Prospect Japan Fund Ld Holding(s) in Company (0295O)
October 05 2012 - 4:43AM
UK Regulatory
TIDMPJF
RNS Number : 0295O
Prospect Japan Fund Ld
05 October 2012
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES
-----------------------------------------------
--------------------------------------------------------------------------------------
1. Identity of the issuer or the underlying The Prospect Japan Fund Limited
issuer
of existing shares to which voting rights
are
attached:
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2 Reason for the notification (please tick the appropriate box or boxes):
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An acquisition or disposal of voting rights
----------------------------------------------------------------------------- -------
An acquisition or disposal of qualifying financial instruments
which may result in the acquisition of shares already issued to
which voting rights are attached
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An acquisition or disposal of instruments with similar economic
effect to qualifying financial instruments
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An event changing the breakdown of voting rights
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Other (please Fund Repurchased yes
specify):
------------------- -------------------------------------------------------- -------
3. Full name of person(s) subject 1607 Capital Partners, LLC
to the
notification obligation:
-------------------------------------------- ----------------------------------------
4. Full name of shareholder(s) Bny Mellon 6,921,500
(if different from 3.): Northern Trust 6,072,700
State Street 2,342,000
-------------------------------------------- ----------------------------------------
5. Date of the transaction and date October 3, 2012
on
which the threshold is crossed
or
reached:
-------------------------------------------- ----------------------------------------
6. Date on which issuer notified: October 4, 2012
-------------------------------------------- ----------------------------------------
7. Threshold(s) that is/are crossed
or
reached: 16%
-------------------------------------------- ----------------------------------------
8. Notified details:
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A: Voting rights attached to shares
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Class/type Situation previous Resulting situation after the triggering
of to the triggering transaction
shares transaction
if possible
using
the ISIN CODE
-------------- ----------------------------------- -----------------------------------------------------------
Number Number Number Number of voting % of voting rights
of of of rights (x)
Shares Voting shares
Rights
-------------- ------------- -------------------- ------- ------------------------- -----------------------
Direct Direct Indirect Direct Indirect
(xi) (xii)
-------------- ----- ------ ------ ------ ---- ------- ------------ ----------- --------- ------------
GB00B011QL44 15,336,200 15,336,200 15,336,200 16.00%
-------------- ------------- -------------------- ------- ------------ ----------- --------- ------------
B: Qualifying Financial Instruments
----------------------------------------------------------------------------------------------------------------
Resulting situation after the triggering transaction
----------------------------------------------------------------------------------------------------------------
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion Period rights that may rights
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 Exercise Expiration Exercise/ Number of voting % of voting rights
financial price date Conversion rights instrument
instrument period refers to
-------------- ------------- -------------- ------------- ------------------------- -----------------------
Nominal Delta
-------------- ------------- -------------- ------------- ------------------------- ---------- -----------
Total (A+B+C)
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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:
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Proxy Voting:
-------------------------------------------------------------------------------
10. Name of the proxy holder:
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11. Number of voting rights proxy holder will
cease
to hold:
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12. Date on which proxy holder will cease to
hold
voting rights:
-------------------------------------------------- ---------------------------
13. Additional information:
--------------------------------------- --------------------------------------
14. Contact name:
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15. Contact telephone number:
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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
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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 804-525-1741
bhuntley@1607capital.com
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Other useful information
(at least legal representative for
legal persons)
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B: Identity of the notifier, if applicable
---------------------------------------------------------------------------
Full name Bryan Huntley
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Contact address Same as above
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Phone number & email Same as above
------------------------------------------ -------------------------------
Other useful information Director of Finance
(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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