Prospect Japan Fund Holding(s) in Company
June 01 2015 - 6:22AM
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
of existing shares to which voting rights are Prospect Japan Fund Ltd
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 Lazard Asset Management LLC
notification obligation: iii
J.P.Morgan Chase - SWIFT
Mellon Trust
4. Full name of shareholder(s) Morgan Guaranty - Personal Custody
(if different from 3.):iv Northern Trust Co.
State Street Bank - Custodian - ETC
State Street Bank - Master Tr - ETC
State Street Bank - Custody Master Trust
US Bank NA
5. Date of the transaction and date on
which the threshold is crossed or 29 May 2015
reached: v
6. Date on which issuer notified: 01 June 2015
7. Threshold(s) that is/are crossed or Increase from 22% to 23%
reached: vi, vii
8. Notified details:
A: Voting rights attached to shares viii, ix
Situation previous
Class/type of to the triggering Resulting situation after the triggering transaction
shares transaction
if possible Number Number Number of voting % of voting rights x
using Number of of shares rights
the ISIN CODE of Voting
Shares Rights Direct Direct xi Indirect Direct Indirect
xii
GB00B011QL44 21,136,019 21,295,319 23.034%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Number of voting
Type of financial Expiration Exercise/ rights that may be % of voting
instrument date xiii Conversion Period xiv acquired if the rights
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 financial Exercise Expiration Exercise/ Number of voting rights % of voting rights
instrument price date xvii Conversion instrument refers to xix, xx
period xviii
Nominal Delta
Total (A+B+C)
Number of voting rights Percentage of voting rights
21,295,319 23.034%
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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