UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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1
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Names of Reporting Person.
City National Rochdale, LLC
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2
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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3
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SEC Use Only
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4
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Source of Funds (See Instructions):
OO
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5
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Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e):
[ ]
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6
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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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7 Sole Voting Power
1,107,282.01
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8 Shared Voting Power
0
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9 Sole Dispositive Power
1,111,258.92
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10 Shared Dispositive Power
0
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11
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,111,258.92
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12
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Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ]
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13
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Percent of Class Represented by Amount in Row (11)
99.9%
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14
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Type of Reporting Person (See Instructions)
IA
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Transaction
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Date
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No. Shares
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Price Per Share
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Secondary purchase by shareholders
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10/07/2019
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1,187.80
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$10.69
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Secondary purchase by shareholders
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10/10/2019
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12,555.59
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$10.71
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Secondary sale by shareholders
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10/10/2019
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1,935.14
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$10.71
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Purchase from Fund
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10/29/2019
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158,897.23
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$10.84
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Secondary purchase by shareholders
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10/30/2019
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1,935.14
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$10.85
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Secondary sale by shareholders
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10/30/2019
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1,935.14
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$10.85
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Secondary purchase by shareholders
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10/31/2019
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5,146.71
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$10.85
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Secondary purchase by shareholders
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11/06/2019
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4,360.25
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$10.86
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Secondary purchase by shareholders
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11/12/2019
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9,389.20
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$10.86
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Secondary purchase by shareholders
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11/14/2019
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5,340.81
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$10.86
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Secondary purchase by shareholders
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11/20/2019
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12,112.60
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$10.87
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Secondary sale by shareholders
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11/20/2019
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12,112.60
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$10.87
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Secondary purchase by shareholders
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11/25/2019
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70,013.00
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$10.87
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Secondary sale by shareholders
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11/25/2019
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70,013.00
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$10.87
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Purchase from Fund
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11/26/2019
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289,436.98
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$10.87
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Redemption of shares
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11/29/2019
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58,576.54
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$10.87
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Secondary purchase by shareholders
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12/02/2019
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2.15
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$10.87
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Secondary sale by shareholders
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12/02/2019
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2.15
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$10.87
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Secondary purchase by shareholders
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12/03/2019
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0.01
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$10.00
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Secondary sale by shareholders
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12/03/2019
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0.01
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$10.00
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Secondary purchase by shareholders
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12/04/2019
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3,468.78
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$10.88
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Secondary sale by shareholders
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12/04/2019
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3,468.78
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$10.88
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Secondary purchase by shareholders
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12/06/2019
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7,910.16
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$10.88
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Secondary sale by shareholders
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12/06/2019
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7,910.16
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$10.88
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