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 Buffer Callable Contingent Yield Notes linked to the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing on or about June 10, 2027. The Notes pay a 9.55% per annum contingent coupon, observed monthly, but only if each index closes at or above its coupon barrier, set at 80% of its initial level. If any index is below its barrier on an observation date, no coupon is paid for that period.
UBS may call the Notes in whole on any monthly observation date beginning after three months, paying back the $1,000 principal per Note plus any due coupon, after which no further payments are made. If the Notes are not called and, at maturity, each index is at or above its downside threshold (also 80% of its initial level), investors receive full principal. If any index finishes below its downside threshold, repayment is reduced based on the decline of the worst-performing index beyond the 20% buffer, and investors could lose almost all of their investment.
All payments depend on the credit of UBS AG. The estimated initial value per Note is expected between
UBS AG is offering $792,000 of Capped Buffer GEARS, unsecured structured notes linked to the S&P 500® Index, maturing on May 28, 2027. Each Security has a $1,000 principal amount, 2.00x upside gearing and a maximum gain of 13.00%, capping the maximum payment at $1,130 per Security.
A 10.00% buffer protects principal if the index closes at or above the downside threshold of 6,089.29 (90.00% of the initial level of 6,765.88). Below that level, investors lose principal in line with index losses beyond the buffer and could lose almost all of their investment. The notes pay no interest, do not provide dividends, are not listed, and all payments depend on the creditworthiness of UBS. The estimated initial value is $969.20 per Security, lower than the $1,000 issue price due to underwriting and structuring costs.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index, with a contingent coupon rate of 11.90% per annum. Investors receive a monthly coupon of $9.9167 per $1,000 Note only if each index is at or above its coupon barrier, set at 70% of its initial level. UBS may call the Notes in whole on any monthly observation date beginning after three months, paying back principal plus any due coupon, ending all future payments.
If the Notes are not called and any index finishes below its 70% downside threshold at maturity in December 2028, repayment of principal is reduced one-for-one with the loss on the worst-performing index, and investors could lose their entire investment. The estimated initial value is expected between $943.10 and $973.10 per $1,000 Note, the Notes will not be listed on an exchange, and all payments depend on the creditworthiness of UBS.
UBS AG is offering Capped Buffer GEARS, unsecured debt Securities linked to the iShares MSCI Emerging Markets ETF. The notes have an approximately 2‑year term and provide 2.00x leveraged upside exposure to positive ETF performance, but gains are capped at a maximum gain of 25.80%, corresponding to a maximum payment at maturity of $1,258.00 per $1,000 Security.
These Securities do not pay interest and offer a 10.00% downside buffer: if the ETF decline stays within this buffer and the final level is at or above the downside threshold, investors receive their $1,000 principal at maturity. If the final level falls below the downside threshold, repayment is reduced according to $1,000 × [1 + (Underlying Return + Buffer)], and losses can approach the full investment. Any payment depends entirely on UBS’s credit; a UBS default could result in loss of all principal. The estimated initial value is expected to range from $960.80 to $990.80, below the $1,000 issue price, reflecting fees, hedging and UBS’s internal funding rate.
UBS AG is offering $5,101,000 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the SPDR® Dow Jones Industrial AverageSM ETF Trust (DIA) and the Energy Select Sector SPDR® Fund (XLE), maturing on November 30, 2028.
The Notes pay a contingent coupon of 8.90% per annum ($0.2225 per $10 Note per quarter) only if on a quarterly observation date the closing level of each ETF is at or above its coupon barrier, set at 70.00% of its initial level. The Notes are automatically called after six months or later if, on an observation date, each ETF is at or above its call threshold level, equal to 100.00% of its initial level, in which case investors receive principal plus the applicable coupon and no further payments.
If the Notes are not called and on the final valuation date each ETF is at or above its downside threshold (also 70.00% of initial), investors receive full principal; otherwise, repayment is reduced one-for-one with the negative return of the worst-performing ETF, and all principal can be lost. The Notes are unsecured, unsubordinated UBS debt, carry an estimated initial value of $9.616 per $10 Note, are sold in minimum $1,000 denominations, and will not be listed on any exchange.
UBS AG is offering $265,000 of Trigger Callable Contingent Yield Notes due November 30, 2028, linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. The Notes pay a 10.45% per annum contingent coupon (about $8.7083 per $1,000 monthly) only if, on each observation date, all three indexes close at or above 70% of their initial levels. UBS can call the Notes in whole on any monthly observation date starting after nine months, paying back principal plus any due coupon.
If the Notes are not called and, at maturity, all three indexes finish at or above their 70% downside thresholds, investors receive back the $1,000 principal per Note. If any index finishes below its downside threshold, repayment is reduced based on the negative return of the worst-performing index, and investors can lose up to all of their investment. The estimated initial value is $963.80 per $1,000, the issue price is $1,000, and the Notes are unsecured obligations of UBS, not listed on any exchange and subject to UBS credit risk.
UBS AG is offering $1,011,000 of Trigger Callable Contingent Yield Notes, $1,000 per Note, linked to the Nasdaq-100, Russell 2000 and EURO STOXX 50, maturing on December 1, 2027. The Notes pay a contingent coupon at an annual rate of 11.60% (about $9.6667 per month per Note) only if, on each monthly observation date, all three indices close at or above their coupon barriers, set at 70% of their initial levels, which also serve as downside thresholds.
UBS may call the Notes in whole on any observation date beginning after three months, paying principal plus any due coupon, after which no further payments are made. If the Notes are not called and any index finishes below its downside threshold at maturity, investors lose principal in proportion to the negative return of the worst-performing index and can lose their entire investment.
All payments depend on UBS’s credit; if UBS defaults, investors could receive nothing. The estimated initial value is $957.00 per $1,000 Note, below the issue price, reflecting fees, hedging and UBS’s internal funding rate.
UBS AG is offering $1,630,000 of capped leveraged S&P 500® Index-linked medium-term notes due November 15, 2027. These notes pay no interest and repay an amount at maturity based on the S&P 500® performance from the trade date to the determination date.
For each $1,000 face amount, investors receive $1,000 plus 300% of any positive index return, capped at a maximum settlement amount of $1,262.50 (a 26.25% maximum gain). If the index is flat, investors receive $1,000. If the index falls, principal is lost one-for-one with the index decline, up to a total loss of the investment.
The notes are unsecured obligations of UBS AG London Branch, are not FDIC-insured, and carry UBS credit risk. They will not be listed on an exchange and may have limited or no secondary market. The estimated initial value is $996 per $1,000 face amount, reflecting internal pricing and hedging costs. The filing also highlights complex U.S. tax, Section 871(m), and FATCA considerations.
UBS AG is offering Trigger Autocallable Notes linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index, maturing around December 9, 2031. Each Note has a $1,000 principal amount and a high fixed 28.20% per annum call return rate, paid only if the Notes are automatically called when the index closes at or above the call threshold (100% of the initial level). Observation dates are quarterly, starting about 12 months after issuance, and the potential call price rises over time up to $2,692 per Note at final maturity.
If the Notes are never called and the index’s final level is at or above the downside threshold (50% of the initial level), investors receive only their $1,000 principal back. If the final level is below the downside threshold, repayment is reduced one-for-one with the index loss, so investors can lose up to 100% of their investment. The estimated initial value is expected between $935.90 and $965.90 per Note, reflecting dealer compensation and hedging costs. All payments depend on UBS’s credit; if UBS defaults, investors may receive nothing.
UBS AG is offering $5,588,000 of Airbag Callable Contingent Yield Notes linked to the least performing of the Russell 2000 Index and the S&P 500 Index, maturing in November 2028. Each $1,000 note pays a 12.40% per annum contingent coupon monthly, but only when both indices close at or above 80% of their initial levels. UBS can call the notes quarterly at par plus any due coupon, ending all future payments.
If the notes are not called and either index finishes below its 80% downside threshold at maturity, principal is reduced on a leveraged basis: investors lose 1.25% of principal for each 1% decline beyond the 20% buffer in the worst-performing index, up to a total loss. The notes are unsecured, unsubordinated obligations of UBS, with an estimated initial value of $983.70 per $1,000, and carry full UBS credit risk plus complex market, liquidity and tax risks.
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