PJF Prospect Japan

 
TIDMPJF 
 
For filings with the FSA include the annex 
 
For filings with issuer exclude the annex 
 
 
TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARES 
 
 
1. Identity of the issuer or the underlying issuer              The Prospect Japan Fund 
of existing shares to which voting rights are                           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) subject to the                  1607 Capital Partners, LLC 
notification obligation: 
 
                                                      Northern Trust            8,699,387 
 
4. Full name of shareholder(s)                        Bny Mellon                6,425,500 
 (if different from 3.): 
                                                      State Street              2,619,000 
 
 
5. Date of the transaction and date on 
which the threshold is crossed or                               March 31, 2015 
reached: 
 
6. Date on which issuer notified:                                April 1, 2015 
 
7. Threshold(s) that is/are crossed or                                19% 
reached: 
 
 
8. Notified details: 
 
A: Voting rights attached to shares 
 
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 x 
if possible  of              of           of       rights 
using        Shares          Voting       shares 
the ISIN                     Rights 
CODE                                      Direct   Direct xi  Indirect   Direct   Indirect 
                                                              xii 
 
GB00B011QL44   17,493,887     17,493,887                      17,743,887             19.19% 
 
 
 
B: Qualifying Financial Instruments 
 
Resulting situation after the triggering transaction 
 
Type of        Expiration        Exercise/          Number of voting             % of voting 
financial      date              Conversion Period  rights that may be           rights 
instrument                                          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 price Expiration Exercise/  Number of voting rights   % of voting rights 
financial                    date       Conversion instrument refers to 
instrument                              period 
                                                                             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 sharesxxii 
 
A: Identity of the persons or legal entity subject to the notification 
obligation 
 
Full name 
                                                                1607 Capital Partners, 
(including legal form of legal entities)                        LLC 
 
 
 
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 
 
Other useful information 
 
(at least legal representative for legal persons) 
 
 
 
B: Identity of the notifier, if applicable 
 
Full name                                                       Bryan Huntley 
 
Contact address                                                 Same as above 
 
Phone number & email                                            Same as above 
 
 
Other useful information 
                                                                Chief Compliance Officer 
(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. 
 
 
END 
 

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