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 London Branch is offering capped, leveraged, buffered medium-term notes whose payoff depends on an unequally weighted basket of five equity indices: EURO STOXX 50® (38%), TOPIX (26%), FTSE® 100 (17%), Swiss Market Index (11%) and S&P/ASX 200 (8%). The notes pay no interest and are expected to mature in about 26–29 months.
At maturity, investors receive $1,000 plus 240.00% of any positive basket return, but only up to a maximum settlement amount expected between $1,226.56 and $1,266.40 per $1,000. If the basket falls by up to 17.50%, investors receive $1,000. If it falls more than 17.50%, principal is reduced at approximately 1.2121% for each 1% decline beyond that buffer, and investors can lose their entire investment.
The estimated initial value is expected between $966.50 and $996.50 per $1,000, reflecting internal funding and hedging costs. The notes are unsecured obligations of UBS, will not be listed, may have limited or no secondary market, and involve complex U.S. tax and withholding considerations.
UBS AG is offering Buffer Callable Contingent Yield Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, with a term of approximately three years to about December 15, 2028. The Notes are unsubordinated, unsecured debt obligations of UBS with a $1,000 denomination and principal fully at risk.
Investors may receive monthly contingent coupons at a rate of 9.90% per annum (cash payments of $8.25 per Note) only if, on each observation date, the closing level of both indices is at or above 85.00% of their initial levels. UBS may call the Notes in whole on any monthly observation date beginning after 12 months, paying $1,000 per Note plus any due coupon, after which no further payments are made.
If the Notes are not called and, on the final valuation date, each index is at or above its 85.00% downside threshold, UBS repays the $1,000 principal, reflecting a 15.00% buffer. If any index finishes below its downside threshold, repayment is reduced by the decline of the least performing index beyond the buffer, and investors could lose almost all of their investment. The estimated initial value is expected between $951.00 and $981.00 per $1,000 Note due to underwriting discount, hedging and funding costs, including a $5.00 underwriting discount and $995.00 proceeds to UBS per Note. The Notes will not be listed and carry significant market, liquidity, credit and tax risks.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the common stock of Dell Technologies Inc., maturing on or about December 8, 2028. Each Note has a
The Notes are automatically called if, on any quarterly observation date beginning after six months, Dell’s share price is at or above the call threshold, set at 100% of the initial level; in that case investors receive principal plus the applicable coupon and no further payments. If the Notes are not called and Dell’s final level is below the downside threshold of 50% of the initial level, investors suffer a loss matching Dell’s percentage decline and could lose their entire investment. The Notes are unsecured obligations of UBS, not FDIC‑insured, will not be listed on an exchange, and have an estimated initial value between
UBS AG is offering $700,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Carnival Corporation, scheduled to mature on December 7, 2026. These unsecured debt notes pay a contingent coupon only when Carnival’s share 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 Carnival’s stock closes at or above the initial level on any observation date before maturity, in which case investors receive the principal plus any due contingent coupon and no further payments. If the notes are not called and the final stock level is at or above a downside threshold, investors receive full principal at maturity; if it is below that threshold, repayment is reduced in line with the stock’s decline, and all principal can be lost.
Any payment depends on the creditworthiness of UBS. The minimum investment is 100 notes at $10 per note, and the estimated initial value per note on the trade date is $9.73. The notes will not be listed on any exchange and are not insured by any government agency.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Carnival Corporation, maturing on or about December 7, 2026. These unsecured debt notes may pay contingent coupons only when Carnival’s share price on scheduled observation dates is at or above a preset coupon barrier; if the share price is below that level, no coupon is paid for that period.
The notes can be automatically called before maturity if Carnival’s share price is at or above the initial level on any observation date, in which case investors receive the $10 principal per note plus any due coupon and the product terminates. If the notes are not called and the final share price is at or above a downside threshold, investors receive their principal back; if it is below that threshold, repayment is reduced in line with Carnival’s decline and can fall to zero.
The minimum investment is 100 notes at $10 each, and UBS expects the initial estimated value per $10 note to be between $9.35 and $9.60. Payments depend entirely on UBS’s creditworthiness, the notes are not FDIC‑insured, and they will not be listed on an exchange, so liquidity and pricing in any secondary market are uncertain.
UBS AG is offering unsecured Trigger Autocallable Contingent Yield Notes linked to the common stock of Capital One Financial Corporation, scheduled to mature on December 6, 2027. These notes can pay contingent coupons only if Capital One’s share price is at or above a preset coupon barrier on scheduled observation dates; otherwise no coupon is paid for that period.
The notes are automatically called early if the share price is 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 the final share level is at or above a downside threshold, investors receive only their principal back at maturity. If the final share level is below the downside threshold, repayment is reduced in line with the stock’s decline and investors can lose all of their investment.
All payments depend on the creditworthiness of UBS, and the notes will not be listed on any exchange. The minimum investment is 100 notes at $10 per note, and the estimated initial value is $9.70 per note, reflecting UBS’ internal pricing and costs.
UBS AG is offering $103,000 of Trigger Autocallable Contingent Yield Notes linked to the ADRs of Arm Holdings plc, maturing on December 6, 2027. Each Note has a $10 principal amount, with a minimum investment of 100 Notes.
Investors receive a contingent coupon only if Arm’s ADR closing level on an observation date is at or above the coupon barrier, set at 55% of the initial level. The notes may be automatically called before maturity if Arm’s ADRs close at or above the initial level on any observation date, in which case investors receive principal plus the applicable coupon and the product terminates.
If the notes are not called and the final level is at or above the downside threshold (also 55% of the initial level), investors receive full principal back at maturity, plus any final coupon if the barrier is met. If the final level is below the downside threshold, repayment is reduced dollar‑for‑dollar with Arm’s decline, and investors can lose some or all of their investment. All payments depend on the creditworthiness of UBS. The estimated initial value is $9.69 per $10 Note.
UBS AG is offering Trigger Autocallable GEARS, five-year unsecured notes linked to an equally weighted basket of 18 selected equities. Each Security has a $10 principal amount and does not pay interest or dividends.
The notes can be automatically called after about one year if the basket closing level is at or above the autocall barrier, set at 100% of the initial basket level, paying a call price of $11.10 per Security based on an 11.00% call return rate. If not called and the basket return is positive at maturity, investors receive $10 plus the basket return multiplied by upside gearing of 1.30 to 1.50.
If the notes are not called and the final basket level is at or above the downside threshold of 75% of the initial basket level, principal is returned. If the final basket level falls below this threshold, repayment is reduced one-for-one with the negative basket return, and the entire investment can be lost. All payments depend on the creditworthiness of UBS, and the Securities are not listed, may have limited liquidity, and have an estimated initial value between $9.242 and $9.542 per $10.
UBS AG is offering $152,000 of Trigger Autocallable Contingent Yield Notes linked to Oracle Corporation common stock, maturing December 4, 2028. These unsecured, unsubordinated notes pay a contingent coupon only if Oracle’s closing share price on each observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The notes can be redeemed early: if Oracle’s share price on any observation date before maturity is at or above the initial level, UBS will automatically call the notes and repay the $10 principal per note plus any due coupon, with no further payments afterward. If the notes are not called and Oracle’s final share price on the November 30, 2028 valuation date is at or above a downside threshold, investors receive full principal at maturity. If it is below that threshold, repayment is reduced in line with Oracle’s percentage decline, and investors could lose all of their initial investment.
The minimum investment is 100 notes, or $1,000. The estimated initial value is $9.69 per $10 note, reflecting UBS’s internal pricing. Payments depend on UBS’s credit, the notes will not be listed on an exchange, and they are not bank deposits or FDIC insured.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Constellation Energy Corporation, maturing on or about December 6, 2027. These unsecured, unsubordinated notes pay a contingent coupon only if the stock closes at or above a preset coupon barrier on each observation date; otherwise no coupon is paid. The notes may be automatically called early if the stock closes at or above its initial level on any observation date before maturity, in which case investors receive principal plus the applicable contingent coupon and the notes terminate.
If the notes are not called and the final stock level is at or above the downside threshold, investors receive full principal repayment at maturity, potentially with a final contingent coupon. If the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage loss, and investors could lose all of their initial investment. The notes are not listed, require a minimum investment of 100 notes at $10 each, and all payments depend on the creditworthiness of UBS. The estimated initial value is expected between $9.41 and $9.66 per note.
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