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 Phoenix Autocallable Buffer Notes with Memory Interest linked to the common stock of Caterpillar Inc. The notes are unsecured debt of UBS with a principal amount of $1,000 per note and a term of about 54 weeks, maturing on or about December 2, 2026, unless called earlier.
Investors may receive a fixed contingent interest payment of at least $41.00 per note on each quarterly interest payment date if Caterpillar’s share price on the related observation date is at or above an interest barrier set at 85% of the initial price. Missed coupons can be paid later if the barrier is met, via a “memory” feature. The notes are automatically called if the stock closes at or above the initial price on any autocall observation date, returning principal plus due and previously unpaid coupons.
If the notes are not called and Caterpillar’s final share price is at or above a downside threshold equal to 85% of the initial price, investors receive full principal back plus any due coupons. If the final price is below the downside threshold, investors receive a cash amount tied to a share formula that can be substantially less than principal, resulting in partial or total loss. All payments depend on the creditworthiness of UBS, and the notes will not be listed on an exchange.
UBS AG is offering $1,585,000 of Capped Market-Linked Notes linked to the Nasdaq-100 Index, due May 12, 2027. The notes are issued at $1,000 per note and do not pay interest. At maturity, investors receive principal plus the lesser of the index’s positive return or a 13.50% maximum gain; if the index return is zero or negative, repayment is principal plus the greater of the index return or a -5.00% minimum return, meaning losses are capped at 5%.
The initial level is 25,059.81, the final valuation date is May 7, 2027, and the estimated initial value is $994.00 per note. Underwriting discount is $3.00 per note, for total proceeds to UBS of $1,580,245. Any payment depends on UBS’s credit; the notes are unsecured, unsubordinated obligations and will not be listed on an exchange.
UBS AG priced $457,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Russell 2000 Index and S&P 500 Index, due November 8, 2030. The Notes pay a 9.25% per annum contingent coupon on quarterly observation dates only if each index closes at or above its coupon barrier.
UBS may call the Notes in whole on any observation date beginning after 6 months; if called, holders receive the $1,000 principal per Note plus any due coupon. If not called and, at maturity, each index is at or above its downside threshold, holders receive the $1,000 principal. If any index is below its downside threshold, the maturity payment falls in line with the negative return of the least performing index, which can result in a full loss of principal.
Initial levels and barriers: INDU 47,311.00 (barrier/threshold 33,117.70), RTY 2,464.780 (1,725.346), SPX 6,796.29 (4,757.40). The estimated initial value is $966.50 per Note. Underwriting compensation is $2.50 per Note; proceeds to UBS are $997.50 per Note. All payments are subject to UBS credit.
UBS Group AG and UBS AG reported the results of seven concurrent cash tender offers for outstanding notes and increased the Maximum Purchase Consideration from $4 billion to $8.6 billion. Holders tendered $8,544,989,115 in aggregate principal before expiration, plus $29,350,000 via guaranteed delivery. UBS accepted $7,668,817,115 for purchase across series with Acceptance Priority Levels 1–6; Level 7 notes were not accepted.
The offers expired at 5:00 p.m. Eastern on November 5, 2025. The Initial Settlement Date is November 7, 2025, with Guaranteed Delivery settlement on November 10, 2025. Accepted holders will receive the applicable Total Consideration per $1,000/€1,000 of principal in cash, plus accrued interest to (but excluding) the Initial Settlement Date, after which interest stops accruing on purchased notes.
UBS also announced corrected reference yields and Total Consideration for each series as of 10:00 a.m. Eastern on November 5, 2025, including USD and EUR notes (EUR amounts translated at €1.00 = $1.14880). Dealer Manager: UBS Investment Bank; Information/Tender Agent: D.F. King & Co.
UBS AG furnished a Form 6-K providing an updated capitalization snapshot under IFRS. As of 30 September 2025, total capitalization was USD 424,831m, comprising total debt issued of USD 329,237m and equity attributable to shareholders of USD 95,135m. The report notes that 87% of total debt issued was unsecured as of that date.
Quarter-on-quarter, short-term debt was USD 85,213m (down from USD 97,242m on 30 June 2025), while long-term debt was USD 244,024m (up from USD 237,634m). Funding from UBS Group AG within total debt was USD 124,317m (vs. USD 119,119m). Equity attributable to non-controlling interests was USD 459m (vs. USD 576m). UBS AG states that this 6-K is incorporated by reference into its Form F-3 (No. 333-283672) and certain CABCO prospectuses and supplements.
UBS AG filed its third‑quarter 2025 report, showing steadier profitability as integration of Credit Suisse progresses. Total revenues were USD 12,446m (up 4% year over year) and net profit attributable to shareholders was USD 1,288m (up 29%). Operating profit before tax rose to USD 1,507m and the cost/income ratio improved to 87.0%.
By division, Global Wealth Management pre‑tax profit grew 30% to USD 1,197m on higher fees and client activity; the Investment Bank’s pre‑tax profit rose to USD 782m, aided by stronger Global Banking and Global Markets and a USD 128m gain from the CSS China stake sale. Total assets were USD 1.634trn. Capital and liquidity stayed solid with a CET1 ratio of 14.2%, Liquidity Coverage Ratio 179% and NSFR 118.6%.
UBS advanced Swiss client migrations to over two‑thirds of targeted accounts and substantially completed Asset Management integration. Legal items included a EUR 730m fine and EUR 105m civil damages in France alongside a provision release gain of USD 321m, and a USD 300m payment to resolve remaining 2017 RMBS obligations. Switzerland’s proposed rules could imply around USD 24bn additional CET1 for UBS AG and, including other effects, around USD 39bn in total over time, subject to legislative outcomes. UBS and UBS Group announced debt tender offers up to USD 4bn.
UBS AG is offering $2,151,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the least performing of Meta (META), Microsoft (MSFT) and Super Micro Computer (SMCI), maturing on October 27, 2028.
The Notes pay a 25.00% per annum contingent coupon ($20.8333 per month) only if each stock is at or above its coupon barrier on an observation date; missed coupons can be paid later under the memory feature. The Notes are automatically called after 12 months if each stock is at or above its call threshold (100% of initial levels: META $738.36; MSFT $523.61; SMCI $48.29). Coupon barriers and downside thresholds are 60% of initial levels (META $443.02; MSFT $314.17; SMCI $28.97). If not called, principal is repaid at maturity only if each final level is at or above its downside threshold; otherwise repayment is reduced in line with the worst performer. The estimated initial value is $983.80 per $1,000 Note. The Notes are unsecured obligations of UBS, will not be listed, and all payments depend on UBS’s credit.
UBS AG filed a preliminary pricing supplement for Trigger Autocallable Contingent Yield Notes linked to the common stock of Meta Platforms, Inc., maturing on or about November 6, 2028.
The Notes pay a contingent coupon only if the underlying closes at or above a stated coupon barrier on each observation date. They are subject to automatic call if the underlying closes at or above the initial level on any observation date before maturity, in which case investors receive principal plus any due coupon and no further payments. If not called, principal is repaid at maturity only if the final level is at or above the downside threshold; otherwise repayment is reduced in line with the underlying’s decline, and losses could be total. All payments depend on the creditworthiness of UBS.
The estimated initial value is expected to range from $9.45 to $9.70 per $10 Note. The Notes will not be listed. Key dates: trade October 31, 2025, settlement November 4, 2025, final valuation November 2, 2028, maturity November 6, 2028. The minimum investment is 100 Notes at $10 per Note.
UBS AG announced preliminary terms for Trigger Autocallable Contingent Yield Notes linked to Lam Research Corporation common stock, due on or about November 4, 2027. The notes pay a contingent coupon only if the underlying closes at or above the coupon barrier on each observation date; they are automatically called if the underlying closes at or above the initial level on any observation date before the final valuation date.
If not called, holders receive the principal at maturity only if the final level is at or above the downside threshold; otherwise, repayment is reduced in line with the underlying’s decline and could be zero. Payments are subject to the creditworthiness of UBS. Key dates: expected trade date October 31, 2025; settlement November 4, 2025; final valuation November 2, 2027; maturity November 4, 2027. The notes will not be listed. Minimum investment is 100 notes at $10 each (representing $1,000). The estimated initial value per $10 note is expected to be between $9.50 and $9.75. The document includes hypothetical examples (e.g., a 15.41% per annum coupon and 70% barriers) for illustration only.
UBS AG launched a primary offering of $17,024,400 Buffer Autocallable GEARS linked to the Russell 2000 Index. Each Security is priced at $10, with a $0.25 underwriting discount and $9.75 in proceeds to UBS. The minimum purchase is 100 Securities ($1,000). The notes do not pay interest and will not be listed.
The product may be automatically called on November 5, 2026 if the index closes at or above the autocall barrier set at 100.00% of the initial level (2,484.805). If called, holders receive the call price of $11.00 per Security (reflecting a 10.00% per annum call return). If not called, at maturity on November 1, 2028, repayment depends on index performance: positive returns are multiplied by 1.50 upside gearing; principal is repaid if the final level is at or above the downside threshold of 90.00% (2,236.325); otherwise losses begin beyond the 10.00% buffer.
The estimated initial value is $9.71 per Security, below the $10 issue price. Any payment is subject to the creditworthiness of UBS, and Swiss resolution powers could affect recoveries. The Securities are not deposits and are not FDIC insured.
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