Welcome to our dedicated page for UBS ETRACS Alerian MLP ETN Series B SEC filings (Ticker: AMUB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The ETRACS Alerian MLP Index ETN Series B due July 18, 2042 (AMUB) is issued by UBS AG, a foreign private issuer that reports to the US Securities and Exchange Commission. UBS AG indicates that it files a registration statement on Form F-3, including a prospectus and supplements, for offerings of securities related to ETRACS ETNs such as AMUB. These documents set out the terms of the ETN and include a "Risk Factors" section that UBS urges investors to review before investing.
UBS AG also submits annual reports on Form 20-F and periodic reports on Form 6-K. In its Form 6-K filings, UBS provides information on capitalization, total debt issued, equity and other capital and liquidity metrics, as well as updates on regulatory developments and other corporate matters. UBS AG notes that its consolidated financial statements are prepared in accordance with IFRS Accounting Standards, and that certain 6-K reports are incorporated by reference into its Form F-3 registration statement.
For AMUB, the relevant SEC filings include the base prospectus, prospectus supplements and any pricing supplements that describe the specific terms of the ETRACS Alerian MLP Index ETN Series B. UBS’s public materials state that these offering documents are available through the SEC’s EDGAR system. They also clarify that the securities related to the offerings are not deposit liabilities and are not insured or guaranteed by the Federal Deposit Insurance Corporation or any other governmental agency of the United States, Switzerland or any other jurisdiction.
On this page, users can access AMUB-related SEC filings and associated issuer reports. The platform provides real-time updates from EDGAR and AI-powered summaries that explain the key points of lengthy documents, such as registration statements, prospectus supplements and UBS AG’s periodic reports. This allows investors to quickly identify disclosures that affect AMUB, including risk factor updates, capital and funding information, and other details relevant to UBS AG’s role as issuer of this senior unsecured ETN.
UBS AG is offering market-linked "Capped GEARS" Securities tied to the S&P 500® Index, maturing on or about March 2, 2027. Each Security has a $10 principal amount, provides 3.00x leveraged upside to any positive index return, but gains are capped by a maximum gain of 12.15% to 14.15%, resulting in a maximum payment at maturity of $11.215 to $11.415 per Security.
If the index return is positive, the payout equals $10 multiplied by 1 plus the lesser of the geared return or the maximum gain. If the index is unchanged, investors receive the $10 principal. If the index declines, the payout is $10 multiplied by 1 plus the index return, so losses mirror the index on the downside and can reach a 100% loss of principal.
The Securities pay no interest, do not provide dividends on index constituents, may have limited or no secondary market, and are subject to the credit risk of UBS as unsubordinated, unsecured debt. The estimated initial value is expected to be between $9.484 and $9.784 per $10 Security, reflecting fees, hedging and UBS’ internal funding rate.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer of the Russell 2000 Index and the S&P 500 Index, maturing on or about December 21, 2028. The Notes pay a quarterly contingent coupon at 8.30% per annum only if on each observation date both indices are at or above 70% of their initial levels. UBS may call the Notes in whole, starting after six months, paying principal plus any due coupon, after which no further payments are made.
If the Notes are not called and at maturity either index is below its 70% downside threshold, the repayment of principal is reduced one-for-one with the decline of the worst-performing index, and investors can lose all of their initial investment. The Notes are unsecured obligations of UBS, not listed on any exchange, with an estimated initial value between $945.90 and $975.90 per $1,000 issue price and an underwriting discount of $15.00 per Note.
UBS AG is offering $500,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Netflix, Inc., maturing on December 14, 2028. Each $1,000 Note pays a contingent coupon at 9.00% per annum (quarterly $22.50) only if Netflix’s closing level on the observation date is at or above the coupon barrier of $47.05, which is 50% of the initial level of $94.09. The Notes are automatically called if Netflix’s closing level on any quarterly observation date beginning after 6 months is at or above the call threshold level of $94.09, in which case investors receive principal plus the applicable contingent coupon and the Notes terminate early.
If the Notes are not called and Netflix’s final level on the December 11, 2028 final valuation date is at or above the downside threshold of $47.05, investors receive full principal back (and a contingent coupon if the barrier is met). If the final level is below the downside threshold, investors receive 10.6281 Netflix shares per Note (plus cash for any fractional share), expected to be worth significantly less than principal, exposing them to a loss of a significant portion or all of their investment. All payments and deliveries depend on the creditworthiness of UBS, and the Notes are unsecured, unsubordinated obligations that will not be listed on any exchange.
UBS AG is offering $1,000,000 in Trigger Callable Contingent Yield Notes, each with a $1,000 principal amount, linked to the least performing of the Nasdaq‑100 Index, Russell 2000 Index and S&P 500 Index, maturing on December 15, 2028. The Notes pay a 13.05% per annum contingent coupon (about $10.875 per month per Note) only if, on each monthly observation date, all three indices are at or above their coupon barriers, set at 80% of initial levels.
UBS may call the Notes in whole on any observation date starting after three months, returning principal plus any due coupon, with no further payments. If not called and all indices finish at or above their downside thresholds (also 80% of initial levels), investors receive full principal back. If any index finishes below its downside threshold, repayment is reduced one‑for‑one with the loss on the worst‑performing index, up to a total loss of principal. The estimated initial value is $967.80 per Note, and all payments depend on UBS’s credit.
UBS AG is offering $700,000 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the S&P 500 Index and the Russell 2000 Index, maturing in December 2028. The notes pay a 7.00% per annum contingent coupon (about $17.50 per $1,000 quarterly) only when both indices close at or above their coupon barriers, set at 67.50% of initial level. UBS will automatically call the notes on quarterly observation dates starting after six months if both indices are at or above their initial levels, returning principal plus the applicable coupon. If the notes are not called and either index finishes below its downside threshold (also 67.50% of initial), repayment is reduced in line with the worst index’s loss, up to a total loss of principal. The notes are unsecured obligations of UBS, carry UBS credit risk, have an estimated initial value of $974.20 per $1,000, are sold at $1,000 with a $21.60 per-note underwriting discount, and are not exchange-listed, so liquidity may be limited.
UBS AG is offering unsecured Capped GEARS notes linked to the Russell 2000® Index, giving leveraged upside at maturity but full exposure to index losses. Each Security has a $10 principal amount, 3.00x upside gearing, and a capped return with a maximum gain between 18.90% and 20.90%, implying a maximum payment per Security between $11.89 and $12.09, all set on the trade date. If the index ends higher, your payout equals $10 plus the lesser of the geared index gain or the maximum gain; if it is unchanged, you receive $10; if it falls, you lose the same percentage as the index, up to a total loss of principal.
The notes pay no interest, provide no dividends or voting rights, and must be held to maturity for the stated payoff. They are not listed on an exchange and may have little or no secondary market. The estimated initial value is expected between $9.48 and $9.78 per Security versus the $10 issue price, reflecting dealer compensation, hedging and funding costs; underwriting discounts of $0.20 per Security leave $9.80 in proceeds to UBS. All payments depend on UBS’s creditworthiness, and the tax treatment is complex and uncertain.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of NVIDIA Corporation, with a scheduled maturity on December 15, 2028. These unsubordinated, unsecured notes pay a contingent coupon only if NVIDIA’s closing stock price on an observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period. The notes are automatically called early if NVIDIA’s stock closes at or above the initial level on any observation date before maturity, in which case investors receive principal plus the applicable contingent coupon and no further payments.
If the notes are not called and NVIDIA’s final stock level on the December 13, 2028 final valuation date is at or above the downside threshold, investors receive back the full principal (and a final contingent coupon if the coupon barrier is also met). If the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors can lose all of their investment. The notes are not listed on any exchange, are subject to UBS’s credit risk, require a minimum investment of 100 notes at $10 per note, and have an estimated initial value of $9.69 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Intel Corporation, maturing on or about December 15, 2027. These are unsecured, unsubordinated debt obligations of UBS, not bank deposits and not insured by any government agency.
Investors receive a contingent coupon only if, on an observation date, Intel’s share price is at or above a coupon barrier; otherwise no coupon is paid for that period. The notes are automatically called early if Intel’s share price on any observation date (before the final valuation date) is at or above the initial level, in which case investors receive principal plus the applicable contingent coupon and no further payments.
If the notes are not called and Intel’s final level is at or above a downside threshold, investors receive only their principal at maturity. If the final level is below the downside threshold, repayment is reduced in line with the negative underlying return, and investors can lose all of their initial investment. The minimum investment is 100 notes at
UBS AG is offering $100,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Constellation Energy Corporation, maturing on December 16, 2027. These unsecured, unsubordinated debt notes pay a contingent coupon only if the stock closes on or above a preset coupon barrier on each observation date; otherwise no coupon is paid for that period.
The notes are automatically called early if the stock closes at or above its initial level on any observation date before maturity, in which case investors receive the $10 principal per Note plus any due coupon and no further payments. If the notes are not called and, at maturity, the stock is at or above a downside threshold, investors receive full principal back; if it is below that threshold, repayment is reduced in line with the stock’s percentage decline, and the entire investment can be lost in severe declines.
Any payment depends on UBS’s creditworthiness, so a UBS default could result in full loss even if the stock performs favorably. The notes will not be listed on any exchange, the estimated initial value is $9.70 per $10 Note, and the minimum investment is 100 Notes ($1,000).
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Palantir Technologies Inc., maturing on or about December 18, 2028. These unsecured debt obligations pay a contingent coupon only if Palantir’s closing share price on an observation date is at or above a specified coupon barrier; otherwise, no coupon is paid for that period.
The notes are automatically called early if Palantir’s share price on any observation date before maturity is at or above the initial level, in which case investors receive principal plus any due coupon and no further payments. If the notes are not called and Palantir’s final level on the valuation date is at or above a downside threshold, investors receive their principal back (and a final coupon if the barrier is met). If the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors could lose their entire investment.
The minimum investment is 100 notes at $10 per note, and the estimated initial value per note is expected to be between $9.38 and $9.63. All payments depend on UBS’s creditworthiness; a default by UBS could result in loss of all amounts due.
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