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.
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UBS AG is offering $500,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Palo Alto Networks, Inc. The Notes pay contingent coupons only when the stock closes at or above a specified coupon barrier on each observation date.
The Notes can be called early if the stock closes at or above its initial level on any observation date before maturity in February 2029, returning principal plus any due coupon and ending all future payments. If not called and the final stock level is at or above a downside threshold, investors receive only their principal back.
If the Notes are not called and the final stock level is below the downside threshold, repayment is reduced in line with the stock’s decline and investors can lose all of their investment. Payments depend on UBS’s credit, the Notes will not be listed on an exchange, and the estimated initial value is $9.72 per $10 Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of DexCom, Inc., maturing in February 2028. These unsecured debt notes pay contingent coupons only when DexCom’s share price on an observation date is at or above a preset coupon barrier. The notes can be called early if the stock closes at or above its initial level on any observation date before maturity, in which case investors receive principal plus the applicable contingent coupon and no further payments. If not called, investors receive full principal at maturity only if the final DexCom share level is at or above a downside threshold; below that level, repayment is reduced in line with the stock’s decline and losses can reach 100% of the investment. The notes are not listed, are subject to UBS’s credit risk, have a minimum investment of 100 notes at $10 each, and an estimated initial value of $9.77 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of DexCom, Inc., maturing on February 14, 2028. Each Note has a principal amount of $10, with a minimum investment of 100 Notes, or $1,000.
The Notes pay a contingent coupon only when DexCom’s closing share price on an observation date is at or above the coupon barrier, set at $70.00, which is 70.00% of the initial level in the examples. The indicative contingent coupon rate is 16.85% per year, or $0.4213 per observation period per $10 Note in the hypothetical examples.
The Notes are automatically called if DexCom’s share price on any observation date before maturity is at or above the initial level, returning principal plus the applicable contingent coupon, with no further payments. If not called and the final level is at or above the downside threshold (also $70.00 in the examples), investors receive principal back, plus any final contingent coupon if the coupon barrier is also met.
If the Notes are not called and DexCom’s final level is below the downside threshold, investors are fully exposed to the stock’s decline on a 1:1 basis and will receive less than principal, potentially losing their entire initial investment. The estimated initial value per Note on the trade date is $9.75, below the $10 issue price, reflecting internal funding and fees.
All payments depend on the creditworthiness of UBS AG; a UBS default could result in loss of some or all invested principal. The Notes are unsecured, unsubordinated debt, are not bank deposits, are not insured by the FDIC, and will not be listed on any securities exchange, limiting liquidity.
UBS AG is offering $250,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Palantir Technologies Inc., maturing on February 16, 2027. These are unsecured, unsubordinated debt obligations of UBS, not bank deposits and not FDIC insured.
Investors receive a contingent coupon only when Palantir’s closing level on an observation date is at or above the coupon barrier, set at 70% of the initial level. The indicative contingent coupon rate is 26.78% per annum, but coupons can be skipped entirely if the barrier is not met.
The notes are automatically called if Palantir’s closing level on any observation date before the final valuation date is at or above the initial level. In that case, UBS repays the $10 principal per Note plus any due coupon, and no further payments occur.
If the notes are not called and Palantir’s final level is at or above the downside threshold (also 70% of the initial level), investors receive full principal at maturity, plus a final coupon if the barrier is met. If the final level is below the downside threshold, repayment is $10 × (1 + underlying return), creating a loss matching Palantir’s percentage decline and potentially wiping out the entire investment.
The notes are subject to UBS credit risk; a UBS default could result in total loss. They will not be listed on any exchange, and the estimated initial value of each $10 Note is $9.74, reflecting internal pricing and funding costs.
UBS AG is offering $2,004,000 of 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 in November 2030.
The Notes pay an 11.10% per annum contingent coupon, with monthly payments only if all three indices close at or above 75% of their initial levels. UBS may call the Notes in whole on any monthly observation date after six months, returning principal plus any due coupon.
If the Notes are not called and any index finishes below 60% of its initial level, repayment falls in line with the worst-performing index, and investors can lose up to all principal. The Notes are unsecured UBS debt, not listed on an exchange, and the estimated initial value is $962.30 per $1,000.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Constellation Energy Corporation’s common stock, with a total size of $100,000 and minimum investment of 100 Notes at $10 each. The Notes pay a high contingent coupon only when the stock closes at or above a coupon barrier on each observation date. They are automatically called early if the stock closes at or above the initial level on any observation date before maturity, returning principal plus the due coupon but ending further payments. If not called and the final stock level is at or above a downside threshold, investors receive principal back; if it is below, repayment falls in line with the stock’s decline and losses can reach 100% of principal. All payments, including any principal repayment, depend on UBS’s credit, and the estimated initial value is $9.72 per $10 Note, reflecting internal pricing and funding costs.
UBS AG is offering $400,000 of Trigger Autocallable Contingent Yield Notes linked to Ovintiv Inc. common stock, maturing February 13, 2029. These unsecured notes pay a contingent coupon only when Ovintiv’s share price on an observation date is at or above a preset coupon barrier.
The notes can be called early if Ovintiv’s stock closes at or above the initial level on any observation date, returning principal plus that period’s coupon. If not called, investors receive full principal at maturity only if the final stock level is at or above a downside threshold set at 60% of the initial level; below that, principal losses match the stock’s percentage decline and can reach 100%. The indicative contingent coupon rate in the examples is 10.58% per year (about $0.2645 per $10 note per quarter), but the estimated initial value is $9.72 versus the $10 issue price. The notes are not listed, carry UBS credit risk, and require a minimum $1,000 investment.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Uber Technologies, Inc., maturing on February 14, 2028. Each Note has a $10 principal amount, with a minimum investment of 100 Notes and an estimated initial value of $9.74 per Note.
Investors may receive contingent coupons only when Uber’s closing level on an observation date is at or above a specified coupon barrier, and the Notes can be automatically called early if Uber’s price is at or above the initial level. If not called and Uber’s final level is below a downside threshold, repayment of principal is reduced one-for-one with Uber’s decline, and the entire investment can be lost. All payments, including any coupons and principal, depend on UBS’s creditworthiness, and the Notes will not be listed on any exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the American depositary receipts of Baidu, Inc., with a stated aggregate amount of $100,000 and maturity on February 14, 2028. The Notes pay a contingent coupon only when Baidu’s ADRs close at or above a coupon barrier, illustrated at 70% of the initial level, with an example contingent coupon rate of 17.02% per annum ($0.4255 per $10 Note per observation period). The Notes are automatically called early if, on any observation date before maturity, the ADRs close at or above the initial level, returning principal plus the applicable contingent coupon, after which no further payments are made. If not called and the final level is at or above the downside threshold, investors receive principal (and possibly a final coupon); if the final level is below the downside threshold, repayment is reduced in line with the negative underlying return, and investors can lose all of their investment. The Notes are unsecured, unsubordinated obligations of UBS, with an estimated initial value of $9.68 per $10 Note, will not be listed on any exchange, and all payments depend on UBS’s creditworthiness.
UBS AG is offering $1,861,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to Salesforce, Inc. common stock, maturing February 15, 2029. Each $1,000 Note pays a contingent coupon at an annual rate of 11.35% only if Salesforce’s closing price on a quarterly observation date is at or above the $111 coupon barrier, equal to 60% of the $185 initial level. Missed coupons can be paid later if the barrier is met, under the memory feature.
The Notes can be automatically called after six months if Salesforce closes at or above the $185 call threshold (100% of the initial level), returning principal plus the due coupon and any unpaid coupons. If not called and the final level is at or above the $111 downside threshold, investors receive full principal at maturity; below that level, repayment is reduced one-for-one with Salesforce’s decline, and all principal can be lost. The Notes are unsecured, unsubordinated UBS debt with an estimated initial value of $959.60 per $1,000, will not be listed on an exchange and carry significant market, liquidity, credit and bail-in risks.