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, through its London Branch, is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, maturing around January 19, 2029. The Notes pay a monthly contingent coupon at a rate of 11.00% per annum (about $9.1667 per $1,000) only when the closing level of each index is at or above 70% of its initial level on the observation date. UBS can call the Notes in whole, 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, investors receive $1,000 multiplied by one plus the worst index return, which can mean a significant loss of principal, including total loss. The Notes are unsecured debt obligations of UBS, carry no principal protection unless all indices stay above their downside thresholds, and will not be listed on any exchange. The estimated initial value is expected between $955.40 and $985.40 per $1,000 issue price.
UBS AG is offering $700,000 of Buffer Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index, maturing on January 11, 2029. Each Note has a $1,000 principal amount.
The Notes pay a contingent coupon of 8.25% per annum (quarterly $20.625 per $1,000) only if, on each quarterly observation date, the closing level of every index is at or above its coupon barrier, set at 70% of its initial level. UBS may call the Notes on any observation date (except the final one); if called, investors receive the principal plus any due coupon and the Notes terminate.
If not called and, at maturity, every index is at or above its downside threshold (also 70% of initial), investors receive full principal. If any index finishes below its downside threshold, the payoff is reduced based on the loss of the least performing index beyond the 30% buffer, and investors can lose almost all of their investment. The Notes are unsecured UBS debt, not FDIC insured, will not be listed, and have an estimated initial value of $995.40 per $1,000, below the issue price.
UBS AG is offering trigger callable contingent yield notes linked to the worst performer of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, with a term of about two years.
The notes pay an 11.00% per annum contingent coupon (monthly installments of $9.1667 per $1,000) only when all three indices close at or above 70% of their initial levels on an observation date. UBS may call the notes in whole on any monthly observation date after three months, paying principal plus any due coupon and ending all future payments.
If the notes are not called and, at maturity, any index finishes below its 70% downside threshold, investors receive reduced principal based on the negative return of the worst-performing index and can lose their entire investment. The notes are unsecured UBS obligations, not insured deposits, will not be listed on an exchange, and have an estimated initial value between $954.70 and $984.70 per $1,000 issue price, reflecting dealer discounts and hedging costs.
UBS AG is offering preliminary Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, maturing around January 21, 2028. The Notes pay a contingent coupon of 12.00% per annum ($10 per $1,000) only if, on a monthly observation date, each index closes at or above its coupon barrier, set at 70% of its initial level. UBS may, at its discretion, call the Notes in whole on any observation date beginning after three months, returning principal plus any due coupon.
If the Notes are not called and each index finishes at or above its downside threshold (also 70% of initial), investors receive full principal at maturity. If any index finishes below its downside threshold, repayment 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 $960.40 and $990.40 per $1,000 Note, and all payments depend on the creditworthiness of UBS.
UBS AG is offering $2,034,000 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 on January 11, 2029. The Notes pay a 10.70% per annum contingent coupon (about $8.9167 per $1,000 monthly) only when all three indices close at or above their coupon barriers, set at 70% of initial levels, which are also the downside thresholds.
UBS may call the Notes monthly after three months, returning principal plus any due coupon, ending all future payments. If the Notes are not called and any index finishes below its downside threshold, repayment is reduced one‑for‑one with the decline of the worst‑performing index, and investors can lose all principal. Any payment depends on UBS’s credit. The issue price is $1,000 per Note, with estimated initial value of $973.40 and net proceeds to UBS of $995 per Note after a $5 underwriting discount.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Netflix, Inc. with a term of about three years, maturing around January 19, 2029.
The Notes pay a contingent coupon at an annual rate of 11.85% (about $9.875 per $1,000 per month) only if Netflix’s closing price on each monthly observation date is at or above a coupon barrier set at 70% of the initial level. Beginning after six months, the Notes are automatically called if Netflix closes at or above 100% of the initial level, returning principal plus the applicable coupon.
If the Notes are not called and Netflix’s final level is at or above the 70% downside threshold, investors receive full principal back; if it is below that threshold, repayment is reduced one-for-one with Netflix’s decline, down to a total loss. The Notes are unsecured, unsubordinated obligations of UBS, with an issue price of $1,000, an underwriting discount of $27.50 per Note, and an estimated initial value between $933.70 and $963.70.
UBS AG is issuing $36,305,000 of Capped Buffer GEARS, unsecured debt securities linked to an equally weighted basket of the Dow Jones Industrial Average, Nasdaq-100 and Russell 2000 indices, maturing on February 11, 2027.
Each $1,000 Security offers 3x leveraged exposure to positive basket performance, but gains are capped at a maximum 12.85%, for a maximum payment of $1,128.50 at maturity. A 10% downside buffer protects principal only if the basket’s final level is at or above 90% of its initial level; below that threshold, investors lose principal in line with further declines and could lose almost all of their investment.
The notes pay no interest, do not provide dividends on underlying stocks, will not be listed on an exchange and may have limited or no secondary market liquidity. Any payment depends entirely on UBS’s credit; the estimated initial value is $996.80 per Security versus the $1,000 issue price, reflecting underwriting discounts, hedging and issuance costs.
UBS AG is offering Contingent Income Auto-Callable Securities due around January 19, 2029, linked to the common stock of U.S. Bancorp. Each $1,000 security may pay a contingent coupon of $30.375 (12.15% per annum) on scheduled dates if the U.S. Bancorp share price is at or above 80% of the initial price on the relevant determination date.
If on any non-final determination date the share price is at or above 100% of the initial price, the notes are automatically redeemed early for $1,000 plus the applicable contingent payment. If the notes are not called and the final share price is at or above 80% of the initial price, investors receive $1,000 plus the final contingent payment at maturity.
If the notes are not redeemed early and the final share price is below 80% of the initial price, UBS pays a cash value tied 1:1 to the share decline, and investors can lose a significant portion or all of their principal. The notes are unsecured, unsubordinated UBS debt, not FDIC insured, not listed on any exchange, and have an estimated initial value between $937 and $967 per $1,000, reflecting fees, hedging costs and UBS’ internal funding rate.
UBS AG is offering unsecured Trigger Callable Contingent Yield Notes due on or about January 19, 2029, linked to the least performing of the Dow Jones Industrial Average®, Nasdaq-100® Technology Sector IndexSM and Russell 2000® Index. Each Note has a $1,000 principal amount and pays a contingent coupon at an annual rate of 11.25% (monthly coupons of $9.375) only if, on each monthly observation date, all three indexes close at or above their coupon barriers, set at 70.00% of their initial levels.
UBS may, at its discretion, call the Notes in whole on any observation date beginning after 3 months. If called, investors receive $1,000 per Note plus any due coupon, and no further payments. If not called and, at maturity, all three indexes are at or above their downside thresholds (also 70.00% of initial), investors receive full principal. If any index finishes below its downside threshold, the maturity payment is reduced based on the negative return of the least performing index, and investors could lose their entire investment.
The Notes are not listed on any exchange. The estimated initial value is expected between $956.10 and $986.10 per $1,000 Note, reflecting underwriting discount of $7.00 per Note and UBS’ internal funding. All payments depend on the creditworthiness of UBS; the Notes are not bank deposits and are not FDIC-insured.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to three sector ETFs: Energy Select Sector SPDR (XLE), Utilities Select Sector SPDR (XLU) and Health Care Select Sector SPDR (XLV), maturing around January 19, 2029. The Notes pay a contingent coupon at a rate of 9.05% per annum (about $7.5417 per $1,000 per month) only if, on each monthly observation date, the closing level of every underlying ETF is at or above its coupon barrier, initially expected to be 70% of its starting level. If any ETF is below its barrier on an observation date, no coupon is paid for that month.
The Notes can be called automatically after six months if, on any observation date before maturity, each ETF is at or above its call threshold level, initially set at 100% of its starting level. In that case, investors receive $1,000 per Note plus any due coupon and the Notes terminate. If the Notes are not called and, at maturity, each ETF is at or above its downside threshold (expected 70% of its initial level), investors receive full principal. If any ETF finishes below its downside threshold, the repayment is reduced one-for-one with the loss of the worst-performing ETF, and investors can lose all principal. All payments depend on UBS’s credit; the Notes are unsecured, unsubordinated obligations with an estimated initial value between $938.20 and $968.20 per $1,000 issue price.