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, through its London Branch, is offering $525,000 of Trigger Callable Contingent Yield Notes, issued at $1,000 per Note, linked to the least performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index, maturing February 10, 2028.
The Notes pay a contingent coupon at an annual rate of 11.85% (monthly $9.875 per $1,000) only if, on each monthly observation date, every index closes at or above its coupon barrier, set at 70% of its initial level and equal to the downside threshold.
UBS may call the Notes in whole, beginning after six months, paying principal plus any due coupon on the call settlement date; no further payments would be made. If not called and any index finishes below its downside threshold at maturity, repayment is reduced one-for-one with the worst index’s decline, up to a total loss of principal.
The Notes are unsubordinated, unsecured obligations of UBS AG, are not listed on any exchange, and all payments depend on UBS’s credit. The estimated initial value is $973.50 per $1,000 Note, reflecting internal pricing, funding and distribution costs.
UBS AG is offering Digital S&P 500® Index-Linked Medium-Term Notes that pay no interest and mature in about 14–16 months. The cash payment at maturity depends on S&P 500® Index performance between the trade and determination dates, with both upside and downside features.
If the final index level is at or above 90% of the initial level, holders receive a capped maximum settlement amount, expected between $1,091.40 and $1,107.50 per $1,000. If the index falls more than 10%, principal loss is magnified at approximately 111.11% of each 1% decline below the buffer, and investors can lose their entire investment.
The notes are unsecured obligations of UBS AG London Branch, carry UBS credit risk, pay no dividends or coupons, and will not be listed on any exchange. The estimated initial value is expected between $959.00 and $989.00 per $1,000, reflecting internal pricing models, fees, and hedging costs.
UBS AG is offering capped leveraged buffered medium-term notes linked to an unequally weighted basket of five equity indices: EURO STOXX 50® (38%), TOPIX (26%), FTSE® 100 (17%), Swiss Market Index (11%) and S&P/ASX 200 (8%).
The notes have a $1,000 face amount, no interest, 230% upside participation and a cap expected between $1,184.00 and $1,216.43 per $1,000. A 12.5% downside buffer applies; beyond that, losses accelerate at about 1.1429% per 1% further decline, and investors can lose their entire investment. Estimated initial value is between $968.50 and $998.50 per $1,000, reflecting internal pricing and hedging costs, and all payments are subject to UBS credit risk.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing in August 2027. The notes pay a contingent coupon at a rate of 13.10% per annum when, on a monthly observation date, each index closes at or above its coupon barrier.
Both the coupon barriers and downside thresholds for all three indices are set at 70% of their initial levels. UBS may call the notes in whole, beginning after three months, paying principal plus any due coupon. If the notes are not called and any index finishes below its downside threshold at maturity, investors are fully exposed to the negative return of the worst-performing index and can lose all principal. All payments depend on the creditworthiness of UBS.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to KeyCorp common stock, each with a $1,000 issue price. The notes pay a contingent coupon at an annual rate of 11.15% on quarterly observation dates only if KeyCorp’s share price is at or above a specified coupon barrier.
The notes can be automatically called quarterly beginning about six months after issuance if the stock is at or above the call threshold level, set at 100% of the initial stock level. If called, investors receive principal plus the due coupon and any previously unpaid coupons.
If not called, and on the final valuation date the share price is at or above the downside threshold of 70% of the initial level, investors receive full principal; if it is below that threshold, repayment is reduced in line with the stock’s loss and can fall to zero. The estimated initial value per $1,000 note is expected to be between $938.90 and $968.90, reflecting fees, hedging and UBS’ internal funding rate. The notes are unsecured UBS debt, not FDIC insured, will not be listed on any exchange and expose holders to both market risk in KeyCorp shares and UBS credit risk.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the worst performer among Freeport-McMoRan, Morgan Stanley and Netflix common stock, maturing on or about February 16, 2029. Each Note has a $1,000 principal amount and pays a contingent coupon at a rate of 14.55% per annum when, on a monthly observation date, all three stocks close at or above their coupon barriers, with unpaid coupons potentially recovered later via a memory feature.
The Notes can be automatically called quarterly after six months if all three stocks are at or above their call threshold levels, in which case investors receive principal plus the due and previously unpaid contingent coupons and the Notes terminate early. If not called, and at maturity all three stocks are at or above their respective downside thresholds (50% of initial levels), investors receive full principal back; otherwise they receive shares of the worst-performing stock based on a preset share delivery amount, likely worth significantly less than $1,000.
The Notes are unsecured, unsubordinated obligations of UBS AG, exposed both to the equity performance of the least performing stock and to UBS’ credit risk. They are not listed on an exchange. The estimated initial value is expected to be between $920.20 and $950.20 per $1,000 Note, reflecting underwriting compensation, hedging and issuance costs.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the least performing of Freeport-McMoRan, Microsoft and Netflix common stock, maturing on or about February 16, 2029. These are unsubordinated, unsecured debt obligations of UBS.
The Notes pay a contingent monthly coupon at a rate of 14.25% per annum only if each stock closes at or above its coupon barrier, with missed coupons potentially paid later under a memory feature. The Notes may be automatically called quarterly, beginning after six months, if each stock is at or above its call threshold (100% of its initial level), returning principal plus due and unpaid coupons.
If not called, and each final stock level is at or above its downside threshold (50% of initial level), investors receive full principal back. If any stock finishes below its downside threshold, investors receive shares of the worst-performing stock (or cash equivalent) based on a share delivery amount, likely worth significantly less than principal. Investors face full downside market risk to the least performing stock and are exposed to UBS credit risk, with no dividends or voting rights on the stocks.
UBS AG is offering $2,085,000 of Capped Leveraged Medium‑Term Notes linked to shares of the SPDR Gold Trust (GLD). The notes pay no interest and mature on March 8, 2027, with performance measured between February 4, 2026 and March 4, 2027.
At maturity, each $1,000 note pays: $1,000 plus 300% of any positive GLD return, but capped at a maximum settlement amount of $1,307.80 (a 30.78% maximum gain). If GLD is flat, investors receive $1,000. Any decline in GLD produces a one‑for‑one loss; a 40% drop in GLD results in a 40% loss of principal, and a total loss is possible.
The estimated initial value is $987.50 per $1,000, reflecting underwriting discount, hedging, and internal funding costs. The notes are unsecured obligations of UBS AG London Branch, are not FDIC insured, are not redeemable before maturity, and are not expected to have an active secondary market. The investment also carries complex U.S. tax and withholding considerations, including potential Section 1260 and 871(m) implications.
UBS AG is offering primary Buffered Digital Notes linked to the S&P 500 Index, maturing on February 23, 2027. These unsecured debt obligations pay no interest and provide a fixed digital return of 8.65% at maturity if the final S&P 500 level is at or above a downside threshold.
The initial S&P 500 level is 6,798.40, with a downside threshold of 6,118.56, equal to 90.00% of the initial level and a 10.00% buffer. If the index finishes below this threshold, investors are exposed to amplified losses, losing approximately 1.1111% of principal for each 1% decline beyond the buffer, up to a total loss of principal.
The notes are issued in $1,000 denominations, with an estimated initial value between $958.50 and $988.50 based on UBS’ internal models. Any payment at maturity depends entirely on both S&P 500 performance and UBS’ creditworthiness, and the notes will not be listed on an exchange, with only limited, discretionary secondary market making expected.
UBS AG 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. Each Note has a $1,000 principal amount and pays an 11.10% per annum contingent coupon if, on a monthly observation date, all three indexes close at or above their coupon barriers set at 75% of initial levels.
UBS may call the Notes in whole on any observation date beginning after six months; if called, investors receive principal plus any due coupon. If not called and, at maturity on or about November 14, 2030, all indexes are at or above downside thresholds set at 60% of initial levels, investors receive full principal. If any index finishes below its downside threshold, repayment is reduced in line with the worst-performing index, up to a total loss of principal.
The Notes are unsecured obligations of UBS, so payments depend on its credit. The estimated initial value is expected to be $951.80–$981.80 per Note versus the $1,000 issue price, reflecting underwriting discounts of up to $10.00 per Note and UBS’ internal funding and hedging costs.