THE PROSPECT JAPAN FUND LIMITED
TR-1: Standard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the
FCA in Microsoft Word format if possible)i
1a. Identity of the issuer or the underlying The Prospect Japan Fund Ltd
issuer of existing shares to which voting
rights are attachedii:
1b. Please indicate if the issuer is a non-UK issuer (please mark with an "X"
if appropriate)
Non-UK issuer
2. Reason for the notification (please mark the appropriate box or boxes with
an "X")
An acquisition or disposal of voting rights
An acquisition or disposal of financial instruments
An event changing the breakdown of voting rights
Other (please specify)iii: Issuer has delisted X
3. Details of person subject to the notification obligationiv
Name Lazard Asset Management LLC
City and country of registered office (if New York, United States of America
applicable)
4. Full name of shareholder(s) (if different from 3.)v
Name J.P.Morgan Chase - SWIFT
Mellon Trust
Northern Trust Co.
State Street Bank - Custodian - ETC
State Street Bank - Master Tr - ETC
State Street Bank - Custody Master Trust
City and country of registered office (if
applicable)
5. Date on which the threshold was crossed or 27 July 2017
reachedvi:
6. Date on which issuer notified (DD/MM/YYYY): 28/07/2017
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both in Total number of
rights attached through financial % (8.A + 8.B) voting rights of
to shares (total instruments issuervii
of 8. A) (total of 8.B 1 +
8.B 2)
Resulting 0% N/A 0% 0
situation on the
date on which
threshold was
crossed or reached
Position of 25.223% N/A 25.223%
previous
notification (if
applicable)
8. Notified details of the resulting situation on the date on which the
threshold was crossed or reachedviii
A: Voting rights attached to shares
Class/type of Number of voting rightsix % of voting rights
shares
ISIN code (if Direct Indirect Direct Indirect
possible) (Art 9 of (Art 10 of (Art 9 of Directive (Art 10 of
Directive 2004/ Directive 2004/109/ 2004/109/EC) (DTR5.1) Directive 2004/
109/EC) (DTR5.1) EC) (DTR5.2.1) 109/EC)
(DTR5.2.1)
GB00B011QL44 0 0%
SUBTOTAL 8. A 0 0%
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting rights % of voting
instrument datex Conversion Periodxi that may be acquired if rights
the instrument is
exercised/converted.
SUBTOTAL 8. B 1
B 2: Financial Instruments with similar economic effect according to Art. 13(1)
(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/ Physical or cash Number of % of voting
financial datex Conversion settlementxii voting rights rights
instrument Period xi
SUBTOTAL 8.B.2
9. Information in relation to the person subject to the notification obligation
(please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled by any natural
person or legal entity and does not control any other undertaking(s) holding
directly or indirectly an interest in the (underlying) issuerxiii
Full chain of controlled undertakings through which the voting rights and/or X
the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entityxiv (please add additional rows as
necessary)
Namexv % of voting rights % of voting rights Total of both if it
if it equals or is through financial equals or is higher
higher than the instruments if it than the notifiable
notifiable threshold equals or is higher threshold
than the notifiable
threshold
Lazard Asset Management 0% 0%
LLC
10. In case of proxy voting, please identify:
Name of the proxy holder N/A
The number and % of voting rights held
The date until which the voting rights will be
held
11. Additional informationxvi
Contact name: Legal & Compliance Department
Contact telephone number: 0207 448 2085
Place of completion Lazard Asset Management Limited
Date of completion 28 July 2017
Prospect Japan Fund : s) in Company
July 28, 2017 at 02:12 pm
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© PRNewswire - 2017
