Prospect Japan Fund Holding(s) in Company
August 05 2014 - 9:15AM
UK Regulatory
TIDMPJF
For filings with the FCA include the annex
For filings with issuer exclude the annex
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi
1. Identity of the issuer or the underlying Prospect Japan Fund Ltd
issuer of existing shares to which voting rights
are attached: ii
2. Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights X
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) subject to Lazard Asset Management LLC
the
notification obligation: iii
4. Full name of shareholder(s) Bank of New York, Inc. - Dir Personal
(if different from 3.):iv
J.P.Morgan Chase - SWIFT
Mellon Trust
Morgan Guaranty - Personal Custody
Northern Trust Co.
State Street Bank - Custodian - ETC
State Street Bank - Master Tr - ETC
State Street Bank - Custody Master Trust
5. Date of the transaction and date 04 August 2014
on which the threshold is crossed
or reached: v
6. Date on which issuer notified: 05 August 2014
7. Threshold(s) that is/are crossed Increase from 20% to 21%
or reached: vi, vii
8. Notified details:
A: Voting rights attached to shares viii, ix
Class/type Situation previous Resulting situation after the triggering
of to the triggering transaction
shares transaction
Number Number Number Number of voting % of voting rights
if possible of of of shares rights x
using Shares Voting
the ISIN Rights Direct Direct Indirect Direct Indirect
CODE xi xii
GB00B011QL44 19,432,570 19,382,570 19,832,570 21.329%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date xiii Conversion Period rights that may be rights
xiv acquired if the
instrument is
exercised/
converted.
C: Financial Instruments with similar economic effect to Qualifying Financial
Instruments xv, xvi
Resulting situation after the triggering transaction
Type of Exercise Expiration Exercise/ Number of voting % of voting
financial price date xvii Conversion rights instrument rights xix, xx
instrument period refers to
xviii
Nominal Delta
Total (A+B+C)
Number of voting rights Percentage of voting rights
19,832,570 21.329%
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
Lazard Asset Management LLC controls all the voting rights held of this issuer.
Proxy Voting:
10. Name of the proxy holder: N/A
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: Legal & Compliance Department
15. Contact telephone number: 0207 448 2119
END
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