PROSPECT JAPAN FUND LD - Holding(s) in Company
September 25 2015 - 4:36AM
PR Newswire (US)
For
filings with the FSA include the annex |
|
For
filings with issuer exclude the annex |
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TR-1:
NOTIFICATION OF MAJOR INTEREST IN SHARES |
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1.
Identity of the issuer or the underlying issuer
of existing shares to which voting rights are
attached: |
The Prospect Japan Fund Limited |
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 |
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Other (please
specify): |
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3. Full
name of person(s) subject to the
notification obligation: |
1607 Capital Partners, LLC |
4. Full
name of shareholder(s)
(if different from 3.): |
Northern Trust |
9,397,387 |
Bny Mellon |
6,636,500 |
State Street |
2,555,000 |
|
5. Date
of the transaction and date on
which the threshold is crossed or
reached: |
September 23, 2015 |
6. Date
on which issuer notified: |
September 24, 2015 |
7.
Threshold(s) that is/are crossed or
reached: |
20% |
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8.
Notified details: |
A:
Voting rights attached to shares |
Class/type of
shares
if possible using
the ISIN CODE |
Situation previous
to the triggering
transaction |
Resulting situation after the triggering transaction |
Number
of
Shares |
Number
of
Voting
Rights |
Number
of shares |
Number
of voting
rights |
%
of voting rights x |
Direct |
Direct xi |
Indirect
xii |
Direct |
Indirect |
GB00B011QL44 |
18,488,887 |
18,488,887 |
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18,588,887 |
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20.11% |
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B:
Qualifying Financial Instruments |
Resulting situation after the triggering transaction |
Type of financial
instrument |
Expiration
date |
Exercise/
Conversion Period |
Number of voting
rights that may be
acquired if the
instrument is
exercised/ converted. |
% of voting
rights |
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|
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C:
Financial Instruments with similar economic effect to Qualifying
Financial Instruments |
Resulting situation after the triggering transaction |
Type of financial
instrument |
Exercise
price |
Expiration
date |
Exercise/
Conversion period |
Number
of voting rights instrument refers to |
% of
voting rights |
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|
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|
Nominal |
Delta |
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|
Total
(A+B+C) |
Number
of voting rights |
Percentage of voting rights |
Same as
A |
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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: |
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13. Additional information: |
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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 sharesxxii |
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A:
Identity of the persons or legal entity subject to the notification
obligation |
Full
name
(including legal form of legal entities) |
1607 Capital
Partners, LLC |
Contact address
(registered office for legal entities) |
13 S.
13th St., Suite 400
Richmond, VA, USA 23219 |
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
(e.g. functional relationship with the person or legal entity
subject to the notification obligation) |
Chief Compliance
Officer |
|
C:
Additional information |
|
For
notes on how to complete form TR-1 please see the FSA
website. |
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