THE PROSPECT JAPAN FUND LIMITED
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 Limited
of existing shares to which voting rights are
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:
4. Full name of shareholder(s) Northern Trust
(if different from 3.): 10,041,988
Bny Mellon
6,737,500
State Street
2,498,000
5. Date of the transaction and date on January 25,, 2017
which the threshold is crossed or
reached:
6. Date on which issuer notified: January 26, 2017
7. Threshold(s) that is/are crossed or 21%
reached:
8. Notified details:
A: Voting rights attached to shares
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 x
the ISIN CODE of of of shares rights
Shares Voting
Rights Direct Direct xi Indirect Direct Indirect
xii
GB00B011QL44 19,619,409 19,619,409 19,277,488 20.87%
B: Qualifying Financial Instruments
Resulting situation after the triggering transaction
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion Period rights that may be rights
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 financial Exercise Expiration Exercise/ Number of voting rights % of voting rights
instrument price date Conversion instrument refers to
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: Bryan Huntley, CCO
15. Contact telephone number: 804-525-1741
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, LLC
(including legal form of legal entities)
Contact address 13 S. 13th St., Suite 400
(registered office for legal entities) 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 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.
Prospect Japan Fund : s) in Company
January 27, 2017 at 03:59 am
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© PRNewswire - 2017
