Welcome to our dedicated page for UBS ETRACS Alerian MLP Index 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 Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. Each Note has a $1,000 principal amount and pays a 10.00% per annum contingent coupon only if, on a monthly observation date, all three indexes are at or above their coupon barriers, set at 65% of their initial levels.
UBS may call the Notes in whole after six months on any observation date, returning principal plus any due coupon, ending further payments. If the Notes are not called and any index finishes below its downside threshold (also 65% of its initial level), investors receive $1,000 multiplied by the return of the worst-performing index, which can mean a substantial or total loss of principal. All payments depend on UBS’s credit, and the estimated initial value per $1,000 Note is between $958.30 and $988.30.
UBS AG is offering preliminary 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, maturing on or about January 13, 2028. The Notes pay a contingent coupon at an annual rate of 11.50%, in equal monthly installments, but only if on each observation date all three indices close at or above 70% of their initial level (the coupon barrier); otherwise, no coupon is paid for that month.
UBS may call the Notes in whole, at its discretion, on any monthly observation date beginning after three months, paying back principal plus any due coupon, after which no further payments are made. If the Notes are not called and, at maturity, any index finishes below its downside threshold (also 70% of its initial level), investors receive $1,000 multiplied by 1 plus the worst index return, which can result in losing some or all of the initial investment. Payments depend entirely on UBS’s credit, and the estimated initial value is expected to range between $956.90 and $986.90 per $1,000 Note, reflecting dealer compensation and hedging costs.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, with a term of about 23 months to December 14, 2027. The Notes pay a monthly contingent coupon at a rate of 9.05% per annum (about $7.5417 per $1,000) only if, on each observation date, the closing level of every index stays at or above its coupon barrier, set at 70% of its initial level.
UBS can redeem the Notes in whole on any monthly observation date starting after three months, paying back the $1,000 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 finishes below its downside threshold (also 70% of its initial level), the maturity payment is reduced in line with the negative return of the worst-performing index and can fall to zero, causing a full loss of principal. The Notes are unsecured obligations of UBS, not insured deposits, and all payments depend on UBS’s credit. The issue price is $1,000 per Note, with estimated initial value between $940.90 and $970.90 and underwriting compensation of up to $22.25 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest and a Conditional Threshold Event, linked to the least performing of Amazon.com, Inc., Super Micro Computer, Inc. and Tesla, Inc. The Notes are unsubordinated, unsecured debt of UBS with a principal amount of $1,000 per Note and a term of approximately three years, maturing on January 11, 2029.
The Notes pay a contingent coupon at a rate of 19.85% per annum (fixed at $49.625 per quarter per Note) if on an observation date the closing level of each stock is at or above its coupon barrier, set at 60.00% of its initial level. Missed coupons can be paid later under the memory interest feature if conditions are met on a future observation date. Starting after 12 months, the Notes are automatically called if each stock is at or above its call threshold level, equal to 100.00% of its initial level; investors then receive principal plus due and previously unpaid coupons.
If the Notes are not called, the payoff at maturity depends on whether a threshold event occurs. A threshold event occurs if the final level of each stock is below its upper barrier, equal to 100.00% of its initial level, and at least one stock finishes below its downside threshold, equal to 60.00% of its initial level. If no threshold event occurs, investors receive their $1,000 principal per Note (plus any due coupons). If a threshold event occurs, investors receive $1,000 multiplied by one plus the return of the worst-performing stock, which can result in a substantial loss and, in extreme cases, a loss of the entire investment.
The issue price is $1,000.00 per Note, including underwriting compensation of $2.50 per Note, with proceeds to UBS of $997.50 per Note. The estimated initial value is expected to be between $930.20 and $960.20 per Note, reflecting internal funding rates, hedging and issuance costs. The Notes will not be listed on any exchange, may have limited or no secondary market, pay no dividends from the underlying stocks and expose holders to both market risk of the least performing stock and the credit risk of UBS; if UBS defaults, investors could lose all amounts due.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the worst performer of the SPDR® S&P 500® ETF Trust (SPY) and the Energy Select Sector SPDR® Fund (XLE), maturing around January 11, 2029. Each Note has a $10 principal amount and is expected to pay quarterly contingent coupons at a rate between 8.50% and 9.10% per annum if, on an observation date, both ETFs close at or above their coupon barriers, set at 70% of their initial levels.
The Notes can be called early each quarter after six months if both ETFs are at or above their call thresholds (100% of initial levels). If called, holders receive $10 plus any due coupon and the product terminates. If not called, and at maturity either ETF is below its downside threshold (70% of its initial level), repayment is reduced in line with the loss on the worst-performing ETF, up to a total loss of principal. Payments depend on UBS’ credit, and the estimated initial value is expected between $9.303 and $9.603 per $10 Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index, maturing around February 4, 2032. Each Note has a $1,000 principal amount and pays a 14.50% per annum contingent coupon (about $12.0833 per month) only when the index closes at or above a coupon barrier set at 70% of the initial level. Missed coupons can be paid later under the memory feature if conditions are met.
The Notes are automatically called after 12 months if the index closes at or above the call threshold of 100% of the initial level on an observation date, returning principal plus due and previously unpaid coupons. If not called, and at maturity the index is at or above a downside threshold of 50% of the initial level, investors receive full principal back; otherwise the payoff is reduced one-for-one with the index loss and can fall to zero.
The underlying index uses leverage up to 500%, targets 40% volatility and applies a 6.0% per annum daily decrement, which drags performance. The estimated initial value per Note is between $932.70 and $962.70. Payments depend entirely on UBS’s credit, and the Notes will not be listed on any exchange, with limited or no secondary market expected.
UBS AG is offering $102,500 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Moderna, Inc., maturing January 7, 2028. These unsecured debt securities can pay a high contingent coupon of 26.03% per annum, but only if Moderna’s share price on each observation date is at or above a preset coupon barrier, which is also the downside threshold set at 60% of the initial level ($60.00 in the hypothetical examples). If on any observation date before maturity the share price is at or above the initial level, the Notes are automatically called and investors receive the $10 principal per Note plus the applicable coupon, with no further payments.
If the Notes are not called and Moderna’s share price on the final valuation date is at or above the downside threshold, investors receive back the $10 principal per Note, plus any final contingent coupon if the coupon barrier is also met. If the final share price is below the downside threshold, repayment is reduced in line with the stock’s decline, and investors can lose most or all of their investment. The estimated initial value is $9.67 per $10 Note, reflecting UBS’s internal pricing. All payments depend on UBS’s credit; a default by UBS could result in a total loss regardless of Moderna’s share performance.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Moderna, Inc., expected to trade on January 5, 2026 and mature on or about January 7, 2028. These unsecured debt obligations can pay periodic contingent coupons, but only if the Moderna share price on each observation date is at or above a preset coupon barrier. The notes will be automatically called early if the share price on any observation date before final valuation is at or above the initial level, in which case investors receive principal plus any due coupon and no further payments.
If the notes are not called and, on the final valuation date, Moderna’s share price is at or above a downside threshold, investors receive their principal back (and a final coupon if the barrier is met). If the final share price is below the downside threshold, repayment is reduced in line with the share’s decline and investors can lose all of their investment. Payments depend on the credit of UBS; a UBS default could result in total loss. The notes are not listed, require a minimum purchase of 100 notes at $10 each, and have an estimated initial value between $9.36 and $9.61 per note.
UBS AG is offering $200,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Freeport-McMoRan Inc., maturing on January 7, 2027. The Notes can pay a contingent coupon, such as the illustrated 10.27% per annum (or $0.2568 per $10 Note per period), but only if the stock closes at or above a preset coupon barrier on each observation date. The Notes are automatically called early, returning principal plus the applicable contingent coupon, if the stock is at or above its initial level on any observation date before maturity. If the Notes are not called and the final stock level is at or above the downside threshold (illustrated as 65% of the initial level, or $65.00), investors receive only their principal, plus any final contingent coupon. If the final level is below the downside threshold, repayment is reduced in line with the stock’s decline, and investors can lose their entire investment. The estimated initial value is $9.76 per $10 Note, the minimum investment is 100 Notes ($1,000), the Notes will not be listed, and all payments depend on UBS’s credit.
UBS AG is offering $300,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Micron Technology, Inc., maturing on January 7, 2028. These unsecured debt notes can pay a contingent coupon on each observation date only if Micron’s share price is at or above a preset coupon barrier; otherwise no coupon is paid.
The notes are automatically called early if Micron’s share price on any observation date before maturity is at or above the initial level, in which case holders receive principal plus the due coupon and no further payments. If the notes are not called and Micron’s final level is at or above the downside threshold, principal is repaid at maturity; if it is below, repayment is reduced in line with Micron’s decline, up to a total loss of principal. Payments depend on UBS’s credit, the notes will not be listed, the minimum investment is 100 notes at $10 each, and the estimated initial value is $9.80 per note.