Sec Form 13D Filing - CITY NATIONAL ROCHDALE LLC filing for City National Rochdale High Yield Alternative Strategies Fund LLCCity National Rochdale High Yield Alternative Strategies Fund LLC - 2021-01-11

Insider filing report for Changes in Beneficial Ownership

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  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
  
 

SCHEDULE 13D
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 1)*
 
                   City National Rochdale High Yield Alternative Strategies Fund LLC                   
(Name of Issuer)

                   Units of interest                   
 (Title of Class of Securities)

                                             N/A                                             
(CUSIP Number)

Donald Delano
City National Rochdale, LLC
400 Park Avenue
New York, NY 10022
                        212-702-3500                        
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)


                                              December 31, 2020                                             
(Date of Event Which Requires Filing of this Statement)


 
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [  ]
 
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
 
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
1
Names of Reporting Person.
City National Rochdale, LLC
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a)          [ ]
 
(b)          [ ]
3
SEC Use Only
4
Source of Funds (See Instructions):
OO
5
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e):
[ ]
6
Citizenship or Place of Organization.
Delaware
Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
7          Sole Voting Power
3,409.14
8          Shared Voting Power
0
9          Sole Dispositive Power
3,409.14
10        Shared Dispositive Power
0
11
Aggregate Amount Beneficially Owned by Each Reporting Person
    3,409.14
12
Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)     [ ]
13
Percent of Class Represented by Amount in Row (11)
99.4%
14
Type of Reporting Person (See Instructions)
IA


AMENDMENT NO. 1 TO SCHEDULE 13D


This Amendment No. 1 to Schedule 13D (the “Amendment”) relates to units of interest (“Units”) of City National Rochdale High Yield Alternative Strategies Fund LLC, a Delaware limited liability company registered under the Investment Company Act of 1940, as amended, as a closed-end, non-diversified, management investment company (the “Issuer”).  This Amendment is being filed to amend the Schedule 13D that was originally filed on January 21, 2020 (as amended, the “Schedule 13D”). Unless otherwise indicated in this Amendment, all capitalized terms have the meanings indicated to them in the Schedule 13D.

This Amendment is being filed to amend and supplement Item 5 of the Schedule 13D as set forth below.


Item 5. Interest in Securities of the Issuer
 
(a) and (b) See Items 7-13 of the cover pages.
 
The Reporting Person disclaims beneficial ownership (within the meaning of Rule 16a-1(a)(2) under the Securities Exchange Act of 1934, as amended) of the Units reported herein except to the extent of its pecuniary interest therein.
 
(c) The Reporting Person did not effect any transactions in Units of the Issuer during the period for which reporting is required in this Schedule 13D.
 
(d) Not applicable.
 
(e) Not applicable.
 



SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
Date:
January 11, 2021
 

CITY NATIONAL ROCHDALE, LLC

By: /s/ Donald Delano                        
Name: Donald Delano
Title:   Chief Compliance Officer