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The CNA Corporation
Plan RatingFORM 5500 DATA
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 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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Expenses | $30,532,041 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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Net Income | $62,413,893 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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Asset and Liability Statement
12/31/2019 | 12/31/2018 | Change YOY | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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Total Assets | $476,827,068 | $414,413,175 | 15.06% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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Total Liabilities | $0 | $0 | 0.0% | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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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 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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Tiaa-Cref | 938 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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