1.
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 13-4094048 |
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions) (a) ☐ (b) ☐ |
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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SOLE VOTING POWER
4,375,501 |
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6.
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SHARED VOTING POWER
000 |
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7.
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SOLE DISPOSITIVE POWER
4,623,314 |
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8.
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SHARED DISPOSITIVE POWER
000 |
9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,623,674 |
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10.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ☐ |
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.72% |
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12.
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TYPE OF REPORTING PERSON (see instructions)
IA |
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(a)
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Name of Issuer
Compass Diversified Holdings |
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(b)
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Address of Issuer’s Principal Executive Offices
Sixty One Wilton Road, 2nd Floor, Westport, CT 06880 |
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(a)
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Name of Person Filing
City National Rochdale, LLC |
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(b)
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Address of the Principal Office or, if none, residence
400 Park Avenue, New York, NY 10022 |
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(c)
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Citizenship
USA |
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(d)
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Title of Class of Securities
Common Stock |
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(e)
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CUSIP Number
20451Q104 |
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(a)
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☐
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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☐
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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☐
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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☐
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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☒
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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☐
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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☐
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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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☐
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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);
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(j)
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☐
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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(a)
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Amount beneficially owned: 4,623,674
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(b)
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Percent of class: 7.72%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote 4,375,501
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(ii)
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Shared power to vote or to direct the vote 0
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(iii)
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Sole power to dispose or to direct the disposition of 4,623,314
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(iv)
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Shared power to dispose or to direct the disposition of 0
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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.
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January 26, 2018
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Date | |
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CITY NATIONAL ROCHDALE, LLC
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By: /s/ Julianne M. Fries
Julianne M. Fries
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Chief Compliance Officer
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