0000021175-14-000016.txt : 20140214
0000021175-14-000016.hdr.sgml : 20140214
20140214160523
ACCESSION NUMBER: 0000021175-14-000016
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140212
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
ISSUER:
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
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KANTOR JONATHAN D
CENTRAL INDEX KEY: 0001223649
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05823
FILM NUMBER: 14616356
MAIL ADDRESS:
STREET 1: CNA PLAZA 43S
CITY: CHICAGO
STATE: IL
ZIP: 60685
4
1
wf-form4_139241188178127.xml
FORM 4
X0306
4
2014-02-12
0
0000021175
CNA FINANCIAL CORP
CNA
0001223649
KANTOR JONATHAN D
333 S. WABASH
CHICAGO
IL
60604
0
1
0
0
EVP, Gen. Counsel & Sec.
Common Stock
2014-02-12
4
M
0
30000
26.27
A
30000
D
Common Stock
2014-02-12
4
S
0
30000
42.20
D
0
D
Common Stock
2014-02-12
4
M
0
30000
27.27
A
30000
D
Common Stock
2014-02-12
4
S
0
30000
42.20
D
0
D
Common Stock
2014-02-12
4
M
0
30000
42.28
A
8017
D
Common Stock
2014-02-12
4
F
0
3879
42.28
D
4138
D
Common Stock
2014-02-12
4
M
0
22500
42.28
A
13035
D
Common Stock
2014-02-12
4
F
0
4588
42.28
D
8447
D
Common Stock
2014-02-12
4
M
0
22500
42.28
A
16519
D
Common Stock
2014-02-12
4
F
0
4163
42.28
D
12356
D
Stock Options
26.27
2014-02-12
4
M
0
30000
0
D
2014-04-28
Common Stock
30000.0
0
D
Stock Options
27.27
2014-02-12
4
M
0
30000
0
D
2015-02-09
Common Stock
30000.0
0
D
Stock Appreciation Rights
30.98
2014-02-12
4
M
0
30000
0
D
2016-02-08
Common Stock
30000.0
0
D
Stock Appreciation Rights
25.56
2014-02-12
4
M
0
22500
0
D
2020-03-03
Common Stock
22500.0
7500
D
Stock Appreciation Rights
27.11
2014-02-12
4
M
0
22500
0
D
2021-01-28
Common Stock
22500.0
7500
D
This transaction was executed in multiple trades at prices ranging from $42.57 to $41.975. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The Reporting Person exercised 30,000 Stock Appreciation Rights and as such received a gain of 8,017 shares of the issuers common stock.
The Company's Incentive Compensation Plan (as amended as of January 1, 2010) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants upon the lapse of restrictions on those shares. As previously reported, these shares were granted to Mr. Kantor on February 8, 2006.
The Reporting Person exercised 22,500 Stock Appreciation Rights and as such received a gain of 8,897 shares of the issuers common stock.
The Company's Incentive Compensation Plan (as amended as of January 1, 2010) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants upon the lapse of restrictions on those shares. As previously reported, these shares were granted to Mr. Kantor on March 3, 2010.
The Reporting Person exercised 22,500 Stock Appreciation Rights and as such received a gain of 8,072 shares of the issuers common stock.
The Company's Incentive Compensation Plan (as amended as of January 1, 2010) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants upon the lapse of restrictions on those shares. As previously reported, these shares were granted to Mr. Kantor on January 28, 2011.
As previously reported, the option became exercisable in four equal annual installments beginning on April 28, 2005.
The Reporting Person received the Stock Options at no cost.
As previously reported, the option became exercisable in four equal annual installments beginning on February 9, 2006.
As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on February 8, 2007.
The Reporting Person received the Derivative Security pursuant to a grant of stock appreciation rights at no cost.
As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on March 3, 2011.
As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on January 28, 2012.
Jonathan D. Kantor
2014-02-13