SEC Form SC 13G/A filed

1.

 

NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

City National Rochdale, LLC

 

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    ☐
(b)    ☐

 

 

3.

 

SEC USE ONLY
 

 

 

4.

 

CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

 

5.

 

SOLE VOTING POWER
 
0

 

6.

 

SHARED VOTING POWER
 
2,052,638

 

7.

 

SOLE DISPOSITIVE POWER
 
0

 

8.

 

SHARED DISPOSITIVE POWER
 
2,229,679

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,229,679

 

 

10.

 

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ☐

 

 

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

3.54%

 

 

12.

 

TYPE OF REPORTING PERSON (see instructions)

IA

 

 

 

 

(a)

Name of Issuer
Compass Diversified Holdings

 

 

(b)

Address of Issuer’s Principal Executive Offices
301 Riverside Avenue, 2^nd Floor, Westport, CT 06880

 

 

(a)

Name of Person Filing

1.   City National Rochdale, LLC

2.   RBC Capital Markets, LLC

 

 

(b)

Address of the Principal Office or, if none, residence

1.   400 Park Avenue, New York, NY  10022

2.   200 Vesey Street, New York, NY  10281

 

 

(c)

Citizenship

See Item 4 of the cover pages.

 

 

(d)

Title of Class of Securities
Common Stock

 

 

(e)

CUSIP Number
20451Q104

 

 

(a)

☒

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

 

(b)

☐

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

 

(c)

☐

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

 

(d)

☐

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

 

(e)

☒

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

 

(f)

☐

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

 

(g)

☐

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

 

(h)

☐

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

 

(i)

☐

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

 

(j)

☐

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

(a)

 

Amount beneficially owned:  See Item 9 of the cover pages.

 

 

(b)

 

Percent of class:  See Item 11 of the cover pages.

 

 

(c)

 

Number of shares as to which the person has:  

 

 

 

 

(i)

Sole power to vote or to direct the vote:  See Item 5 of the cover pages.

 

 

 

 

(ii)

Shared power to vote or to direct the vote:  See Item 6 of the cover pages.

 

 

 

 

(iii)

Sole power to dispose or to direct the disposition of:  See Item 7 of the cover pages.

 

 

 

 

(iv)

Shared power to dispose or to direct the disposition of:  See Item 8 of the cover pages.

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 

 

CITY NATIONAL ROCHDALE, LLC

 

Donald Delano

 

Chief Compliance Officer

 

RBC CAPITAL MARKETS, LLC

Head of U.S. Capital Markets Law Group