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 $320,000 Trigger Autocallable Contingent Yield Notes linked to the common stock of Micron Technology, Inc., maturing on December 18, 2026. The Notes pay a contingent coupon only if, on each observation date, Micron’s share price is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The Notes will be automatically called early if Micron’s stock closes at or above the initial level on any observation date before the final valuation date, in which case investors receive the $10 principal per Note plus any due coupon, and the Notes terminate. If the Notes are not called and Micron’s final level is at or above the downside threshold, investors receive the $10 principal per Note at maturity; if the final level is below the downside threshold, repayment is reduced in line with the stock’s decline and investors can lose all of their investment.
The Notes are unsecured obligations of UBS, are not insured, will not be listed on any exchange, require a minimum $1,000 investment at $10 per Note, and have an estimated initial value of $9.81 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Alibaba ADRs, maturing on December 20, 2027. These unsecured notes pay a contingent coupon only when the Alibaba ADR closing level on an observation date is at or above a coupon barrier set at 70.00% of the initial level. The notes can be automatically called early if the ADR closes at or above the initial level on any observation date before maturity; in that case, holders receive the $10 principal per Note plus the applicable contingent coupon and no further payments.
If the notes are not called and the final level on December 16, 2027 is at or above the downside threshold (also 70.00% of the initial level), UBS repays the $10 principal per Note, plus any final contingent coupon if the coupon barrier is met. If the final level is below the downside threshold, repayment is reduced to $10 times 1 plus the underlying return, creating full downside exposure to the ADR and the possibility of a total loss. The illustrative contingent coupon rate is 10.30% per annum, paid quarterly when conditions are met. The notes are not listed, are subject to UBS credit risk, require a minimum purchase of 100 Notes at $10 each, and have an estimated initial value of $9.68 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Micron Technology, Inc., maturing on or about December 18, 2026. These are unsecured, unsubordinated debt obligations that depend both on Micron’s share performance and the creditworthiness of UBS.
The Notes may pay a contingent coupon on scheduled dates, but only if Micron’s share price is at or above a preset coupon barrier on the related observation date. The Notes are automatically called early if Micron’s share price is at or above the initial level on any observation date before maturity, in which case holders receive the principal plus any due coupon and no further payments.
If the Notes are not called and Micron’s final share price is at or above a downside threshold, investors receive the full $10 principal per Note at maturity. If the final share price is below that threshold, repayment is reduced in line with Micron’s negative return, and all principal can be lost. The estimated initial value is expected to range from $9.45 to $9.70 per $10 Note, reflecting UBS internal pricing.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the American depositary receipts of Alibaba Group Holding Limited, maturing on or about December 20, 2027. These unsecured debt securities pay a contingent coupon only if the Alibaba ADR closes at or above a set coupon barrier on an observation date; otherwise no coupon is paid for that period.
The Notes are automatically called if on any observation date before maturity the ADR closes at or above the initial level, in which case investors receive the $10 principal per Note plus the applicable contingent coupon and the product terminates early. If not called and the final level is at or above the downside threshold, investors receive principal back (and any final contingent coupon). If the final level is below the downside threshold, repayment is reduced in line with the ADR’s decline, and investors can lose their entire investment.
The minimum investment is 100 Notes at $10 each, and a hypothetical example uses a 9.18% per annum contingent coupon rate. The estimated initial value per Note is expected to be between $9.38 and $9.63. Payments depend on UBS’s creditworthiness, and the Notes will not be listed on any exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to Tesla, Inc. common stock, with a principal amount of $1,000 per Note and a term of about 18 months, maturing on or about July 6, 2027. The Notes pay a contingent coupon at an annual rate between 18.50% and 20.50%, credited monthly only if Tesla’s closing price on each observation date is at or above a coupon barrier set at 70% of the initial level. Missed coupons can be paid later if the barrier is met, under the memory feature.
The Notes are autocallable quarterly if Tesla closes at or above 100% of the initial level on a call observation date, returning principal plus due and unpaid coupons. If not called and the final Tesla level is at or above the 70% downside threshold, investors receive their principal back; if it is below 70%, they receive Tesla shares worth $1,000 divided by the initial level, exposing them to stock losses that can result in a significant or total loss of principal.
The estimated initial value is expected between $935.70 and $965.70, below the $1,000 issue price. The Notes are unsecured UBS debt, not listed on any exchange, involve liquidity, credit, market and complex tax risks, and pay no Tesla dividends.
UBS AG is offering $6,683,000 of Contingent Income Auto-Callable Securities due December 15, 2028, linked to the common stock of Bank of America Corporation. Each $1,000 security can pay a quarterly contingent coupon of $27.50 (11.00% per annum) if on the relevant determination date BAC’s closing price is at or above the downside threshold of $44.11, which is 80.00% of the $55.14 initial price.
If on any determination date (other than the final one) the BAC share price is at or above the call threshold of $55.14, the notes are automatically redeemed for $1,000 plus the coupon. If the notes are not called and BAC’s final price is at or above the downside threshold, investors receive $1,000 plus the final coupon at maturity.
If the final BAC price is below the downside threshold, UBS will pay a cash value based on BAC’s final price and investors will lose a significant portion, up to all, of their principal. The securities pay no dividends on BAC, may have limited or no secondary market, and all payments depend on the credit of UBS AG.
UBS AG plans to issue three-year Trigger Callable Contingent Yield Notes linked to the worst performer among the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. Each $1,000 Note pays a 12.25% per annum contingent coupon, credited quarterly only if all three indexes are at or above 75% of their initial level on the observation date. If any index is below its coupon barrier, that quarter’s coupon is skipped.
UBS may call the Notes in whole on any quarterly observation date (except the final one), repaying principal plus any due coupon, after which no further payments are made. If the Notes are not called and, at maturity, all three indexes are at or above 70% of their initial level, investors receive full principal back, plus the final contingent coupon if all barriers are met. If any index finishes below its downside threshold, repayment is reduced one-for-one with the loss on the worst index, and investors can lose some or all of their principal.
The Notes are unsecured, unsubordinated UBS debt, not deposits, and are not FDIC insured. Estimated initial value is between $957.40 and $987.40 per $1,000 Note, reflecting dealer discounts, hedging and issuance costs, and there may be limited or no secondary market liquidity.
UBS AG is offering $178,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average® and the Russell 2000® Index, maturing December 20, 2028. Each $1,000 Note pays a monthly contingent coupon of $6.9583 (8.35% per annum) only if both indices are at or above their coupon barriers, set at 70% of initial levels (33,891.59 for the Dow, 1,771.467 for the Russell 2000). UBS may call the Notes in whole on any monthly observation date beginning after six months, returning principal plus any due coupon, ending future payments.
If the Notes are not called and the final level of any index is below its downside threshold (also 70% of initial), repayment is reduced dollar-for-dollar with the loss on the worst index, and investors can lose all principal. The Notes are unsecured obligations exposed to UBS credit risk, are not listed, and carry an estimated initial value of $969.10 per $1,000, below the issue price.
UBS AG is offering $2,000,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, maturing on December 20, 2027. The Notes pay a 10.55% per annum contingent coupon (about $8.79 per $1,000 monthly) only if, on each observation date, both indices close at or above their coupon barriers, set at 75% of initial levels. UBS can call the Notes in whole, beginning after three months, paying back principal plus any due coupon, after which no further payments are made. If not called and either index finishes below its downside threshold (70% of its initial level), investors take a loss equal to the index’s decline, up to a total loss of principal. All payments depend on UBS’s credit, and the estimated initial value is $979.00 per $1,000, below the issue price, reflecting fees and hedging costs.
UBS AG is offering $350,000 of Trigger Autocallable Contingent Yield Notes linked to Marvell Technology, Inc. stock, maturing December 16, 2027. These unsecured notes can pay a high contingent coupon, with an example rate of 18.39% per annum, but only if Marvell’s share price on each observation date is at or above a preset coupon barrier, set in the example at 60% of the initial level. 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 their principal plus the applicable contingent coupon.
If the notes are not called and Marvell’s share price on the final valuation date is at or above the downside threshold, investors receive full principal back, potentially with a final coupon. If it is below the downside threshold, repayment is reduced in line with the share price decline, and investors can lose all of their initial investment. All payments depend on UBS’s creditworthiness, and the notes are not listed on any exchange. The estimated initial value is $9.71 per $10 note, reflecting UBS’ internal pricing models.