Holding(s) in Company
November 12 2009 - 5:13AM
UK Regulatory
TIDMPJF
RNS Number : 4034C
Prospect Japan Fund Ld
12 November 2009
+--------------------+-------------+-------------+-------------+-------------+---------+
| | |
+------------------------------------------------+-------------------------------------+
| | |
+------------------------------------------------+-------------------------------------+
| |
+--------------------------------------------------------------------------------------+
| TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES |
+--------------------------------------------------------------------------------------+
| | |
+--------------------------------------------------------------+-----------------------+
| 1. Identity of the issuer or the underlying issuer | The Prospect Japan |
| of existing shares to which voting rights are | Fund Limited |
| attached: | |
+--------------------------------------------------------------+-----------------------+
| 2 Reason for the notification (please tick the appropriate box or boxes): |
+--------------------------------------------------------------------------------------+
| An acquisition or disposal of voting rights | yes |
+----------------------------------------------------------------------------+---------+
| An acquisition or disposal of qualifying financial instruments which may | |
| result in the acquisition of shares already issued to which voting rights | |
| are attached | |
+----------------------------------------------------------------------------+---------+
| An acquisition or disposal of instruments with similar economic effect to | |
| qualifying financial instruments | |
+----------------------------------------------------------------------------+---------+
| An event changing the breakdown of voting rights | |
+----------------------------------------------------------------------------+---------+
| Other (please | | |
| specify): | | |
+--------------------+-------------------------------------------------------+---------+
| 3. Full name of person(s) | 1607 Capital Partners, LLC |
| subject to the | |
| notification obligation: | |
+----------------------------------+---------------------------------------------------+
| 4. Full name of shareholder(s) | BNY Mellon 4,035,000 |
| (if different from 3.): | Northern 885,000 |
| | Trust |
| | State Street 525,000 |
| | Bank of New 50,000 |
| | York |
| | |
+----------------------------------+---------------------------------------------------+
| 5. Date of the transaction and | November 5, 2009 |
| date on | |
| which the threshold is crossed | |
| or | |
| reached: | |
+----------------------------------+---------------------------------------------------+
| 6. Date on which issuer | November 11, 2009 |
| notified: | |
+----------------------------------+---------------------------------------------------+
| 7. Threshold(s) that is/are | 5% |
| crossed or | |
| reached: | |
+--------------------+-------------+-------------+-------------+-------------+---------+
+----------------+----------+--+--------+---------------+--+--+----------------+--+--------+--+----------+---+----------------+--+--+--------+
| 8. Notified details: |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| A: Voting rights attached to shares |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Class/type of | Situation previous | Resulting situation after the triggering |
| shares | to the triggering | transaction |
| if possible | transaction | |
| using | | |
| the ISIN CODE | | |
+ +--------------------------------------------+------------------------------------------------------------------------------+
| | Number | Number | Number | Number | % of voting rights |
| | of | of | of | of | x |
| | Shares | Voting | shares | voting | |
| | | Rights | | rights | |
+ + + +-------------------+----------------------+-----------------------------------+
| | | | Direct | Direct xi | Indirect | Direct | Indirect |
| | | | | | xii | | |
+----------------+----------------------+---------------------+-------------------+-----------+----------+-----------------------+-----------+
| GB00B011QL44 | | | 5,495,000 | | | 5.47% | |
+----------------+----------------------+---------------------+-------------------+-----------+----------+-----------------------+-----------+
| | | | | | | | |
+----------------+----------------------+---------------------+-------------------+-----------+----------+-----------------------+-----------+
| |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| B: Qualifying Financial Instruments |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Resulting situation after the triggering transaction |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Type of financial | Expiration | Exercise/ | Number of voting | % of voting |
| instrument | date | Conversion | rights that may | rights |
| | | Period | be | |
| | | | acquired if the | |
| | | | instrument is | |
| | | | exercised/ | |
| | | | converted. | |
+------------------------------+------------------------+----------------------------------+----------------------------------+--------------+
| | | | | |
+------------------------------+------------------------+----------------------------------+----------------------------------+--------------+
| |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| C: Financial Instruments with similar economic effect to Qualifying Financial |
| Instruments |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Resulting situation after the triggering transaction |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Type of financial | Exercise | Expiration | Exercise/ | Number of voting | % of voting |
| instrument | price | date | Conversion | rights | rights |
| | | | period | instrument | |
| | | | | refers to | |
| | | | | | |
+---------------------------+-----------+------------------+----------------------+--------------------------+-------------------------------+
| | | | | | Nominal | Delta |
+ + + + + +----------------------+--------+
| | | | | | | |
+---------------------------+-----------+------------------+----------------------+--------------------------+----------------------+--------+
| |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Total (A+B+C) |
+--------------------------------------------------------------------------------------------------------------------------------------------+
| Number of voting rights | Percentage of voting rights |
+------------------------------------------------------------------------------+-------------------------------------------------------------+
| Same as A | |
+----------------+----------+--+--------+---------------+--+--+----------------+--+--------+--+----------+---+----------------+--+--+--------+
+--------------------------------------------+---+---------------------------------+
| 9. Chain of controlled undertakings through which the voting rights and/or the |
| financial instruments are effectively held, if applicable: |
+----------------------------------------------------------------------------------+
| |
+----------------------------------------------------------------------------------+
| |
+----------------------------------------------------------------------------------+
| Proxy Voting: |
+----------------------------------------------------------------------------------+
| 10. Name of the proxy holder: | |
+------------------------------------------------+---------------------------------+
| 11. Number of voting rights proxy holder will | |
| cease | |
| to hold: | |
+------------------------------------------------+---------------------------------+
| 12. Date on which proxy holder will cease to | |
| hold | |
| voting rights: | |
+------------------------------------------------+---------------------------------+
| |
+----------------------------------------------------------------------------------+
| 13. Additional information: | |
+--------------------------------------------+-------------------------------------+
| 14. Contact name: | |
+--------------------------------------------+-------------------------------------+
| 15. Contact telephone number: | |
+--------------------------------------------+---+---------------------------------+
+--------------------------------------------+---------------------------------------------+
| Note: Annex should only be submitted to the FSA not the issuer |
+------------------------------------------------------------------------------------------+
| Annex: Notification of major interests in share |
+------------------------------------------------------------------------------------------+
| |
+------------------------------------------------------------------------------------------+
| A: Identity of the persons or legal entity subject to the notification obligation |
+------------------------------------------------------------------------------------------+
| Full name | 1607 Capital Partners, LLC |
| (including legal form of legal entities) | |
| | |
+--------------------------------------------+---------------------------------------------+
| Contact address | 4991 Lake Brook Dr., Suite 125 |
| (registered office for legal entities) | Glen Allen, VA, USA 23060 |
| | |
+--------------------------------------------+---------------------------------------------+
| Phone number & email | 804-525-1750 |
| | |
+--------------------------------------------+---------------------------------------------+
| Other useful information | |
| (at least legal representative for legal | |
| persons) | |
| | |
+--------------------------------------------+---------------------------------------------+
| | |
+--------------------------------------------+---------------------------------------------+
| B: Identity of the notifier, if applicable |
+------------------------------------------------------------------------------------------+
| Full name | Shannon S. Fake |
| | |
+--------------------------------------------+---------------------------------------------+
| Contact address | Same as above |
| | |
+--------------------------------------------+---------------------------------------------+
| Phone number & email | Same as above |
| | |
+--------------------------------------------+---------------------------------------------+
| Other useful information | |
| (e.g. functional relationship with the | |
| person or legal entity subject to the | |
| notification obligation) | |
+--------------------------------------------+---------------------------------------------+
| |
+------------------------------------------------------------------------------------------+
| C: Additional information |
+------------------------------------------------------------------------------------------+
| |
+------------------------------------------------------------------------------------------+
| For notes on how to complete form TR-1 please see the FSA website. |
+--------------------------------------------+---------------------------------------------+
This information is provided by RNS
The company news service from the London Stock Exchange
END
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