Form 13F-HR CNA FINANCIAL CORP For: Jun 30
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F
FORM 13F COVER PAGE
|
OMB APPROVAL |
OMB Number: |
3235-0006 |
Expires: |
July 31, 2015 |
Estimated average burden |
hours per response: |
23.8 |
|
|
Report for the Calendar Year or Quarter Ended: |
06-30-2016 |
Check here if Amendment |
|
Amendment Number: |
|
This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
Institutional Investment Manager Filing
this Report: |
Name: |
CNA FINANCIAL CORP |
Address: |
CNA |
|
333 S. WABASH |
|
|
|
CHICAGO
,
IL60604
|
Form 13F File Number: |
028-00346 |
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: |
Lawrence J. Boysen |
Title: |
Senior Vice President and Corporate Controller |
Phone: |
312-822-5653 |
Signature, Place, and Date of Signing: |
Lawrence J. Boysen |
Chicago
,
IL
|
08-04-2016 |
[Signature] |
[City, State] |
[Date] |
|
Report Type (Check only one.): |
X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
3 |
|
|
|
Form 13F Information Table Entry Total: |
179 |
|
Form 13F Information Table Value Total: |
402,209 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
|
28-217 |
Loews Corporation |
|
28-172 |
The Continental Corporation |
|
28-387 |
Continental Casualty Company |
List of Other Included
Managers: |
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
|
1 |
28-217 |
Loews Corporation |
|
2 |
28-172 |
The Continental Corporation |
|
3 |
28-387 |
Continental Casualty Company |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 FORM 13F
FORM 13F INFORMATION TABLE
|
OMB APPROVAL |
OMB Number: |
3235-0006 |
Expires: |
July 31, 2015 |
Estimated average
burden |
hours per response:
|
23.8 |
|
|
COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
ARC DOCUMENT SOLUTIONS INC |
COM |
00191G103 |
591 |
152,175 |
SH |
|
DFND |
1,2,3 |
0 |
152,175 |
0 |
ABBOTT LABORATORIES |
COM |
002824100 |
1,512 |
38,475 |
SH |
|
DFND |
1,2,3 |
0 |
38,475 |
0 |
ACTUANT CORP |
CL A |
00508X203 |
1,458 |
64,500 |
SH |
|
DFND |
1,2,3 |
0 |
64,500 |
0 |
AECOM |
COM |
00766T100 |
1,999 |
62,952 |
SH |
|
DFND |
1,2,3 |
0 |
62,952 |
0 |
AETNA INC |
COM |
00817Y108 |
6,472 |
53,000 |
SH |
|
DFND |
1,2,3 |
0 |
53,000 |
0 |
ALPHABET INC CAP STK CL A |
CL A |
02079K305 |
657 |
935 |
SH |
|
DFND |
1,2,3 |
0 |
935 |
0 |
AMERICAN AIRLINES GROUP INC |
COM |
02376R102 |
2,610 |
92,200 |
SH |
|
DFND |
1,2,3 |
0 |
92,200 |
0 |
AMERICAN INTERNATIONAL GROUP |
COM NEW |
026874784 |
1,948 |
36,850 |
SH |
|
DFND |
1,2,3 |
0 |
36,850 |
0 |
ANADARKO PETROLEUM CORP |
COM |
032511107 |
5,009 |
94,080 |
SH |
|
DFND |
1,2,3 |
0 |
94,080 |
0 |
APACHE CORP |
COM |
037411105 |
2,641 |
47,450 |
SH |
|
DFND |
1,2,3 |
0 |
47,450 |
0 |
APOLLO GLOBAL MANAGEMENT |
CLA SHS |
037612306 |
662 |
43,700 |
SH |
|
DFND |
1,2,3 |
0 |
43,700 |
0 |
ARGAN INC |
COM |
04010E109 |
410 |
9,851 |
SH |
|
DFND |
1,2,3 |
0 |
9,851 |
0 |
ASSOCIATED BANC-CORP |
COM |
045487105 |
1,561 |
91,050 |
SH |
|
DFND |
1,2,3 |
0 |
91,050 |
0 |
ASSURANT INC |
COM |
04621X108 |
7,957 |
92,200 |
SH |
|
DFND |
1,2,3 |
0 |
92,200 |
0 |
AVNET INC |
COM |
053807103 |
2,512 |
62,025 |
SH |
|
DFND |
1,2,3 |
0 |
62,025 |
0 |
BP PLC |
SPONSORED ADR |
055622104 |
2,447 |
68,932 |
SH |
|
DFND |
1,2,3 |
0 |
68,932 |
0 |
BANK OF AMERICA CORP |
COM |
060505104 |
2,533 |
190,900 |
SH |
|
DFND |
1,2,3 |
0 |
190,900 |
0 |
BARRICK GOLD CORP |
COM |
067901108 |
3,295 |
154,350 |
SH |
|
DFND |
1,2,3 |
0 |
154,350 |
0 |
BBCN BANCORP INC |
COM |
073295107 |
1,211 |
81,225 |
SH |
|
DFND |
1,2,3 |
0 |
81,225 |
0 |
BROOKDALE SENIOR LIVING INC |
COM |
112463104 |
1,508 |
97,675 |
SH |
|
DFND |
1,2,3 |
0 |
97,675 |
0 |
CNO FINANCIAL GROUP |
COM |
12621E103 |
913 |
52,323 |
SH |
|
DFND |
1,2,3 |
0 |
52,323 |
0 |
CVR PARTNERS LP |
COM |
126633106 |
4,119 |
504,164 |
SH |
|
DFND |
1,2,3 |
0 |
504,164 |
0 |
CARPENTER TECHNOLOGY |
COM |
144285103 |
615 |
18,696 |
SH |
|
DFND |
1,2,3 |
0 |
18,696 |
0 |
CATCHMARK TIMBER TR INC |
CL A |
14912Y202 |
144 |
11,860 |
SH |
|
DFND |
1,2,3 |
0 |
11,860 |
0 |
CEMPRA INC |
COM |
15130J109 |
584 |
35,472 |
SH |
|
DFND |
1,2,3 |
0 |
35,472 |
0 |
CHART INDUSTRIES INC |
COM |
16115Q308 |
1,507 |
62,475 |
SH |
|
DFND |
1,2,3 |
0 |
62,475 |
0 |
CISCO SYSTEMS INC |
COM |
17275R102 |
1,853 |
64,600 |
SH |
|
DFND |
1,2,3 |
0 |
64,600 |
0 |
CITIGROUP INC |
COM |
172967424 |
6,711 |
158,321 |
SH |
|
DFND |
1,2,3 |
0 |
158,321 |
0 |
COCA COLA CO |
COM |
191216100 |
1,693 |
37,350 |
SH |
|
DFND |
1,2,3 |
0 |
37,350 |
0 |
COLUMBUS MCKINNON CORP/NY |
COM |
199333105 |
854 |
60,393 |
SH |
|
DFND |
1,2,3 |
0 |
60,393 |
0 |
COMCAST CORP |
CL A |
20030N101 |
5,814 |
89,200 |
SH |
|
DFND |
1,2,3 |
0 |
89,200 |
0 |
CORNING INC |
COM |
219350105 |
4,896 |
239,105 |
SH |
|
DFND |
1,2,3 |
0 |
239,105 |
0 |
COVANTA HOLDING CORP |
COM |
22282E102 |
2,457 |
149,386 |
SH |
|
DFND |
1,2,3 |
0 |
149,386 |
0 |
CUBIC CORP |
COM |
229669106 |
1,259 |
31,350 |
SH |
|
DFND |
1,2,3 |
0 |
31,350 |
0 |
DR HORTON INC |
COM |
23331A109 |
3,280 |
104,200 |
SH |
|
DFND |
1,2,3 |
0 |
104,200 |
0 |
DANA HOLDING CORP |
COM |
235825205 |
811 |
76,849 |
SH |
|
DFND |
1,2,3 |
0 |
76,849 |
0 |
DELTA AIR LINES INC |
COM NEW |
247361702 |
3,586 |
98,440 |
SH |
|
DFND |
1,2,3 |
0 |
98,440 |
0 |
DEVON ENERGY CORP |
COM |
25179M103 |
1,990 |
54,900 |
SH |
|
DFND |
1,2,3 |
0 |
54,900 |
0 |
DIAMONDROCK HOSPITALITY CO |
COM |
252784301 |
303 |
33,571 |
SH |
|
DFND |
1,2,3 |
0 |
33,571 |
0 |
DIODES INC |
COM |
254543101 |
1,125 |
59,875 |
SH |
|
DFND |
1,2,3 |
0 |
59,875 |
0 |
DOVER CORP |
COM |
260003108 |
1,743 |
25,150 |
SH |
|
DFND |
1,2,3 |
0 |
25,150 |
0 |
DOW CHEMICAL CORP |
COM |
260543103 |
2,752 |
55,380 |
SH |
|
DFND |
1,2,3 |
0 |
55,380 |
0 |
ENBRIDGE ENERGY PARTNERS LP |
COM |
29250R106 |
3,214 |
138,540 |
SH |
|
DFND |
1,2,3 |
0 |
138,540 |
0 |
ENERGY TRANSFER PARTNERS LP |
UNIT LTD PARTN |
29273R109 |
501 |
13,175 |
SH |
|
DFND |
1,2,3 |
0 |
13,175 |
0 |
ENOVA INTERNATIONAL INC-W/I |
COM |
29357K103 |
117 |
16,025 |
SH |
|
DFND |
1,2,3 |
0 |
16,025 |
0 |
ESSENDANT INC |
COM |
296689102 |
1,311 |
42,900 |
SH |
|
DFND |
1,2,3 |
0 |
42,900 |
0 |
EZCORP INC |
CL A |
302301106 |
310 |
41,100 |
SH |
|
DFND |
1,2,3 |
0 |
41,100 |
0 |
EXXON MOBIL CORP |
COM |
30231G102 |
2,013 |
21,475 |
SH |
|
DFND |
1,2,3 |
0 |
21,475 |
0 |
FEDEX CORPORATION |
COM |
31428X106 |
4,098 |
27,000 |
SH |
|
DFND |
1,2,3 |
0 |
27,000 |
0 |
FIRST CITIZENS BCSHS |
CL A |
31946M103 |
658 |
2,545 |
SH |
|
DFND |
1,2,3 |
0 |
2,545 |
0 |
FIRST HORIZON NATIONAL CORP |
COM |
320517105 |
726 |
52,700 |
SH |
|
DFND |
1,2,3 |
0 |
52,700 |
0 |
FIRST MIDWEST BANCORP INC/IL |
COM |
320867104 |
1,153 |
65,675 |
SH |
|
DFND |
1,2,3 |
0 |
65,675 |
0 |
FORD MOTOR COMPANY |
COM |
345370860 |
1,675 |
133,275 |
SH |
|
DFND |
1,2,3 |
0 |
133,275 |
0 |
FRANKLIN RESOURCES INC |
COM |
354613101 |
2,117 |
63,450 |
SH |
|
DFND |
1,2,3 |
0 |
63,450 |
0 |
FUELCELL ENERGY INC |
COM NEW |
35952H502 |
446 |
71,712 |
SH |
|
DFND |
1,2,3 |
0 |
71,712 |
0 |
GENERAL CABLE CORP |
COM |
369300108 |
851 |
66,975 |
SH |
|
DFND |
1,2,3 |
0 |
66,975 |
0 |
GENERAL MOTORS CO |
COM |
37045V100 |
1,222 |
43,190 |
SH |
|
DFND |
1,2,3 |
0 |
43,190 |
0 |
GENERAL MOTORS |
WARRANT |
37045V118 |
1,005 |
54,576 |
SH |
|
DFND |
1,2,3 |
0 |
54,576 |
0 |
GENWORTH FINANCIAL INC |
CL A |
37247D106 |
161 |
62,650 |
SH |
|
DFND |
1,2,3 |
0 |
62,650 |
0 |
GIBRALTAR INDUSTRIES INC |
COM |
374689107 |
1,331 |
42,179 |
SH |
|
DFND |
1,2,3 |
0 |
42,179 |
0 |
GOLDMAN SACHS GROUP INC |
COM |
38141G104 |
5,809 |
39,100 |
SH |
|
DFND |
1,2,3 |
0 |
39,100 |
0 |
GOVERNMENT PROPERTIES INCOME |
COM SHS BEN INT |
38376A103 |
1,001 |
43,450 |
SH |
|
DFND |
1,2,3 |
0 |
43,450 |
0 |
GRANITE REAL ESTATE INVESTMENT TRST |
UNIT |
387437114 |
1,014 |
33,600 |
SH |
|
DFND |
1,2,3 |
0 |
33,600 |
0 |
GREAT PLAINS ENERGY INC |
COM |
391164100 |
550 |
18,100 |
SH |
|
DFND |
1,2,3 |
0 |
18,100 |
0 |
HP INC |
COM |
40434L105 |
1,677 |
133,655 |
SH |
|
DFND |
1,2,3 |
0 |
133,655 |
0 |
HARSCO CORP |
COM |
415864107 |
327 |
49,300 |
SH |
|
DFND |
1,2,3 |
0 |
49,300 |
0 |
HEALTH INSURANCE INNOVATION |
COM CL A |
42225K106 |
58 |
14,859 |
SH |
|
DFND |
1,2,3 |
0 |
14,859 |
0 |
HERTZ GLOBAL HOLDINGS INC |
COM |
42805T105 |
454 |
41,100 |
SH |
|
DFND |
1,2,3 |
0 |
41,100 |
0 |
HEWLETT PACKARD ENTERPRISE C |
COM |
42824C109 |
2,441 |
133,655 |
SH |
|
DFND |
1,2,3 |
0 |
133,655 |
0 |
ICONIX BRAND GROUP INC |
COM |
451055107 |
539 |
79,787 |
SH |
|
DFND |
1,2,3 |
0 |
79,787 |
0 |
INSIGHT ENTERPRISES INC |
COM |
45765U103 |
1,303 |
50,128 |
SH |
|
DFND |
1,2,3 |
0 |
50,128 |
0 |
INORG CHEM NEC |
COM |
45768S105 |
914 |
19,887 |
SH |
|
DFND |
1,2,3 |
0 |
19,887 |
0 |
INTEL CORP |
COM |
458140100 |
1,609 |
49,075 |
SH |
|
DFND |
1,2,3 |
0 |
49,075 |
0 |
INTERPUBLIC GROUP COS INC |
COM |
460690100 |
1,089 |
47,150 |
SH |
|
DFND |
1,2,3 |
0 |
47,150 |
0 |
JPMORGAN CHASE & COMPANY |
COM |
46625H100 |
7,410 |
119,250 |
SH |
|
DFND |
1,2,3 |
0 |
119,250 |
0 |
JIVE SOFTWARE INC |
COM |
47760A108 |
378 |
100,553 |
SH |
|
DFND |
1,2,3 |
0 |
100,553 |
0 |
JOHNSON & JOHNSON |
COM |
478160104 |
1,338 |
11,035 |
SH |
|
DFND |
1,2,3 |
0 |
11,035 |
0 |
JOY GLOBAL INC |
COM |
481165108 |
1,324 |
62,655 |
SH |
|
DFND |
1,2,3 |
0 |
62,655 |
0 |
KBR INC |
COM |
48242W106 |
1,815 |
137,159 |
SH |
|
DFND |
1,2,3 |
0 |
137,159 |
0 |
KAISER ALUMINUM CORP |
COM |
483007704 |
542 |
6,000 |
SH |
|
DFND |
1,2,3 |
0 |
6,000 |
0 |
KAPSTONE PAPER AND PACKAGING |
COM |
48562P103 |
177 |
13,631 |
SH |
|
DFND |
1,2,3 |
0 |
13,631 |
0 |
KEY ENERGY SERVICES INC |
COM |
492914106 |
62 |
269,075 |
SH |
|
DFND |
1,2,3 |
0 |
269,075 |
0 |
KRATOS DEFENSE & SECURITY |
COM NEW |
50077B207 |
60 |
14,788 |
SH |
|
DFND |
1,2,3 |
0 |
14,788 |
0 |
LAMAR ADVERTISING CO |
CL A |
512816109 |
1,930 |
29,125 |
SH |
|
DFND |
1,2,3 |
0 |
29,125 |
0 |
LENNAR CORP |
CL A |
526057104 |
2,305 |
50,000 |
SH |
|
DFND |
1,2,3 |
0 |
50,000 |
0 |
LEXMARK INTL GROUP INC |
CL A |
529771107 |
517 |
13,700 |
SH |
|
DFND |
1,2,3 |
0 |
13,700 |
0 |
LINCOLN NATIONAL CORP INDIANA |
COM |
534187109 |
5,606 |
144,600 |
SH |
|
DFND |
1,2,3 |
0 |
144,600 |
0 |
LINKEDIN CORP |
CL A |
53578A108 |
1,105 |
5,840 |
SH |
|
DFND |
1,2,3 |
0 |
5,840 |
0 |
WILLIAM LYON HOMES |
CL A NEW |
552074700 |
444 |
27,600 |
SH |
|
DFND |
1,2,3 |
0 |
27,600 |
0 |
MASONITE INTERNATIONAL CORP |
COM |
575385109 |
1,554 |
23,500 |
SH |
|
DFND |
1,2,3 |
0 |
23,500 |
0 |
MAXWELL TECHNOLOGIES INC |
COM |
577767106 |
132 |
25,091 |
SH |
|
DFND |
1,2,3 |
0 |
25,091 |
0 |
MERCER INTL INC |
COM |
588056101 |
138 |
17,410 |
SH |
|
DFND |
1,2,3 |
0 |
17,410 |
0 |
METLIFE INC |
COM |
59156R108 |
1,602 |
40,225 |
SH |
|
DFND |
1,2,3 |
0 |
40,225 |
0 |
MICROSOFT CORP |
COM |
594918104 |
8,876 |
173,475 |
SH |
|
DFND |
1,2,3 |
0 |
173,475 |
0 |
MILLER INDUSTRIES INC/TENN |
COM |
600551204 |
225 |
10,973 |
SH |
|
DFND |
1,2,3 |
0 |
10,973 |
0 |
MOELIS & CO |
CL A |
60786M105 |
4,912 |
218,337 |
SH |
|
DFND |
1,2,3 |
0 |
218,337 |
0 |
MORGAN STANLEY |
COM |
617446448 |
2,252 |
86,700 |
SH |
|
DFND |
1,2,3 |
0 |
86,700 |
0 |
NRG ENERGY INC |
COM NEW |
629377508 |
634 |
42,341 |
SH |
|
DFND |
1,2,3 |
0 |
42,341 |
0 |
NEW SR INVT GROUP INC |
COM |
648691103 |
2,905 |
272,052 |
SH |
|
DFND |
1,2,3 |
0 |
272,052 |
0 |
NEWS CORP |
CL A |
65249B109 |
831 |
73,225 |
SH |
|
DFND |
1,2,3 |
0 |
73,225 |
0 |
NEWS CORP |
CL B |
65249B208 |
598 |
51,275 |
SH |
|
DFND |
1,2,3 |
0 |
51,275 |
0 |
NOVAGOLD RESOURCES INC |
COM NEW |
66987E206 |
667 |
109,110 |
SH |
|
DFND |
1,2,3 |
0 |
109,110 |
0 |
OCI PARTNERS LP |
COM UNIT REP LP |
67091N108 |
577 |
76,518 |
SH |
|
DFND |
1,2,3 |
0 |
76,518 |
0 |
OCCIDENTAL PETROLEUM |
COM |
674599105 |
4,296 |
56,866 |
SH |
|
DFND |
1,2,3 |
0 |
56,866 |
0 |
OMNICOM GROUP INC COM |
COM |
681919106 |
1,947 |
23,900 |
SH |
|
DFND |
1,2,3 |
0 |
23,900 |
0 |
ON SEMICONDUCTOR CORPORATION |
COM |
682189105 |
2,757 |
312,675 |
SH |
|
DFND |
1,2,3 |
0 |
312,675 |
0 |
ORACLE CORP |
COM |
68389X105 |
9,643 |
235,600 |
SH |
|
DFND |
1,2,3 |
0 |
235,600 |
0 |
OWENS & MINOR INC |
COM |
690732102 |
669 |
17,900 |
SH |
|
DFND |
1,2,3 |
0 |
17,900 |
0 |
PNC FINL SVCS GROUP INC |
COM |
693475105 |
1,025 |
12,604 |
SH |
|
DFND |
1,2,3 |
0 |
12,604 |
0 |
PARK STERLING CORP |
COM |
70086Y105 |
627 |
88,466 |
SH |
|
DFND |
1,2,3 |
0 |
88,466 |
0 |
PARKER HANNIFIN CORP |
COM |
701094104 |
1,461 |
13,525 |
SH |
|
DFND |
1,2,3 |
0 |
13,525 |
0 |
PFIZER INC |
COM |
717081103 |
7,587 |
215,491 |
SH |
|
DFND |
1,2,3 |
0 |
215,491 |
0 |
PIONEER NATURAL RESOURCES CO |
COM |
723787107 |
4,052 |
26,800 |
SH |
|
DFND |
1,2,3 |
0 |
26,800 |
0 |
PORTLAND GENERAL ELECTRIC |
COM |
736508847 |
450 |
10,200 |
SH |
|
DFND |
1,2,3 |
0 |
10,200 |
0 |
PRIMERICA INC |
COM |
74164M108 |
230 |
4,031 |
SH |
|
DFND |
1,2,3 |
0 |
4,031 |
0 |
REINSURANCE GROUP OF AMERICA |
COM NEW |
759351604 |
969 |
10,000 |
SH |
|
DFND |
1,2,3 |
0 |
10,000 |
0 |
RENT-A-CENTER INC |
COM |
76009N100 |
897 |
73,050 |
SH |
|
DFND |
1,2,3 |
0 |
73,050 |
0 |
ROYAL DUTCH SHELL PLC |
SPONSORED ADR |
780259206 |
3,417 |
61,890 |
SH |
|
DFND |
1,2,3 |
0 |
61,890 |
0 |
SPDR GOLD TRUST |
SHS |
78463V107 |
31,630 |
250,000 |
SH |
|
DFND |
1,2,3 |
0 |
250,000 |
0 |
SCHNITZER STEEL INDS INC |
CL A |
806882106 |
759 |
43,175 |
SH |
|
DFND |
1,2,3 |
0 |
43,175 |
0 |
SCIENCE APPLICATIONS INTE |
COM |
808625107 |
735 |
12,600 |
SH |
|
DFND |
1,2,3 |
0 |
12,600 |
0 |
STANLEY BLACK & DECKER INC |
COM |
854502101 |
1,092 |
9,825 |
SH |
|
DFND |
1,2,3 |
0 |
9,825 |
0 |
STAPLES INC |
COM |
855030102 |
1,902 |
220,653 |
SH |
|
DFND |
1,2,3 |
0 |
220,653 |
0 |
STATE STR CORP |
COM |
857477103 |
1,207 |
22,400 |
SH |
|
DFND |
1,2,3 |
0 |
22,400 |
0 |
STONERIDGE INC |
COM |
86183P102 |
866 |
57,975 |
SH |
|
DFND |
1,2,3 |
0 |
57,975 |
0 |
SUPERIOR ENERGY SERVICES INC |
COM |
868157108 |
2,116 |
114,975 |
SH |
|
DFND |
1,2,3 |
0 |
114,975 |
0 |
SYNOVUS FINANCIAL CORP |
COM |
87161C501 |
1,334 |
46,046 |
SH |
|
DFND |
1,2,3 |
0 |
46,046 |
0 |
TCF FINANCIAL CORP |
COM |
872275102 |
756 |
59,825 |
SH |
|
DFND |
1,2,3 |
0 |
59,825 |
0 |
TENET HEALTHCARE CORP |
COM NEW |
88033G407 |
219 |
7,925 |
SH |
|
DFND |
1,2,3 |
0 |
7,925 |
0 |
TEREX CORP |
COM |
880779103 |
3,428 |
168,808 |
SH |
|
DFND |
1,2,3 |
0 |
168,808 |
0 |
TETRA TECH INC |
COM |
88162G103 |
1,105 |
35,950 |
SH |
|
DFND |
1,2,3 |
0 |
35,950 |
0 |
TRAVELERS COS INC/THE |
COM |
89417E109 |
5,118 |
43,000 |
SH |
|
DFND |
1,2,3 |
0 |
43,000 |
0 |
TRIBUNE MEDIA CO |
CL A |
896047503 |
3,465 |
88,445 |
SH |
|
DFND |
1,2,3 |
0 |
88,445 |
0 |
TRIMAS CORP |
COM NEW |
896215209 |
663 |
36,875 |
SH |
|
DFND |
1,2,3 |
0 |
36,875 |
0 |
TRIPLE-S MANAGEMENT CORP |
CL B |
896749108 |
1,367 |
55,973 |
SH |
|
DFND |
1,2,3 |
0 |
55,973 |
0 |
TUPPERWARE CORP |
COM |
899896104 |
866 |
15,400 |
SH |
|
DFND |
1,2,3 |
0 |
15,400 |
0 |
UFP TECHNOLOGIES INC |
COM |
902673102 |
226 |
10,061 |
SH |
|
DFND |
1,2,3 |
0 |
10,061 |
0 |
UAL CORP |
COM |
910047109 |
3,028 |
73,800 |
SH |
|
DFND |
1,2,3 |
0 |
73,800 |
0 |
UNIVERSAL CORP VA |
COM |
913456109 |
1,368 |
23,700 |
SH |
|
DFND |
1,2,3 |
0 |
23,700 |
0 |
VIRTUS INVESTMENT PARTNERS |
COM |
92828Q109 |
721 |
10,143 |
SH |
|
DFND |
1,2,3 |
0 |
10,143 |
0 |
VOYA FINL INC |
COM |
929089100 |
2,104 |
85,000 |
SH |
|
DFND |
1,2,3 |
0 |
85,000 |
0 |
WSFS FINANCIAL CORP |
COM |
929328102 |
665 |
20,675 |
SH |
|
DFND |
1,2,3 |
0 |
20,675 |
0 |
WAL-MART STORES INC |
COM |
931142103 |
1,944 |
26,625 |
SH |
|
DFND |
1,2,3 |
0 |
26,625 |
0 |
WEBSTER FINANCIAL CORP |
COM |
947890109 |
1,360 |
40,075 |
SH |
|
DFND |
1,2,3 |
0 |
40,075 |
0 |
WHIRLPOOL CORPORATION |
COM |
963320106 |
2,499 |
15,000 |
SH |
|
DFND |
1,2,3 |
0 |
15,000 |
0 |
YAHOO! INC |
COM |
984332106 |
368 |
9,810 |
SH |
|
DFND |
1,2,3 |
0 |
9,810 |
0 |
UBS GROUP AG SHS |
SHS |
H42097107 |
1,292 |
100,375 |
SH |
|
DFND |
1,2,3 |
0 |
100,375 |
0 |
ARGO GROUP INTERNATIONAL |
COM |
G0464B107 |
887 |
17,094 |
SH |
|
DFND |
1,2,3 |
0 |
17,094 |
0 |
ASPEN INSURANCE HOLDINGS LTD |
SHS |
G05384105 |
1,122 |
24,200 |
SH |
|
DFND |
1,2,3 |
0 |
24,200 |
0 |
AXIS CAPITAL HOLDINGS LTD |
SHS |
G0692U109 |
1,745 |
31,728 |
SH |
|
DFND |
1,2,3 |
0 |
31,728 |
0 |
EATON CORP PLC |
SHS |
G29183103 |
3,743 |
62,676 |
SH |
|
DFND |
1,2,3 |
0 |
62,676 |
0 |
ENDURANCE SPECIALTY HOLDINGS |
SHS |
G30397106 |
1,359 |
20,250 |
SH |
|
DFND |
1,2,3 |
0 |
20,250 |
0 |
ELECTRUM SPECIAL ACQUISITION |
COM |
G3105C120 |
785 |
78,949 |
SH |
|
DFND |
1,2,3 |
0 |
78,949 |
0 |
OM ASSET MANAGEMENT PLC |
SHS |
G67506108 |
181 |
13,600 |
SH |
|
DFND |
1,2,3 |
0 |
13,600 |
0 |
GOLAR LNG LTD |
SHS |
G9456A100 |
1,343 |
86,663 |
SH |
|
DFND |
1,2,3 |
0 |
86,663 |
0 |
AERCAP HOLDINGS NV |
SHS |
N00985106 |
1,548 |
46,100 |
SH |
|
DFND |
1,2,3 |
0 |
46,100 |
0 |
LYONDELLBASELL INDU |
SHS |
N53745100 |
5,581 |
75,000 |
SH |
|
DFND |
1,2,3 |
0 |
75,000 |
0 |
TEEKAY TANKERS LTD |
CL A |
Y8565N102 |
693 |
232,650 |
SH |
|
DFND |
1,2,3 |
0 |
232,650 |
0 |
ROYAL BANK OF CANADA |
NOTE 4.650% 1/2 |
780082AD5 |
34,112 |
31,662,000 |
PRN |
|
DFND |
1,2,3 |
0 |
31,662,000 |
0 |
HEALTHSOUTH CORP |
WARRANT |
421924127 |
86 |
53,352 |
SH |
|
DFND |
1,2,3 |
0 |
53,352 |
0 |
CONMED CORP |
COM |
207410101 |
229 |
4,803 |
SH |
|
DFND |
1,2,3 |
0 |
4,803 |
0 |
ARRIS INTL INC SHS |
HS |
G0551A103 |
583 |
27,816 |
SH |
|
DFND |
1,2,3 |
0 |
27,816 |
0 |
WILLIAMS COS INC DEL COM |
COM |
969457100 |
692 |
32,005 |
SH |
|
DFND |
1,2,3 |
0 |
32,005 |
0 |
VORNADO RLTY TR SH BEN INT |
SH BEN INT |
929042109 |
2,817 |
28,143 |
SH |
|
DFND |
1,2,3 |
0 |
28,143 |
0 |
HESS CORP COM |
COM |
42809H107 |
1,152 |
19,183 |
SH |
|
DFND |
1,2,3 |
0 |
19,183 |
0 |
EOG RES INC COM |
COM |
26875P101 |
834 |
10,000 |
SH |
|
DFND |
1,2,3 |
0 |
10,000 |
0 |
MURPHY OIL CORP COM |
COM |
626717102 |
3,398 |
107,025 |
SH |
|
DFND |
1,2,3 |
0 |
107,025 |
0 |
SCANSOURCE INC COM |
COM |
806037107 |
1,305 |
35,191 |
SH |
|
DFND |
1,2,3 |
0 |
35,191 |
0 |
AMERICAN EQTY INVT LIFE HLD COM |
COM |
025676206 |
1,467 |
102,971 |
SH |
|
DFND |
1,2,3 |
0 |
102,971 |
0 |
ANIXTER INTL INC COM |
COM |
035290105 |
1,273 |
23,909 |
SH |
|
DFND |
1,2,3 |
0 |
23,909 |
0 |
SEAGATE TECHNOLOGY PLC SHS |
SHS |
G7945M107 |
1,923 |
78,975 |
SH |
|
DFND |
1,2,3 |
0 |
78,975 |
0 |
CENOVUS ENERGY INC COM |
COM |
15135U109 |
1,591 |
115,075 |
SH |
|
DFND |
1,2,3 |
0 |
115,075 |
0 |
HALLIBURTON CO COM |
COM |
406216101 |
1,616 |
35,700 |
SH |
|
DFND |
1,2,3 |
0 |
35,700 |
0 |
COMTECH TELECOMMUNICATIONS |
COM |
205826209 |
269 |
21,000 |
SH |
|
DFND |
1,2,3 |
0 |
21,000 |
0 |
MONSANTO CO |
COM |
61166W101 |
714 |
6,905 |
SH |
|
DFND |
1,2,3 |
0 |
6,905 |
0 |
TOLL BROTHERS INC |
ADR |
889478103 |
995 |
37,000 |
SH |
|
DFND |
1,2,3 |
0 |
37,000 |
0 |
TEVA PHARMACEUTICAL INDS LTD |
COM |
881624209 |
2,662 |
53,000 |
SH |
|
DFND |
1,2,3 |
0 |
53,000 |
0 |
BB&T CORP |
COM |
054937107 |
539 |
15,150 |
SH |
|
DFND |
1,2,3 |
0 |
15,150 |
0 |
BANK OF NOVA SCOTIA |
NOTE 4.500%12/1 |
064159HB5 |
20,123 |
19,105,000 |
PRN |
|
DFND |
1,2,3 |
0 |
19,105,000 |
0 |