Sec Form 13D Filing - CITY NATIONAL ROCHDALE LLC filing for City National Rochdale High Yield Alternative Strategies Fund TEI LLCCity National Rochdale High Yield Alternative Strategies Fund TEI LLC - 2021-08-25

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 5)*

 

(Name of Issuer)

 (Title of Class of Securities)

 (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)

(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).

 

 

 

This Amendment No. 5 to Schedule 13D (the “Amendment”) relates to units of interest (“Units”) of City National Rochdale High Yield Alternative Strategies Fund TEI 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 by Amendment No. 1 filed on November 3, 2020, Amendment No. 2 filed on January 11, 2021, Amendment No. 3 filed on February 24, 2021 and Amendment No. 4 filed on March 5, 2021 (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:

August 25, 2021