Prospect Japan Fund Holding(s) in Company
February 19 2015 - 11:26AM
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 issuer Prospect Japan Fund Limited
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 the Wells Capital Management, Inc.
notification obligation:iii
4. Full name of shareholder(s)
(if different from 3.):iv
5. Date of the transaction and date on
which the threshold is crossed or November 13, 2014
reached: v
6. Date on which issuer notified: February 18, 2015
7. Threshold(s) that is/are crossed or 5%
reached: vi, vii
8. Notified details:
A: Voting rights attached to shares viii, ix
Class/type Situation previous Resulting situation after the triggering transaction
of to the triggering
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 3,999,788 3,999,788 4,684,888 4,684,888 5.07%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of Expiration Exercise/ Number of voting % of voting
financial date xiii Conversion Period xiv rights that may be rights
instrument 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 price Expiration Exercise/ Number of % of voting rights xix, xx
financial date xvii Conversion voting rights
instrument period xviii instrument
refers to
Nominal Delta
Total (A+B+C)
Number of voting rights Percentage of voting rights
4,684,888 5.07%
9. Chain of controlled undertakings through which the voting rights and/or the
financial instruments are effectively held, if applicable: xxi
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: Kevin Pham
15. Contact telephone number: 1-415-222-1728
Note: Annex should only be submitted to the FCA not the issuer
Annex: Notification of major interests in sharesxxii
A: Identity of the persons or legal entity subject to the notification
obligation
Full name
(including legal form of legal entities) Wells Capital Management, Inc.
Contact address 525 Market Street, San
(registered office for legal entities) Francisco, California, 94105,
USA
Phone number & email 1-415-222-1728
Kevin.pham@wellscap.com
Other useful information
(at least legal representative for legal persons)
B: Identity of the notifier, if applicable
Full name Kevin Pham
Contact address 525 Market Street, San
Francisco, California, 94105,
USA
Phone number & email 1-415-222-1728
kevin.pham@wellscap.com
Other useful information
Compliance Manager
(e.g. functional relationship with the person or legal
entity subject to the notification obligation)
C: Additional information
END
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