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 Trigger Autocallable Contingent Yield Notes linked to the SPDR® S&P® Regional Banking ETF (KRE), maturing on or about January 3, 2028. Each Note has a $1,000 principal amount and pays a contingent coupon at 8.55% per annum, in monthly installments of $7.125, but only when KRE’s closing level on an observation date is at or above the coupon barrier, set at 75% of the initial level.
The Notes may be automatically called after 3 months if KRE closes at or above the call threshold of 100% of the initial level on any observation date. In that case, investors receive principal plus the applicable contingent coupon and the Notes terminate. If not called, and KRE’s final level on the valuation date is at or above the downside threshold of 75% of the initial level, UBS repays the full principal (plus a final contingent coupon if the barrier is met.
If the Notes are not called and KRE’s final level is below the downside threshold, investors suffer a loss equal to KRE’s percentage decline, with the potential to lose all principal. The Notes are unsecured, unsubordinated obligations of UBS AG London Branch, not bank deposits and not FDIC insured. They will not be listed, and UBS expects the initial fair value to be only $938.50–$968.50 per $1,000 due to dealer discounts, hedging and internal funding costs.
UBS AG is offering Trigger Autocallable Notes linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, with a principal amount of $1,000 per Note and a term of approximately five years, subject to early automatic call.
The Notes automatically call, and pay a cash amount equal to principal plus a call return, if on any semiannual observation date each index is at or above its call threshold level, set as a percentage of its initial level. The call return rate is 9.25% per annum, producing call prices from $1,092.50 after year one up to $1,462.50 at maturity if called on the final valuation date.
If the Notes are not called and each index finishes at or above its downside threshold of 70.00% of its initial level, investors receive only the $1,000 principal. If any index closes below its downside threshold, repayment is reduced in line with the negative return of the worst-performing index and can fall to zero. The estimated initial value ranges from $922.50 to $952.50 per Note, and all payments depend on the creditworthiness of UBS. The Notes pay no interest, are not listed on an exchange and offer no dividends or voting rights.
UBS AG is offering $2,017,000 in Trigger Autocallable Contingent Yield Notes linked to the least performing of the Russell 2000 Index and the S&P 500 Index, maturing December 20, 2028. Each $1,000 Note pays a contingent coupon at 7.88% per annum (about $19.70 per quarter) only if, on an observation date, both indices close at or above their coupon barriers set at 75% of initial levels (1,898.000 for RTY and 5,112.38 for SPX). The Notes can be automatically called quarterly after six months if both indices are at or above their call thresholds, set at 100% of initial levels, returning principal plus any due coupon. If not called and any index finishes below its downside threshold (also 75% of initial), investors suffer a loss matching the decline of the worst index and can lose their entire investment. The estimated initial value is $955.90 per $1,000 Note, there is no exchange listing, coupons are not guaranteed, and all payments depend on UBS’s credit.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the least performing of the Dow Jones Industrial Average®, Russell 2000® Index and Nasdaq-100® Technology Sector IndexSM, maturing on or about January 7, 2032. The Notes pay a contingent coupon at a rate of 9.00% per annum only if, on a monthly observation date, each index closes at or above its coupon barrier, set at 80.00% of its initial level, with unpaid coupons potentially paid later via the memory feature.
The Notes may be automatically called after 12 months if each index is at or above its call threshold level, set at 100.00% of its initial level, in which case investors receive principal plus due and unpaid coupons and no further payments. If the Notes are not called and any index finishes below its downside threshold, set at 60.00% of its initial level, investors receive less than the $1,000 principal per Note, potentially losing their entire investment.
The Notes are unsubordinated, unsecured debt obligations of UBS, with an issue price of $1,000 per Note, an underwriting discount of $3.00 and proceeds to UBS of $997.00 per Note. The estimated initial value is expected to be between $940.90 and $970.90. The Notes will not be listed, and any payment depends on UBS’ creditworthiness.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer of four references: the Nasdaq-100® Technology Sector Index, the Russell 2000® Index, the Energy Select Sector SPDR® Fund and the Technology Select Sector SPDR® Fund. Each $1,000 note pays a 12.10% per annum contingent coupon, with monthly payments of $10.0833 only when all four underlyings close at or above 70% of their initial level.
The notes run to about December 29, 2028 and can be redeemed early at UBS’s option on monthly observation dates after three months, at par plus any due coupon. If they are not called and any underlying finishes below 60% of its initial level, the maturity payment falls in line with the worst performer and can drop to zero, so investors may lose all principal and receive no coupons. The notes are unsecured obligations of UBS, not FDIC‑insured or exchange‑listed, and their estimated initial value is between $949 and $979 per $1,000 note, reflecting embedded fees and hedging costs.
UBS AG is offering $228,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, maturing on December 20, 2028. The Notes pay a 9.05% per annum contingent coupon, calculated and payable monthly, but only if on each observation date both indices close at or above their coupon barriers, set at 70% of initial levels (1,771.467 for the Russell 2000 and 4,771.56 for the S&P 500). UBS may call the Notes in whole, beginning after six months, paying principal plus any due coupon; after a call, no further payments are made. If the Notes are not called and either index finishes below its downside threshold (also 70% of its initial level), repayment at maturity is reduced one-for-one with the negative return of the worst-performing index and can fall to zero, causing a total loss of principal. The Notes are unsecured obligations of UBS, are not insured, are not exchange-listed, and have an estimated initial value of $969.30 per $1,000 Note, below the issue price.
UBS AG is offering Buffer In-Digital Securities linked to the S&P 500® Index, maturing January 21, 2027. Each Security has a $1,000 principal amount and provides a fixed digital return of 7.70% at maturity if the index’s final level is at or above a digital barrier set at 85.00% of the initial level (5,794.03 vs. 6,816.51 initial).
If the S&P 500® closes below this downside threshold on the final valuation date, repayment is reduced: investors lose principal based on the index decline beyond a 15.00% buffer, and in extreme cases could lose almost all of their investment. The Securities pay no interest, do not provide dividends or voting rights, and must be held to maturity to receive the digital return.
The Securities are unsubordinated, unsecured debt of UBS AG London Branch, exposed to UBS credit risk, will not be listed on an exchange, and may have limited or no secondary market. The estimated initial value per Security is expected to be between $965.50 and $995.50, below the $1,000 issue price, reflecting underwriting discounts, hedging and issuance costs.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100® Technology Sector IndexSM, the Russell 2000® Index, the Energy Select Sector SPDR® Fund and the Technology Select Sector SPDR® Fund. The Notes have a term of approximately three years and pay a 13.75% per annum contingent coupon on monthly dates only if the closing level of each underlying asset is at or above its coupon barrier, set at 70% of its initial level.
UBS may call the Notes, in whole, on any observation date beginning after three months, paying principal plus any due coupon; no further payments are then made. If the Notes are not called and, at maturity, every underlying is at or above its downside threshold (also 70% of its initial level), investors receive full principal back, plus any final coupon. If any underlying finishes below its downside threshold, the repayment is reduced in line with the negative return of the worst performer, up to a total loss of principal. The Notes are unsecured, unsubordinated obligations of UBS, not listed on any exchange, and their estimated initial value is between $950.60 and $980.60 per $1,000 issue price.
UBS AG is offering Trigger Autocallable Yield Notes linked to the common stock of Constellation Energy Corporation, maturing on December 20, 2027. Each Note has a $1,000 principal amount and pays a fixed coupon at 11.15% per annum, with monthly payments as long as the Notes remain outstanding.
The Notes can be automatically called any month after 12 months if Constellation’s stock closes at or above the call threshold, set at 100% of the initial level ($357.14). If called, investors receive $1,000 plus the coupon for that month and no further payments. If the Notes are not called and the final stock level on the valuation date is at or above the downside threshold of 55% of the initial level ($196.43), investors receive their full principal at maturity, plus the last coupon.
If the final stock level is below the downside threshold, repayment is reduced one-for-one with the stock’s percentage decline, so investors can lose a significant portion or all of their investment. The Notes do not pay dividends or allow participation in stock gains beyond coupons, will not be listed on an exchange, and all payments depend on the creditworthiness of UBS. The estimated initial value per Note is expected to be between $949.10 and $979.10, below the $1,000 issue price.
UBS AG is offering Step Down Trigger Autocallable Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, maturing on or about December 24, 2030. Each Note has a $1,000 principal amount and a call return rate of 9.00% per annum, paid only if the Notes are automatically called. UBS will automatically call the Notes on quarterly observation dates, beginning after 12 months, if the closing level of each index is at or above its call threshold level, which starts at 100% of its initial level and steps down over time to 75.00% on the final valuation date.
If called, holders receive the call price (principal plus the applicable call return) and no further payments. If the Notes are not automatically called and the final level of any index is below its downside threshold of 75.00% of its initial level, the maturity payment is $1,000 × (1 + underlying return of the least performing index), so losses match the percentage decline and can reach a 100% loss of principal. The estimated initial value is expected between
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