CNA FINANCIAL CORP 4

Accession 0000021175-17-000016

$CNACIK 0000021175operating

Filed

Feb 8, 7:00 PM ET

Accepted

Feb 9, 8:13 PM ET

Size

24.1 KB

Accession

0000021175-17-000016

Form 4

Period: 2017-02-07

EVP, Gen. Counsel & Corp. Sec.

Transactions

Tax Payment
Common Stock
2017-02-09$42.38/sh−4,594$194,694→ 17,324 total
Exercise/Conversion
Common Stock
2017-02-09$42.38/sh+2,976$126,123→ 20,300 total
Exercise/Conversion
Common Stock
2017-02-09$42.38/sh+2,702$114,511→ 21,902 total
Exercise/Conversion
Stock Appreciation Rights
2017-02-07−30,000→ 0 total
Exercise: $41.86Exp: 2017-02-07→ Common Stock (30,000 underlying)
Exercise/Conversion
Stock Appreciation Rights
2017-02-09−17,067→ 0 total
Exercise: $11.51Exp: 2019-02-04→ Common Stock (17,067 underlying)
Exercise/Conversion
Stock Appreciation Rights
2017-02-09−7,500→ 0 total
Exercise: $27.11Exp: 2021-01-28→ Common Stock (7,500 underlying)
Tax Payment
Common Stock
2017-02-09$42.38/sh−999$42,338→ 20,903 total
Exercise/Conversion
Common Stock
2017-02-07$42.40/sh+382$16,197→ 9,869 total
Exercise/Conversion
Common Stock
2017-02-09$42.38/sh+12,431$526,826→ 21,918 total
Tax Payment
Common Stock
2017-02-09$42.38/sh−1,100$46,618→ 19,200 total
Sale
Common Stock
2017-02-07$42.65/sh−382$16,292→ 9,487 total
Exercise/Conversion
Stock Appreciation Rights
2017-02-09−7,500→ 0 total
Exercise: $25.56Exp: 2020-03-03→ Common Stock (7,500 underlying)

Footnotes (10)

[F1]The Reporting Person exercised 30,000 Stock Appreciation Rights and as such received a gain of 382 shares of the issuers common stock.
[F10]As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on January 28, 2012.
[F2]The Reporting Person exercised 17,067 Stock Appreciation Rights and as such received a gain of 12,431 shares of the issuers common stock.
[F3]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.
[F4]The Reporting Person exercised 7,500 Stock Appreciation Rights and as such received a gain of 2,976 shares of the issuers common stock.
[F5]The Reporting Person exercised 7,500 Stock Appreciation Rights and as such received a gain of 2,702 shares of the issuers common stock.
[F6]As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on February 7, 2008.
[F7]As previously reported, the Reporting Person received the Derivative Security pursuant to a grant of stock appreciation rights at no cost.
[F8]As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on February 4, 2010.
[F9]As previously reported, the Stock Appreciation Rights became exercisable in four equal annual installments beginning on March 3, 2011.

Documents

1 file

CNA FINANCIAL CORP

CIK 0000021175

Entity typeoperating

IncorporatedDE