,2 102901 SH DEFINED 102901 AVAYA INC LYONZR 053499AA7 1,849 3,4,2 4500000 PRN DEFINED BARNES & NOBLE INC COM 067774109 1,750 3,2 56480 SH DEFINED 56480 BEA SYSTEMS INC COM 073325102 679 3,2 49500 SH DEFINED 49500 BEA SYSTEMS INC SBCV 073325AD4 1,959 3,2 2350000 PRN DEFINED BECKMAN COULTER INC COM 075811109 306 2 6000 SH DEFINED 6000 BECTON DICKINSON & CO COM 075887109 2,527 4,2 67000 SH DEFINED 67000 BEDFORD PPTY INV COMPR 076446301 146 4,2 5700 SH DEFINED 5700 BELLSOUTH CORP COM 079860102 2,580 4,2 70000 SH DEFINED 70000 BISYS GROUP SBCV 055472AB0 3,286 3,2 2650000 PRN DEFINED BISYS GROUP INC/THE COM 055472104 1,791 3,2 50800 SH DEFINED 50800 BKF CAPITAL GROUP INC COM 05548G102 198 2 6625 SH DEFINED 6625 BOEING COMPANY COM 097023105 1,294 2 26825 SH DEFINED 26825 BORG WARNER AUTO COM 099724106 499 2 7925 SH DEFINED 7925 BOSTON PPTY COM 101121101 1,184 4,2 30000 SH DEFINED 30000 BOWNE & CO INC COM 103043105 437 2 31050 SH DEFINED 31050 BRANDYWINE REALTRST SHINTNW 105368203 471 4,2 19700 SH DEFINED 19700 BRISTOL-MYERS SQUIBB COM 110122108 5,073 4,2 125300 SH DEFINED 125300 BUCKHEAD AMERICA COM 11835A105 4 4,2 21579 SH DEFINED 21579 BURLINGTON RES INC COM 122014103 1,431 4,2 35700 SH DEFINED 35700 CABLEVISION SYS CLANYCBLVS 12686C109 6,018 4,2 177000 SH DEFINED 177000 CARDINAL HEALTH INC. COM 14149Y108 4,568 3,2 64437 SH DEFINED 64437 CARNIVAL CORP COM 143658102 12,283 3,4,2 376200 SH DEFINED 376200 CATELLUS DEVELOP COM 149111106 2,119 4,2 107724 SH DEFINED 107724 CBRL GROUP INC COM 12489V106 1,226 2 43600 SH DEFINED 43600 CELESTICA INC SUBVTGSHS 15101Q108 4,319 3,4,2 119100 SH DEFINED 119100 CELESTICA INC LYONZR 15101QAA6 10,535 3,4,2 24380000 PRN DEFINED CENDANT CORP DEBT 151313AF0 10,126 3,4,2 14005000 PRN DEFINED CENDANT CORP COM 151313103 6,348 3,4,2 330600 SH DEFINED 330600 CENTEX CORP COM 152312104 675 2 13000 SH DEFINED 13000 CEPHALON INC COM 156708109 1,827 2 29000 SH DEFINED 29000 CHARTER COMM INC SUBCV 16117MAB3 3,690 4,2 4200000 PRN DEFINED CHARTER COMM-A CLA 16117M107 5,137 3,4,2 455000 SH DEFINED 455000 CHIRON CORP COM 170040109 11,055 3,4,2 240900 SH DEFINED 240900 CHIRON CORP LYONZR 170040AE9 29,963 3,4,2 54500000 PRN DEFINED CISCO SYSTEMS INC COM 17275R102 4,063 3,2 240000 SH DEFINED 240000 CITIGROUP INC COM 172967101 8,567 3,4,2 173000 SH DEFINED 173000 CLEAR CHANNEL NOTE 184502AB8 3,057 4,2 3000000 PRN DEFINED CLEAR CHANNEL NOTE 184502AE2 6,338 4,2 6500000 PRN DEFINED CLEAR CHANNEL COM 184502102 2,828 3,4,2 55000 SH DEFINED 55000 CLEVELAND-CLIFFS INC COM 185896107 372 2 16925 SH DEFINED 16925 CNA SURETY CORP COM 12612L108 412,748 4,2,1 27425147 SH DEFINED 27425147 CNF INC COM 12612W104 1,622 2 49175 SH DEFINED 49175 COCA COLA CO COM 191216100 1,568 3,2 30000 SH DEFINED 30000 COLT TELECOM ADR 196877104 17 4,2 5760 SH DEFINED 5760 COMCAST CORP CLASPL 200300200 3,180 3,2 100000 SH DEFINED 100000 COMMUNICATION INTELL COM 20338K106 453 4,2 411600 SH DEFINED 411600 COMPUTER ASS INTL COM 204912109 1,385 2 63250 SH DEFINED 63250 CONOCO INC COM 208251504 4,640 4,2 159000 SH DEFINED 159000 CONSTELLATION ENGY COM 210371100 4,467 4,2 144800 SH DEFINED 144800 COOPER INDUSTRIES COM 216669101 1,558 2 37150 SH DEFINED 37150 CORRECTIONS CORP PFDCVB 22025Y308 0 4,2 2 SH DEFINED 2 CORRECTIONS CORPAM COMNEW 22025Y407 28 4,2 2120 SH DEFINED CSX CORP. COM 126408103 4,497 4,2 118000 SH DEFINED 118000 CYTEC INDUSTRIES INC COM 232820100 1,167 2 38350 SH DEFINED 38350 DEL MONTE FOODS CO COM 24522P103 354 2 36375 SH DEFINED 36375 DELL COMPUTER CORP COM 247025109 2,089 3,2 80000 SH DEFINED 80000 DELPHI FINCL CL A 247131105 5,003 4,2 127600 SH DEFINED 127600 DELTA AIR INC COM 247361108 327 2 10000 SH DEFINED DILLARDS INC-CL A CL A 254067101 761 2 31875 SH DEFINED 31875 DOLLAR THRIFTY AUTO COM 256743105 2,115 2 100000 SH DEFINED 100000 DOMINION RES INC COM 25746U109 1,629 3,4,2 25000 SH DEFINED DR HORTON INC COM 23331A109 13,572 4,2 360000 SH DEFINED 360000 DU PONT DE NEM COM 263534109 472 4,2 10000 SH DEFINED 10000 DUKE POWER CO. WI 264399106 378 2 10000 SH DEFINED 10000 DYCOM IND INC COM 267475101 3,378 4,2 225934 SH DEFINED 225934 EATON VANCE COMNOVTG 278265103 4,243 3,4,2 106200 SH DEFINED 106200 ECHOSTAR COMM SBCV 278762AD1 533 3,2 590000 PRN DEFINED ECHOSTAR COMM CL A 278762109 274 3,2 9685 SH DEFINED 9685 EL PASO CORP COM 28336L109 3,324 4,2 75500 SH DEFINED 75500 ELDERTRUST COMSHINT 284560109 1,645 4,2 208200 SH DEFINED 208200 ELEC DATA SYS SRCVZRO 285661AB0 20,425 3,4,2 26000000 PRN DEFINED ELECTRONIC DATA SYS COM 285661104 13,952 3,4,2 240600 SH DEFINED 240600 ELI LILLY & CO COM 532457108 3,421 3,2 44900 SH DEFINED 44900 EMC CORP COM 268648102 6 4,2 480 SH DEFINED 480 ESTERLINE TECHCORP COM 297425100 527 2 25825 SH DEFINED 25825 FIRST CITIZENS BCSHSA CL A 31946M103 51 2 500 SH DEFINED 500 FIRST DATA CORP COM 319963104 4,799 3,2 55000 SH DEFINED 55000 FLEET BOSTON FINCL COM 339030108 700 4,2 20000 SH DEFINED 20000 FLEMING COS INC COM 339130106 1,396 3,2 62300 SH DEFINED 62300 FMC CORP (NEW) COMNEW 302491303 1,841 2 43925 SH DEFINED 43925 FMC TECH INC COM 30249U101 530 2 26600 SH DEFINED 26600 FOOT LOCKER INC COM 344849104 2,129 3,.2 131600 SH DEFINED 131600 FORD MOTOR COM 345370860 15,666 3,4,2 950000 SH DEFINED 950000 FORTUNE BRANDS COM 349631101 1,271 2 25750 SH DEFINED 25750 FPL GROUP COM 302571104 1,191 4,2 20000 SH DEFINED 20000 FREDDIE MAC COM 313400301 10,393 3,2 164000 SH DEFINED 164000 FREEPORT MCMORAN CLB 35671D857 1,390 2 78875 SH DEFINED 78875 FRONTLINE LTD. 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