For filings with the FSA include the annex |
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For filings with issuer exclude the annex |
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TR-1: NOTIFICATION OF MAJOR INTEREST IN SHARESi |
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1. Identity of the issuer or the underlying issuer |
FRM Credit Alpha Fund |
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2 Reason for the notification (please tick the appropriate box or boxes): |
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An acquisition or disposal of voting rights |
X |
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An acquisition or disposal of qualifying financial instruments which may result in the acquisition of shares already issued to which voting rights are attached |
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An acquisition or disposal of instruments with similar economic effect to qualifying financial instruments |
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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 |
Weiss Asset Management LP
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4. Full name of shareholder(s) |
Brookdale International Partners, L.P., Brookdale Global Opportunity Fund1 |
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5. Date of the transaction and date on |
Aug-09-2011 |
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6. Date on which issuer notified: |
Aug-11-2011 |
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7. Threshold(s) that is/are crossed or |
< 29%, 28%, 27%, 26% |
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8. Notified details: |
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A: Voting rights attached to shares viii, ix |
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Class/type of
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Situation previous |
Resulting situation after the triggering transaction |
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Number |
Number |
Number |
Number of voting |
% of voting rights x |
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Direct |
Direct xi |
Indirect xii |
Direct |
Indirect |
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GG00B4K46K11 |
6,584,266 |
6,584,266 |
5,584,266 |
5,584,266 |
n/a |
25.23% |
n/a |
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B: Qualifying Financial Instruments |
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Resulting situation after the triggering transaction |
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Type of financial |
Expiration |
Exercise/ |
Number of voting |
% of voting |
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C: Financial Instruments with similar economic effect to Qualifying Financial Instruments xv, xvi |
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Resulting situation after the triggering transaction |
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Type of financial |
Exercise price |
Expiration date xvii |
Exercise/ |
Number of voting rights instrument refers to
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% of voting rights xix, xx
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Nominal |
Delta |
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Total (A+B+C) |
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Number of voting rights |
Percentage of voting rights |
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5,584,266 |
25.23 % |
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9. Chain of controlled undertakings through which the voting rights and/or the |
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Brookdale International Partners, L.P: 17.72 % Brookdale Global Opportunity Fund: 7.51 % |
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Proxy Voting: |
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10. Name of the proxy holder: |
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11. Number of voting rights proxy holder will cease |
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12. Date on which proxy holder will cease to hold |
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Please note: This Form TR-1 is not being filing with the FSA, and is being furnished to the issuer pursuant to Article 9.18 of the issuer's Articles of Association dated 3 June 2009. |
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14. Contact name: |
Georgiy Nikitin |
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15. Contact telephone number: |
+1-617-778-7725 |
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