Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CNA FINANCIAL CORPCNA · Entity 3413 | Interim CFO | September 03, 2021 | September 13, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CNA FINANCIAL CORP
Report date September 03, 2021 · Filed September 13, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 71,196 |
Reported balance
Holding disclosure · report date 2021-09-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 71,196 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 15, 2020 Filed Mar 17, 2020 13:38 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Tax withholdingCommon Stock | 3,696 | $34.59 | $127,844.64 |
DisclosureSEC source: 0000021175-20-000040 · wf-form4_158445228060639.xml · nonDerivative · entry 2 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,328 F3 · kind: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 13:38 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | GrantCommon Stock | 9,903 | $0.00 | $0.00 |
DisclosureSEC source: 0000021175-20-000040 · wf-form4_158445228060639.xml · nonDerivative · entry 1 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,024 F1 · shares: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) provides for the issuance of CNA Financial Corporation's common stock under the Performance Share Plan (PSP) awards based upon achievement of predetermined financial goals for the 2019 performance cycle. 9,903 PSP shares were achieved and will cliff vest on March 15, 2022. No performance share unit shall vest on such vesting date unless the reporting person has been continuously employed by CNA Financial Corporation from the grant date until such vesting date except as otherwise specified in award terms and employment agreement, if any. F2 · price: The Reporting Person received the CNAF shares at no cost. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 20:30 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Tax withholdingCommon Stock | 4,047 | $43.73 | $176,975.31 |
DisclosureSEC source: 0000021175-19-000048 · wf-form4_155302739092130.xml · nonDerivative · entry 2 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,121 F3 · kind: The Issuer's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 20:30 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | GrantCommon Stock | 8,519 | $0.00 | $0.00 |
DisclosureSEC source: 0000021175-19-000048 · wf-form4_155302739092130.xml · nonDerivative · entry 1 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,168 F1 · shares: The Issuer's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) provides for the issuance of the Issuer's common stock under the Performance Share Plan (PSP) awards based upon achievement of predetermined financial goals for the 2018 performance cycle. 8,519 PSP shares were achieved and will cliff vest on March 15, 2021. No performance share unit shall vest on such vesting date unless the Reporting Person has been continuously employed with the Issuer from the grant date until such vesting date except as otherwise specified in award terms and employment agreement, if any. F2 · price: The Reporting Person received the Issuer's shares at no cost. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 16:58 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Exercise / conversionStock Appreciation Rights · Derivative | 15,000 | $0.00 Strike: $11.51 | $0.00 |
DisclosureSEC source: 0000021175-18-000119 · wf-form4_154178266569291.xml · derivative · entry 3 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2019-02-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: As previously reported, the Reporting Person received the Derivative Security pursuant to a grant of stock appreciation rights at no cost. F3 · derivative.exercise_date: As previously reported, the Stock Appreciation Rights became exercisable in four equal installments beginning on February 4, 2010. Grant date was February 4, 2009. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 16:58 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | SaleCommon Stock | 11,358 | $47.73 | $542,117.34 |
DisclosureSEC source: 0000021175-18-000119 · wf-form4_154178266569291.xml · nonDerivative · entry 2 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,649 F2 · price: This transaction was executed in multiple trades at prices ranging from $47.43 to $47.92. 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. Read SEC document |
| November 07, 2018 Filed Nov 9, 2018 16:58 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Exercise / conversionCommon Stock | 11,358 | $47.41 | $538,482.78 |
DisclosureSEC source: 0000021175-18-000119 · wf-form4_154178266569291.xml · nonDerivative · entry 1 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,007 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The Reporting Person exercised 15,000 Stock Appreciation Rights and as such received a gain of 11,358 shares of the issuers common stock. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 16:28 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Tax withholdingCommon Stock | 3,045 | $52.29 | $159,223.05 |
DisclosureSEC source: 0000021175-18-000030 · wf-form4_152147689856576.xml · nonDerivative · entry 2 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,649 F4 · kind: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants. Read SEC document |
| March 15, 2018 Filed Mar 19, 2018 16:28 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | GrantCommon Stock | 14,691 | $0.00 | $0.00 |
DisclosureSEC source: 0000021175-18-000030 · wf-form4_152147689856576.xml · nonDerivative · entry 1 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,694 F1 · shares: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) provides for the issuance of CNA Financial Corporation's common stock under the Long-Term Incentive Plan based upon achievement of predetermined financial goals over a three year period. For 2015-2017 performance period, Mr. Haefner was awarded 3,984 shares of CNA Financial Corporation's common stock. F2 · shares: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) provides for the issuance of CNA Financial Corporation's common stock under the Performance Share Plan (PSP) awards based upon achievement of predetermined financial goals for the 2017 performance cycle. 10,707 PSP shares were achieved and will cliff vest on March 15, 2020. No performance share unit shall vest on such vesting date unless the reporting person has been continuously employed by CNA Financial Corporation from the grant date until such vesting date except as otherwise specified in award terms and employment agreement, if any. F3 · price: The Reporting Person received the CNAF shares at no cost. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 15:19 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Exercise / conversionStock Appreciation Rights · Derivative | 15,000 | $0.00 Strike: $26.75 | $0.00 |
DisclosureSEC source: 0000021175-18-000024 · wf-form4_151913997976256.xml · derivative · entry 3 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2018-04-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: As previously reported, the Reporting Person received the Derivative Security pursuant to a grant of stock appreciation rights at no cost. F2 · derivative.exercise_date: As previously reported, the Stock Appreciation Rights became exercisable in four equal installments beginning on April 30, 2009. Grant date was April 30, 2008. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 15:19 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | SaleCommon Stock | 7,457 | $53.25 | $397,085.25 |
DisclosureSEC source: 0000021175-18-000024 · wf-form4_151913997976256.xml · nonDerivative · entry 2 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,003 Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 15:19 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Exercise / conversionCommon Stock | 7,457 | $53.20 | $396,712.40 |
DisclosureSEC source: 0000021175-18-000024 · wf-form4_151913997976256.xml · nonDerivative · entry 1 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,460 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: The Reporting Person exercised 15,000 Stock Appreciation Rights and as such received a gain of 7,457 shares of the issuers common stock. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 16:18 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | Tax withholdingCommon Stock | 899 | $44.30 | $39,825.70 |
DisclosureSEC source: 0000021175-17-000062 · wf-form4_148976750363535.xml · nonDerivative · entry 2 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,003 F2 · kind: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) permits the withholding of shares of common stock to satisfy tax withholding obligations of the participants. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 16:18 UTC | CNA FINANCIAL CORP CNA · Entity 3413 | GrantCommon Stock | 17,360 | $0.00 | $0.00 |
DisclosureSEC source: 0000021175-17-000062 · wf-form4_148976750363535.xml · nonDerivative · entry 1 Haefner Larry A. · CIK 0001433209 · EVP & Chief Actuary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,902 F1 · shares: The Company's Incentive Compensation Plan (as amended as of January 1, 2010 and April 27, 2016) provides for the issuance of CNA Financial Corporation's common stock under the Special Supplemental Equity (SSE) and Performance Share Plan (PSP) awards based upon achievement of predetermined financial goals for the 2016 performance cycle. 5,786 SSE shares were achieved with half vesting on March 15, 2017 and the remaining to vest on March 15, 2018. 11,574 PSP shares were achieved and will cliff vest on March 15, 2019. No performance share unit shall vest on such vesting date unless the reporting person has been continuously employed by CNA Financial Corporation from the grant date until such vesting date except as otherwise specified in award terms and employment agreement, if any. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.