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 $300,000 of Capped Buffer GEARS, unsecured notes linked to the Russell 2000® Index and maturing on May 28, 2027. Each $1,000 Security provides 2.00x leveraged upside on any positive index return, capped at an 18.00% maximum gain, for a maximum payment of $1,180.00 per Security. A 10.00% buffer applies: if the index is flat or down but above or at the downside threshold of 2,219.381 (90.00% of the 2,465.979 initial level), investors receive back the $1,000 principal.
If the final index level falls below the downside threshold, repayment is reduced by losses beyond the 10.00% buffer and investors can lose almost all of their investment. The notes pay no interest, do not provide dividends, and depend entirely on UBS’s credit. They are expected to be illiquid and are initially priced at $1,000 with an estimated initial value of $970.20 after fees and hedging costs.
UBS AG is issuing Digital S&P 500® Index-Linked Medium-Term Notes tied to the S&P 500 Index. The notes pay no interest and mature on July 28, 2027, with an aggregate face amount of $8,355,000 and denominations of $1,000.
At maturity, if the index is at or above the 87.50% buffer level of the initial level of 6,705.12, each $1,000 note pays a fixed $1,145.50 (a 14.55% cap). If the index falls more than 12.5%, holders lose about 1.1429% of face value for every 1% decline below the buffer and could lose their entire investment. The estimated initial value is $997.50 per $1,000 face amount, the notes are unsecured obligations of UBS with no listing or redemption rights, and returns depend on UBS's credit and S&P 500 price performance only, excluding dividends.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index, maturing on or about December 4, 2030. Each Note has a $1,000 principal amount and pays a 25.00% per annum contingent coupon (about $20.8333 monthly) only when the Index is at or above an 80% coupon barrier on the observation date.
The Notes can be automatically called quarterly, beginning after three months, if the Index is at or above a call threshold set at 100% of the initial level. On an automatic call, investors receive principal plus the applicable contingent coupon and the Notes terminate early.
If not called and the final Index level is at or above the 80% downside threshold, investors receive full principal at maturity (plus the last coupon if the barrier is met). If the final level is below the downside threshold, repayment is $1,000 × (1 + underlying return), exposing investors to the full downside of the Index and potentially a total loss of principal. The estimated initial value is between $919.10 and $949.10, and all payments depend on the creditworthiness of UBS.
UBS AG is offering $936,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100® Technology Sector IndexSM, the Russell 2000® Index and the S&P 500® Index, maturing on May 28, 2027. The Notes pay a 13.75% per annum contingent coupon (about $11.4583 per $1,000 per month) only if, on each monthly observation date, all three indices close at or above their coupon barriers, set at 70% of their initial levels.
UBS may call the Notes in whole on any monthly observation date starting after three months, paying back principal plus any due coupon; after a call no further payments are made. If the Notes are not called and any index finishes below its downside threshold (also 70% of initial), the maturity payment is reduced dollar-for-dollar with the worst index’s loss, and investors can lose up to their entire principal. If all three indices end at or above their downside thresholds, investors receive only their $1,000 principal per Note plus any final coupon.
The Notes are unsecured, unsubordinated UBS debt, not deposits and not FDIC insured. The estimated initial value is $984.30 per $1,000 Note, reflecting underwriting discounts, hedging and issuance costs, and the Notes are not expected to be listed, so liquidity may be limited.
UBS AG is offering $633,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq‑100 Index®, Russell 2000® Index and EURO STOXX 50® Index, maturing on November 29, 2030. The Notes pay a contingent coupon at an annual rate of 11.70% (or $29.25 per $1,000 note per quarter) only if on each observation date the closing level of every index is at or above its coupon barrier, set at 70% of the initial level.
UBS may call the Notes on any quarterly observation date (other than the final one), paying back principal plus any due coupon, after which no further payments are made. If the Notes are not called and each index finishes at or above its downside threshold, set at 60% of its initial level, investors receive full principal at maturity; otherwise, repayment is reduced one‑for‑one with the loss of the worst‑performing index, and all principal can be lost.
Payments depend entirely on UBS’ creditworthiness. The estimated initial value is $967.40 per $1,000 note, lower than the issue price due to underwriting compensation, hedging and issuance costs.
UBS AG is offering $2,379,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index, maturing on November 30, 2028.
The Notes pay a contingent coupon at an annual rate of 11.55% (monthly coupons of $9.625 per $1,000) only if, on each observation date, every index closes at or above its coupon barrier, set at 70% of its initial level. UBS may call the Notes in whole, at its discretion, on any monthly observation date beginning after three months, paying back principal plus any due coupon.
If the Notes are not called and, at maturity, all three indices are at or above their downside thresholds (60% of initial levels), investors receive full principal back (and a final coupon if barriers are met). If any index finishes below its downside threshold, repayment is reduced in line with the worst-performing index, and investors can lose up to 100% of principal. Payments depend on UBS’ credit; the estimated initial value is $974.30 per $1,000.
UBS AG is offering unsecured Conversion Yield Notes linked to the clean price of a specific 20-year U.S. Treasury bond paying 4.875% and maturing in 2045. The Notes have a term of about six months, are expected to mature on or about June 2, 2026, and pay a fixed coupon of 6.50% per annum, paid once at maturity, regardless of bond performance.
At maturity, if the Treasury bond’s final clean price is at or above its initial clean price on the trade date, investors receive a cash payment equal to the $1,000 principal per Note plus the coupon. If the final clean price is below the initial clean price, investors receive a “physical delivery amount” of the underlying Treasury (plus cash for any fraction), whose value is expected to be less than principal and can result in substantial loss.
The conversion price equals the initial clean price plus 1.4410% UST accrued interest (per $100 face). The estimated initial value is between $954.00 and $984.00 per $1,000 Note, reflecting underwriting discount of $10.00 and proceeds to UBS of $990.00 per Note, as well as hedging and issuance costs. The Notes are not listed and all payments are subject to UBS credit risk.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest and a Conditional Threshold Event linked to the least performing of Advanced Micro Devices (AMD) and NVIDIA (NVDA), maturing on November 30, 2028. Each Note has a $1,000 principal amount and pays a 20.00% per annum contingent coupon (about $16.6667 per month) only if on an observation date the closing level of both stocks is at or above their coupon barriers (70% of initial levels: $144.29 for AMD and $124.47 for NVDA), with missed coupons potentially paid later under the memory feature.
The Notes are automatically called if, starting after six months, on any monthly observation date both stocks are at or above their call thresholds, set at 100.00% of initial levels ($206.13 for AMD and $177.82 for NVDA). If called, investors receive principal plus due and previously unpaid coupons, and no further payments. If not called, principal repayment at maturity depends on a threshold event. If each final stock level is at or above its downside threshold (50% of initial: $103.07 for AMD and $88.91 for NVDA) or at least one final level is at or above its upper barrier, investors receive the full $1,000 per Note (plus any due coupons). If instead a threshold event occurs, meaning each final level is below its upper barrier and at least one final level is below its downside threshold, repayment is reduced to $1,000 times 1 plus the return of the least performing stock, matching its percentage loss and potentially resulting in a total loss of principal.
The Notes expose holders to the equity market risk of AMD and NVIDIA individually, sector concentration risk in semiconductors, and the credit risk of UBS as an unsecured senior issuer. Investors forgo dividends and any upside beyond contingent coupons, face the possibility of receiving few or no coupons, and may experience limited or no liquidity because the Notes are not listed. The issue price is $1,000 per Note, with an underwriting discount of $7.00 and estimated initial value between $932.20 and $962.20, reflecting internal funding and hedging costs. U.S. federal income tax treatment is uncertain; UBS intends to treat the Notes as prepaid derivatives with contingent coupons taxed as ordinary income.
UBS AG is offering Buffer Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing on or about December 9, 2027. The Notes pay a contingent coupon of 10.05% per annum (about $8.375 per $1,000 Note each month) only if, on an observation date, each index closes at or above its coupon barrier, set at 80% of its initial level.
UBS may call the Notes in whole, starting after three months, paying back principal plus any due coupon, with no further payments. If the Notes are not called and each index finishes at or above its downside threshold (also 80% of initial), investors receive full principal at maturity. If any index ends below its downside threshold, the maturity payment is reduced by the decline of the worst index beyond a 20% buffer, and investors could lose almost all of their investment. All payments depend on the creditworthiness of UBS, and the Notes are not insured or listed on an exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the Solactive U.S. Large Cap Volatility Navigator Index, a leveraged, volatility-targeted futures-based index with a 6.0% annual decrement. The Notes pay a contingent coupon at a 17.00% per annum rate, in equal monthly amounts, only if the index closes at or above a coupon barrier set at 70.00% of the initial level on each observation date.
The Notes can be automatically called beginning after six months if the index is at or above a call threshold of 100.00% of the initial level, returning principal plus any due coupon. If not called and, at maturity, the index is at or above a downside threshold of 50.00% of the initial level, investors receive only their principal back. If the final index level is below the downside threshold, repayment is reduced one-for-one with the index loss, and investors can lose their entire investment.
The Notes are unsecured, unsubordinated UBS debt, not deposits and not FDIC insured, with no exchange listing and limited or no secondary market expected. The estimated initial value is between $934.50 and $964.50 per $1,000 issue price, reflecting underwriting discounts, hedging and issuance costs.
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