Welcome to our dedicated page for UBS 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.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on UBS's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into UBS's regulatory disclosures and financial reporting.
UBS AG is offering Trigger Autocallable Notes linked to the least performing of the Russell 2000® Index and the EURO STOXX 50® Index, each with a $1,000 principal amount and a term of approximately 5 years, maturing on or about July 21, 2031, subject to automatic early call.
The Notes pay no interest. On quarterly observation dates, if the closing level of each index is at or above its call threshold of 100.00% of its initial level, UBS automatically calls the Notes and pays the applicable call price, which equals principal plus a call return based on an annualized 11.30% call return rate that increases over time. If never called and, at maturity, each index is at or above its downside threshold of 70.00% of its initial level, investors receive only principal back.
If the Notes are not called and the final level of any index is below its downside threshold, the redemption amount is reduced by the full negative return of the least performing index, down to zero, so investors can lose all principal. The estimated initial value is between $933.90 and $963.90 per $1,000 Note. The Notes are unsecured, unsubordinated obligations of UBS, will not be listed, and all payments are subject to UBS’s credit risk.
UBS AG is offering $2,921,000 of Trigger Callable Contingent Yield Notes, unsecured debt linked to the least performing of the Russell 2000 Index and the Nasdaq-100 Technology Sector Index, maturing June 15, 2028. The Notes pay a contingent coupon of 12.65% per annum only if on each monthly observation date both indices close at or above their coupon barriers, set at 70% of their initial levels.
UBS may call the Notes monthly, beginning after six months, paying principal plus any due coupon, after which no further payments are made. If the Notes are not called and on the final valuation date any index is below its downside threshold (also 70% of its initial level), repayment is reduced in line with the percentage decline of the worst-performing index, and investors can lose up to 100% of principal. All payments depend on UBS’s credit; the Notes are not insured and will not be listed. The estimated initial value is $987.50 per $1,000, lower than the issue price due to fees, hedging and UBS’s internal funding rate.
UBS AG is offering $2,100,000 of Trigger Autocallable Contingent Yield Notes linked to Amazon.com, Inc. common stock, maturing July 13, 2029. The Notes pay a 10.00% per annum contingent coupon only on quarterly observation dates when Amazon’s share price is at or above the coupon barrier of $159.47, which is 65% of the $245.34 initial level; otherwise no coupon is paid.
The Notes are automatically called if, beginning after six months, Amazon’s share price on an observation date is at or above the call threshold of $245.34 (100% of the initial level), returning principal plus the applicable coupon and ending further payments. If not called and the final share price is at or above the downside threshold of $122.67 (50% of the initial level), investors receive principal at maturity. If the final price is below this threshold, repayment is reduced one-for-one with Amazon’s decline, and principal losses can reach 100%.
The Notes are unsubordinated, unsecured UBS debt, not listed on an exchange, and subject to UBS credit risk and significant liquidity and valuation risks. The issue price is $1,000 per Note, with an estimated initial value of $972.60 and an underwriting discount of $23.50 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes maturing around January 25, 2029, linked to the least performing of the S&P 500 Index, Nasdaq-100 Technology Sector and Russell 2000 Index. The Notes pay a 12.10% per annum contingent coupon only when, on a monthly observation date, the closing level of each index is at or above its coupon barrier.
The Notes may be automatically called monthly after six months if each index is at or above its call threshold (100% of its initial level). If called, investors receive principal plus the applicable contingent coupon, and no further payments. If not called and at maturity each index is at or above its downside threshold (70% of its initial level), investors receive principal back, plus a final contingent coupon if barriers are met.
If the Notes are not called and any index finishes below its downside threshold, the repayment of principal is reduced one-for-one with the decline of the worst-performing index; investors can lose up to 100% of principal. The Notes are unsecured, unsubordinated obligations of UBS, with an estimated initial value between $958.00 and $988.00 per $1,000 Note, reflecting underwriting discounts, hedging and issuance costs.
UBS AG is offering Trigger Callable Contingent Yield Notes with Memory Interest, unsecured debt linked to the least performing of the Dow Jones Industrial Average®, Nasdaq-100® Technology Sector Index and Russell 2000® Index, maturing on or about July 20, 2029. Each Note has a $1,000 principal amount and pays a 12.25% per annum contingent coupon (about $10.2083 per month) only if on an observation date the closing level of each index is at or above its coupon barrier, set at 70% of its initial level; missed coupons can be paid later under the memory interest feature.
UBS may, at its discretion, call the Notes in whole on any monthly observation date after 3 months, paying principal plus any due and previously unpaid coupons, after which no further payments are made. If the Notes are not called and at maturity all indices are at or above their downside thresholds (also 70% of initial levels), investors receive full principal. If any index finishes below its downside threshold, the maturity payment per Note equals $1,000 × (1 + return of the least performing index), exposing investors to full downside of that index and potentially a total loss of principal. The Notes are not listed, carry significant market, sector, small-cap and credit risk, and their estimated initial value on the trade date is expected between $960 and $990 per $1,000 issue price.
UBS AG is offering $5,757,000 of Phoenix Autocallable Notes with Memory Interest linked to the common stock of Block, Inc., each with a $1,000 principal amount and a term of about 54 weeks, due July 28, 2027. These unsecured notes pay a fixed $37.50 contingent interest per note on quarterly dates, but only if Block’s closing price on the relevant observation date is at or above the interest barrier of $38.65, equal to 50.00% of the initial price of $77.30; missed coupons may be paid later under the memory feature if the barrier is met.
The notes are automatically called if Block’s price on any autocall observation date is at or above the initial price, returning principal plus due and previously unpaid contingent interest. If not called and the final price on the valuation date is at or above the trigger price of $38.65, investors receive full principal at maturity plus any due and previously unpaid contingent interest. If the final price is below the trigger, investors receive a cash amount based on the share delivery amount, causing losses proportionate to Block’s decline and potentially up to a full loss of principal. The notes are subject to UBS credit risk, are not listed, and the estimated initial value of $984.20 per note is below the issue price.
UBS AG is offering $253,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest, linked to the least performing of three ETFs: Global X Copper Miners (COPX), Global X Uranium (URA) and Utilities Select Sector SPDR (XLU), maturing July 15, 2031.
The notes pay a 13.00% per annum contingent coupon (monthly) only if on each observation date every ETF is at or above its coupon barrier, set at 50% of its initial level; missed coupons can be paid later via a memory feature. The notes auto-call monthly after 12 months if all ETFs are at or above their call threshold of 100% of initial level, returning principal plus applicable coupons. If not called and any final ETF level is below its 50% downside threshold, investors incur a loss matching the decline of the worst ETF and can lose their entire principal. The notes are unsecured obligations of UBS, with an estimated initial value of $946 per $1,000 note and limited or no expected secondary market liquidity.
UBS AG is offering unsecured, unsubordinated Trigger Callable Contingent Yield Notes due on or about July 20, 2029, linked to the least performing of the S&P 500 Index, Russell 2000 Index and Nasdaq-100 Index. The notes pay a contingent coupon of 9.00% per annum only if on each monthly observation date every index is at or above its coupon barrier, set at 60% of its initial level. UBS may, at its discretion, call the notes in whole on any monthly observation date beginning after 12 months, paying principal plus any due coupon.
If the notes are not called and on the final valuation date any index is below its downside threshold (also 60% of initial), investors receive less than principal, with the loss matching the decline of the worst-performing index; a total loss is possible. The estimated initial value is expected between $957.30 and $987.30 per $1,000 note, below the issue price due to fees, hedging and UBS’s internal funding rate. Repayment depends entirely on UBS’s credit; the notes are not FDIC-insured and will not be listed, and liquidity may be limited.
UBS AG is offering $1,045,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq‑100 Index, Russell 2000 Index and S&P 500 Index, maturing July 15, 2031. The Notes pay a monthly contingent coupon at a 15.86% per annum rate only if on each observation date all three indices close at or above their respective coupon barriers.
UBS may, at its discretion, call the Notes in whole on any monthly observation date starting after three months, repaying principal plus any due coupon and ending further payments. At maturity, if not called and each index is at or above its downside threshold (80% of its initial level), principal is repaid; otherwise, repayment is reduced in line with the negative return of the worst‑performing index, and investors could lose their entire investment. The Notes are unsecured debt subject to UBS credit risk and will not be listed. The estimated initial value per $1,000 Note is $991.60, below the issue price.
UBS AG is offering $2.49 million of Buffer In-Digital Securities, unsubordinated unsecured notes linked to the State Street Energy Select Sector SPDR ETF (XLE), maturing August 13, 2027. Each Security has a $1,000 principal amount and a term of about 13 months.
If the ETF’s final level is at or above the digital barrier of $49.57 (90% of $55.08), holders receive principal plus an 11.00% digital return. If the final level is below the barrier but at or above the downside threshold of $46.82 (85% of $55.08), holders receive only principal. Below the downside threshold, repayment is reduced according to the ETF loss beyond the 15% buffer, and investors can lose almost all principal. The notes pay no interest, are not listed, and any payment depends on UBS’s credit. The estimated initial value is $991.50 per Security, below the $1,000 issue price, reflecting dealer compensation and hedging costs.