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