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The CNA Corporation

Plan Rating
OverviewFinancialsService ProvidersInvestmentsInsurance Information
FORM 5500 DATA

The CNA Corporation Retirement Plan

Form 5500 Year:

Plan Rating
OverviewFinancialsService ProvidersInvestmentsInsurance Information

Overview

Plan Information

  • Plan Year01/01/2019 — 12/31/2019
  • Date of Plan01/01/1976
  • Net Assets as of 12/31/2019 $476,827,068
  • Plan Number1
  • Plan Type Single Employer
  • Is the plan collectively bargained? No
  • Did the plan file for an extension of time or the DFVC Program?Yes
  • Plan Funding ArrangementInsurance Trust
  • Plan Benefit ArrangementInsurance Trust

Participant Information as of 12/31/2019

  • Active (Eligible) Participants684
  • Retired or separated participants receiving benefits0
  • Other retired or separated participants entitled to future benefits1,047
  • Subtotal1,731
  • Deceased participants whose beneficiaries are receiving or are entitled to receive benefits7
  • Total1,738
  • Total number of participants as of 01/01/20191,731
  • Number of participants with account balances1,721
  • Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested0

Expenses

  • Total Benefit Payments$0
  • Corrective Distributions$0
  • Administrative Service Providers$0
  • Other Expenses$0
  • Total Expenses$0
  • Total Transfers$0

Sponsor Information

  • Address3003 Washington Boulevard
  • CityArlington
  • StateVA
  • Zip22201
  • Telephone(703) 824-2000
  • EIN54-1558882
  • Industry Code813000
  • Named AdministratorJonathan Markus

Audit Information

  • Audit StatusAudited
  • AuditorPricewaterhousecoopers LLP
  • Auditor EIN13-4008324
  • Audit Opinion Disclaimer
  • Audit TypeLimited Scope Audit

Benefits Provided Under the Plan

Code Benefit Description
2A Age/Service Weighted or New Comparability or Similar Plan Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New Comparability or Similar Plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the threshold or additional rate allowed under the permitted disparity rules of section 401(l)
2F ERISA section 404(c) Plan This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
2G Total participant-directed account plan Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
2L Code section 403(b)(1) arrangement A 403(b) plan, also known as a tax-sheltered annuity (TSA) plan, is a retirement plan for certain employees of public schools, employees of certain tax-exempt organizations, and certain ministers.
2M Code section 403(b)(7) accounts A 403(b)(7) plan is a tax-deferred retirement plan often available to employees of public schools or non-profit organizations.
2T Participant-directed Account Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.

Questions and Answers

Question Answer Amount
During the plan year did the employer fail to transmit to the plan any participant contributions within the time period described in 29 CFT 2510.3-102? No
Were any loans by the plan or fixed income obligations due the plan in default as of the close of plan year or classified during the year as uncollectible? Disregard participant loans secured by participant's account balance. No
Were any leases to which the plan was a party in default or classified during the year as uncollectible? No
Were there any nonexempt transactions with any party-in-interest? No
Was this plan covered by a fidelity bond? Yes $7,500,000
Did the plan have a loss, whether or not reimbursed by the plan's fidelity bond, that was caused by fraud or dishonesty? No
Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? No
Did the plan have assets held for investment? Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? No
Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC? No
Has the plan failed to provide any benefit when due under the plan? No
If this is an individual account plan, was there a blackout period? No
If there was a blackout period, have you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3? No

Financials

Income and Expense Statement
Income $92,945,934
Contributions $15,557,395
Cash Contributions $15,557,395
Cash from Employers $6,378,293
Cash from Participants $5,652,830
Others (including rollovers) $3,526,272
Noncash Contributions $0
Total Earnings on Investments $77,024,066
Total Interest $4,067,839
Interest-Bearing Cash $77,246
U.S. Government Securities $0
Corporate Debt Instruments $0
Loans (other than to participants) $0
Participant Loans $7,708
Interest from Other Investments $3,982,885
Total Dividends $6,081,542
Preferred Stock $0
Common Stock $0
Rents $0
Net gain (loss) on sale of assets $0
Aggregate Proceeds $0
Aggregate Carrying Amount $0
Total Unrealized Appreciation (depreciation) of assets $0
Real Estate $0
Other $0
Net investment gain (loss) from common/collective trusts $0
Net investment gain (loss) from pooled separate accounts $639,419
Net investment gain (loss) from master trust investment accounts $0
Net investment gain (loss) from 103-12 investment entities $0
Net investment gain (loss) from registered investment companies $66,235,266
Other Income $364,473
Expenses $30,532,041
Total Benefit Payments $30,385,337
Directly to participants or beneficiaries, including direct rollovers $30,385,337
To insurance carriers for the provision of benefits $0
Other Benefit Payment Fees $0
Corrective Distributions $0
Certain deemed distributions of participant loans $0
Interest expense $0
Total Administrative Expenses $146,704
Professional Fees $10,044
Contract Administrator Fees $0
Investment Advisory and management fees $67,500
Other Administrative Fees $69,160
Net Income $62,413,893
Transfers of Assets to this Plan $0
Transfers of Assets from this Plan $0

Asset and Liability Statement

12/31/2019 12/31/2018 Change YOY
Total Assets $476,827,068 $414,413,175 15.06%
Total noninterest-bearing cash $0 $0 0.0%
Receivables $0 $0 0.0%
Employer Contributions $0 $0 0.0%
Participant Contributions $0 $0 0.0%
Other Contributions $0 $0 0.0%
General Investments $4,853,794 $0 0.0%
Interest-bearing cash $4,853,794 $0 0.0%
U.S. Government Securities $0 $0 0.0%
Corporate Debt Instruments $0 $0 0.0%
Preferred $0 $0 0.0%
All Other $0 $0 0.0%
Corporate Stocks $0 $0 0.0%
Preferred $0 $0 0.0%
Common $0 $0 0.0%
Partnership/joint venture interests $0 $0 0.0%
Real estate (other than employer real property) $0 $0 0.0%
Loans (other than to participants) $0 $0 0.0%
Participants Loans $239,338 $228,018 4.96%
Value of interest in common/collective trusts $0 $0 0.0%
Value of interest in pooled separate accounts $12,247,349 $11,479,563 6.69%
Value of interest in master trust investment accounts $0 $0 0.0%
Value of interest in 103-12 investment entities $0 $0 0.0%
Value of interest in registered investment companies $357,145,563 $303,566,504 17.65%
Value of funds held in insurance co. general account $102,341,024 $99,139,090 3.23%
Other Investments $0 $0 0.0%
Employer-related Investments $0 $0 0.0%
Employer Securities $0 $0 0.0%
Employer Real Property $0 $0 0.0%
Buildings and other property used in plan operation $0 $0 0.0%
Total Liabilities $0 $0 0.0%
Benefit Claims Payable (1) $0 $0 0.0%
Operating Payables (1) $0 $0 0.0%
Acquisition Indebtedness (1) $0 $0 0.0%
Other liabilities (1) $0 $0 0.0%
Net Assets $476,827,068 $414,413,175 15.06%

Service Providers

Persons Receiving Only Eligible Indirect Compensation

  • Fidelity Investments Institutional
  • Tiaa-Cref

Other Service Providers Receiving Direct or Indirect Compensation

Name Nature of Service Relationship to Plan Sponsor Direct Compensation Paid by Plan Indirect Compensation Paid by Plan Total Compensation
Fidelity Investments Institutional Custodial (securities), Recordkeeping fees, Participant loan processing, Account maintenance fees, Investment management fees paid indirectly by plan, Securities brokerage commissions and fees Recordkeeper $69,058 $0 $69,058
Sageview Advisory Group Investment management NONE $67,500 $0 $67,500
Pricewaterhousecoopers LLP Accounting (including auditing) NONE $8,080 $0 $8,080
Total $144,638 $0 $144,638

Indirect Compensation

Name Source of Indirect Compensation* Nature of Service Description of Indirect Compensation Indirect Compensation Paid by Plan
Fidelity Investments Institutional Us Bancorp Fund Services, LLC Sub-transfer agency fees 0.15% - Crln E Sm Cap Gr 1 $0
Fidelity Investments Institutional Mfs Service Center Inc. Sub-transfer agency fees 0.15% - Mfs Value R4 $0
Fidelity Investments Institutional Franklin Templeton Investor Srvcs Sub-transfer agency fees 0.15% - Tmpl Global Bond Adv $0
Fidelity Investments Institutional Fis Investor Services LLC Sub-transfer agency fees 0.10% - Victory S Sm Co Op I $0
Fidelity Investments Institutional Bullion Strat In Sub-transfer agency fees 0.40% - Adv Preferred Gold $0
Fidelity Investments Institutional Blackstone Sub-transfer agency fees 0.10% - Alterntv Multi Strategy $0
Fidelity Investments Institutional William Blair Sub-transfer agency fees 0.40% - Small Mid Cap Growth $0
Fidelity Investments Institutional Bny Mellon Sub-transfer agency fees 0.35% - Smallcap Stock Index Inv $0
Fidelity Investments Institutional Doubleline Capital Sub-transfer agency fees 0.40% - Total Rt Bond Fd Cl N $0
Fidelity Investments Institutional D.F. Dent & Co., Inc. Sub-transfer agency fees 0.12% - Midcap Growth Fund Investor $0
Fidelity Investments Institutional Glenmede Sub-transfer agency fees 0.40% - Large Cap Core $0
Fidelity Investments Institutional Harris Associates Sub-transfer agency fees 0.35% - Oakmark Intl Investor Cl $0
Fidelity Investments Institutional Harris Associates Sub-transfer agency fees 0.35% - Oakmark Equity & Income Investor Cl $0
Fidelity Investments Institutional WCM Sub-transfer agency fees 0.40% - Focused Intl Growth Fund Invest $0
Fidelity Investments Institutional Janus Henderson Investors Sub-transfer agency fees 0.35% - Venture T $0
Fidelity Investments Institutional Janus Henderson Investors Sub-transfer agency fees 0.35% - Gl Life Sciences T $0
Fidelity Investments Institutional Lazard Sub-transfer agency fees 0.40% - Global Listed Infrastructure $0
Fidelity Investments Institutional Gemini Fund Services, LLC Sub-transfer agency fees 0.40% - Eventide Healthcare and Life Sciences $0
Fidelity Investments Institutional American Funds Distributors Sub-transfer agency fees 0.37% - New Perspective Class F1 $0
Fidelity Investments Institutional Altegris Sub-transfer agency fees 0.10% - Futures Evolution Cl I $0
Fidelity Investments Institutional Vector Capital Sub-transfer agency fees 0.40% - Parnassus Endeavor Fund $0
Fidelity Investments Institutional Paramount Group,Inc. Sub-transfer agency fees 0.40% - Pimco Income Fund Cl A $0
Fidelity Investments Institutional The Osterweis Sub-transfer agency fees 0.10% - Strategic Income Fd $0
Fidelity Investments Institutional Putnam Investments Sub-transfer agency fees 0.40% - Putnam Equity Spectrum Fund Cl A $0
Fidelity Investments Institutional Putnam Investments Sub-transfer agency fees 0.40% - Spectrum Fund Cl A $0
Fidelity Investments Institutional T Rowe Price Sub-transfer agency fees 0.15% Dividend Growth $0
Fidelity Investments Institutional T Rowe Price Sub-transfer agency fees 0.15% - Cap Appreciation $0
Fidelity Investments Institutional T Rowe Price Sub-transfer agency fees 0.15% Equity Research Fd $0
Fidelity Investments Institutional T Rowe Price Sub-transfer agency fees 0.15% - Blue Chip Growth Inc $0
Fidelity Investments Institutional T Rowe Price Sub-transfer agency fees 0.15% - Latin America Fund $0
Fidelity Investments Institutional T Rowe Price Sub-transfer agency fees 0.15% - Glbl Allocation Invest $0
Fidelity Investments Institutional USA Mutuals Sub-transfer agency fees 0.40% - Vice Fund Investor $0
Fidelity Investments Institutional Virtus Investment Partners Sub-transfer agency fees 0.10% Kar Intl Small Cap Cl I $0
Fidelity Investments Institutional Wasatch Sub-transfer agency fees 0.40% - Micro Cap Value Fund $0
Fidelity Investments Institutional Wasatch Funds Sub-transfer agency fees 0.10% - Emerging India Fund Instl C $0
Fidelity Investments Institutional Wasatch Frontier Sub-transfer agency fees 0.40% - Emerging Small Co $0
*As outlined by the Form 5500 Instructions for service providers with indirect compensation.

Service Providers Who Fail or Refuse to Provide Information

There are no service providers who failed or refused to provide information.

Termination Information on Accountants and Enrolled Actuaries

There is no termination information for this plan.

Investments

Investments

Name of Investment Investment Manager Type of Investment Dollar Value
Tiaa Real Estate Account Tiaa Cref DFE: Pooled Separate Account $12,247,349
Total $12,247,349

Insurance Information

Insurance Information

Insurance Carrier Summary Persons Covered
Tiaa-Cref 938
EIN 13-1624203
Industry Code 69345
Contract Number 103109
Contract Year 01/01/2019 — 12/31/2019
Value in General Account at Year End $102,341,024
Value in Separate Accounts at Year End $12,247,349
Insurance Fees and Commissions $0
Persons Receiving Commissions and Fees There are no brokers listed for this plan.
Allocated Funds
Type of Contract Unspecified
Basis of premium rates
Premiums paid to carrier $0
Premiums due but unpaid at the end of the year $0
If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount $0
Specify the nature of the costs
Unallocated Funds
Type of Contract Guaranteed Investment
Balance at the end of the previous year $99,139,089
Additions $14,340,814
Contributions Deposited during the year $1,547,416
Dividends and credits $0
Interest credited during the year $3,982,885
Transferred from separate account $8,671,945
Other $138,568
Total of Balance and Additions $113,479,903
Deductions $11,138,879
Disbursed from fund to pay benefits or purchase annuities during the year $4,481,474
Administration charge made by carrier $0
Transferred to Separate Account $6,588,650
Other $68,755
Balance at the end of the current year $102,341,024