Atlantis Japan Growth Fund Ltd - Holding(s) in Company

Freitag, 02.12.2016 08:30 von

PR Newswire

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
of existing shares to which voting rights are
attached:
Atlantis Japan Growth Fund Limited
2 Reason for the notification (please tick the appropriate box or boxes):
An acquisition or disposal of voting rights
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): Exercise of Rights/Tender Offer yes
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          6,217,745
Bny Mellon          3,580,650
State Street          1,260,310
5. Date of the transaction and date on
which the threshold is crossed or
reached:
November 30, 2016
6. Date on which issuer notified: December 1, 2016
7. Threshold(s) that is/are crossed or
reached:
21%, 22%, 23%, 24%

   

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
GB00B61ND550 8,255,241 8,255,241 11,058,705 24.24%
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
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
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
(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 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.