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 Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, with a term of about three years. The Notes pay a monthly contingent coupon at an annual rate of 8.55% only if on each observation date every index is at or above its coupon barrier, set at 75% of its initial level.
UBS may call the Notes in whole on any monthly observation date beginning after six 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 any index finishes below its downside threshold at 70% of its initial level, investors take a loss equal to the negative return of the worst-performing index, up to a total loss of principal.
The Notes are unsecured, unsubordinated obligations of UBS AG, not listed on an exchange, and their estimated initial value is indicated between
UBS AG is offering unsecured Buffer Autocallable Contingent Yield Notes linked to the least-performing of the VanEck Gold Miners ETF (GDX) and the Energy Select Sector SPDR Fund (XLE), with a term of about two years and a 12.55% per annum contingent coupon. Monthly coupons are paid only if the closing level of each ETF is at or above 80% of its initial level. Quarterly, beginning after six months, the notes are automatically called if both ETFs are at or above 100% of their initial levels, returning principal plus the due coupon.
If the notes are not called and, at maturity, both ETFs are at or above 80% of their initial levels, investors receive full principal back (plus the final coupon if conditions are met). If any ETF finishes below its 80% downside threshold, repayment is reduced, matching the decline of the worst ETF beyond a 20% buffer, and losses can approach the entire investment. The notes are subject to UBS credit risk, and their estimated initial value is between $913.90 and $943.90 per $1,000 issue price.
UBS AG is offering Trigger Callable Contingent Yield Notes, unsecured debt linked to the least performing of the Dow Jones Industrial Average®, Nasdaq-100® Technology Sector IndexSM and Russell 2000® Index. The Notes have an approximate 23‑month term and pay a contingent coupon of 9.00% per annum ($7.50 per $1,000 per month) only if, on each monthly observation date, all three indices close at or above their respective coupon barriers, set at 70% of their initial levels.
UBS can call the Notes in whole on any monthly observation date beginning after 3 months, repaying principal 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 70% of its initial level), investors receive back the $1,000 principal per Note. If any index finishes below its downside threshold, the maturity payment is reduced one‑for‑one with the negative return of the worst‑performing index, and investors can lose up to their entire investment.
The Notes are not principal protected, may pay few or no coupons, will not participate in any index upside, and will not be listed on an exchange. Payments depend entirely on the creditworthiness of UBS, and the estimated initial value per $1,000 Note is expected to be between $922.80 and $952.80, lower than the issue price due to fees, hedging costs and UBS’ internal funding rate.
UBS AG is offering Buffer 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 November 30, 2028. The Notes pay a quarterly contingent coupon at a rate of 8.80% per annum only if, on each observation date, all three indices close at or above 70% of their initial levels, which also serve as the coupon barriers and downside thresholds.
UBS may call the Notes on any quarterly observation date (other than the final one), in which case investors receive the $1,000 principal plus any due coupon and no further payments. If not called and at maturity all indices are at or above their downside thresholds, investors receive full principal back. If any index finishes below its downside threshold, the maturity payment is reduced according to the decline of the worst-performing index beyond a 30% buffer, and investors could lose almost all of their investment.
The Notes are unsecured obligations of UBS AG, are not listed on any exchange, pay no guaranteed income, and do not provide any participation in index gains or dividends. The estimated initial value per $1,000 Note is expected to be between $956.00 and $986.00, reflecting internal pricing, hedging and issuance costs.
UBS AG, via its London Branch, is offering unsecured Contingent Income Auto-Callable Securities linked to the common stock of Citigroup Inc.. Each security has a $1,000 stated principal amount and may pay a contingent coupon of $25.625 per quarter (equivalent to 10.25% per annum) when Citigroup’s closing price is at or above 65% of the initial price on a determination date.
If Citigroup’s price is at or above 100% of the initial price on any non-final determination date, the notes are automatically called, and investors receive principal plus that period’s coupon. If the notes are not called and Citigroup’s final price is below the 65% downside threshold, repayment is reduced 1-for-1 with the stock’s decline via a cash value formula, and investors can lose most or all of their investment.
The notes mature around December 8, 2028, are not listed on any exchange, and all payments depend on UBS’s credit. The estimated initial value is expected between $935.70 and $965.70 per $1,000, reflecting fees, hedging costs and UBS’s internal funding rate.
UBS AG is offering $340,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest, issued in $1,000 denominations and linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing on November 29, 2030.
The Notes pay a contingent coupon at a rate of 8.50% per annum (about $7.0833 per month per $1,000) only if, on a monthly observation date, each index closes at or above its coupon barrier set at 70.00% of its initial level. The Notes are automatically called if, on a semiannual call observation date, 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 any due and unpaid coupons.
If the Notes are not called and, at maturity, any index is below its downside threshold of 60.00% of its initial level, investors receive less than principal in line with the negative return of the worst-performing index and can lose their entire investment. The issue price is $1,000 per Note, with an estimated initial value of $970.40, and all payments depend on the creditworthiness of UBS AG.
UBS AG is offering $501,000 of Capped Buffer Contingent Absolute Return Securities, unsecured notes linked to the Invesco QQQ Trust, maturing on May 28, 2027. Each Security has a $1,000 principal amount, with an initial QQQ level of $608.89 and a downside threshold of $487.11, which is 80.00% of the initial level, providing a 20.00% buffer.
If QQQ’s return is positive, holders receive principal plus the lesser of the underlying return and the 11.05% maximum upside gain, capped at $1,110.50 per Security. If the underlying return is zero or negative but QQQ finishes at or above the downside threshold, investors receive a “contingent absolute return” up to 20.00%, for a maximum payment of $1,200.00 per Security. If QQQ falls below the downside threshold, repayment is reduced dollar-for-dollar beyond the 20.00% buffer and losses can reach almost all of the initial investment.
The Securities pay no interest, forgo QQQ dividends, are intended to be held to maturity, and will not be listed on an exchange. Any payment depends on the credit of UBS AG; default could result in total loss. The estimated initial value is $983.50 per $1,000 Security, reflecting internal pricing, costs and dealer compensation.
UBS AG is offering $5,073,500 of Trigger Autocallable Contingent Yield Notes linked to the worst performer of the Russell 2000 Index and the S&P 500 Index, maturing November 30, 2028. The Notes pay a quarterly contingent coupon at 7.80% per annum only if both indices are at or above 70% of their initial levels, and they can be automatically called after 6 months if both indices are at or above 100% of their initial levels on an observation date, returning principal plus the coupon. If the Notes are not called and, at maturity, either index is below its 70% downside threshold, investors receive $10 times 1 plus the return of the worst-performing index, which can result in a substantial loss, up to a full loss of principal. The issue price is $10 per Note versus an estimated initial value of $9.582, and all payments depend on the creditworthiness of UBS.
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.