Prospect Japan Fund Holding(s) in Company

 
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                                            February 23, 2017 
which the threshold is crossed or 
reached: v 
 
6. Date on which issuer notified:                                                 February 24, 2017 
 
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 of    Situation previous            Resulting situation after the triggering transaction 
shares           to the triggering 
                 transaction 
if possible 
using            Number          Number        Number         Number of voting     % of  voting rights 
the ISIN CODE    of              of            of shares      rights               x 
                 Shares          Voting 
                                 Rights        Direct         Direct Indirect xii  Direct    Indirect 
                                                              xi 
 
                 4,798,680       4,798,680     4,534,889             4,534,889               4.91% 
GB00B011QL44 
 
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 xiv rights that may be        rights 
                                                           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 financial   Exercise    Expiration  Exercise/    Number of voting   % of voting rights xix, xx 
instrument          price       date xvii   Conversion   rights instrument 
                                            period xviii refers to 
 
                                                                            Nominal            Delta 
 
Total (A+B+C) 
 
Number of voting rights                             Percentage of voting rights 
 
4,534,889                                           4.91% 
 
 
 
 
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:                                  Wells Capital Management Inc. 
 
11. Number of voting rights proxy holder dispose:                                    263,791 
 
12. Date on which proxy holder will dispose voting                         February 23, 2017 
rights: 
 
 
13. Additional information: 
 
14. Contact name:                                                                 Hannah Kim 
 
15. Contact telephone number:                                                 1-415-222-5030 
 
 
 
 
END
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February 24, 2017 12:05 ET (17:05 GMT)
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