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 is offering unsecured Trigger Callable Contingent Yield Notes linked to the worst performer of the Russell 2000 Index, the S&P 500 Index and the Utilities Select Sector SPDR Fund, maturing around February 19, 2031.
The Notes pay a 10.35% per annum contingent coupon (about $8.625 per $1,000 monthly) only if, on each monthly observation date, all three underlyings close at or above 70% of their initial level. Otherwise, no coupon is paid for that period.
UBS may call the Notes in whole on any observation date starting after six months, paying back principal plus any due coupon, after which no further payments are made. If not called, investors receive full principal at maturity only if each underlying finishes at or above its 65% downside threshold. If any finishes below its threshold, the maturity payment is reduced dollar-for-dollar with the negative return of the worst underlying, potentially to zero.
The issue price is $1,000 per Note, with an estimated initial value between $956.90 and $986.90, reflecting underwriting compensation, hedging and other costs. UBS Securities LLC receives a $2.50 underwriting discount per Note, and UBS may pay an additional $4.00 per Note marketing fee. The Notes are not listed, pay no dividends, and all payments depend on UBS’s credit.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Russell 2000 Index, the S&P 500 Index and the Utilities Select Sector SPDR Fund. The Notes pay a 9.50% per annum contingent coupon, credited monthly only if each underlying stays at or above 70% of its initial level on the relevant observation date.
The Notes are callable at UBS’ discretion on any monthly observation date starting after 12 months; if called, investors receive the $1,000 principal per Note plus any due coupon, and the product terminates early. If the Notes are not called and any underlying finishes below its 70% downside threshold at maturity in February 2031, repayment is reduced in line with the worst performer and investors can lose all of their principal.
The issue price is $1,000 per Note, with estimated initial value between $945.90 and $975.90, reflecting embedded fees and hedging costs. Underwriting compensation can be up to $11.25 per Note, leaving at least $988.75 in proceeds to UBS. All payments depend on UBS’ credit; the Notes are unsecured, unsubordinated obligations and will not be listed on an exchange.
UBS AG is offering unsubordinated, unsecured Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the common stock of KLA Corporation, maturing around August 13, 2027. The Notes pay quarterly contingent coupons at an annual rate of 15.25% to 16.25% only if KLA’s share price is at or above a specified coupon barrier on each observation date, with unpaid coupons potentially paid later under the memory feature.
The Notes are automatically called early if KLA’s stock closes at or above a call threshold (100% of the initial level in the term sheet) on any quarterly observation date before maturity, returning principal plus due and unpaid coupons. If not called and KLA’s final level is at or above a downside threshold (65% of the initial level in the term sheet), investors receive full principal back at maturity. If the final level is below the downside threshold, repayment is reduced one-for-one with KLA’s percentage decline, and investors can lose their entire investment.
The estimated initial value per $1,000 Note is expected to be between $939.80 and $969.80, reflecting underwriting discounts, hedging and issuance costs and UBS’s internal funding rate. Payments depend entirely on UBS’s credit; the Notes are not bank deposits and are not insured or exchange-listed.
UBS AG is offering unsubordinated, unsecured Trigger Autocallable Yield Notes linked to the least performing of Northrop Grumman stock and the Industrial Select Sector SPDR Fund. Each note has a $1,000 principal amount, an 8.25% per annum fixed coupon paid monthly, and a scheduled term to February 9, 2028.
The notes are automatically called, and principal is repaid early, if on any monthly observation date starting after 12 months both underlyings are at or above 100% of their initial levels. If not called and, at maturity, both underlyings are at or above 60% of their initial levels, investors receive full principal. If any underlying finishes below 60%, the maturity payment is reduced one-for-one with the decline of the worst performer, and investors can lose all principal. All payments depend on UBS’s credit, and the notes are not listed or insured.
UBS AG is offering $350,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Palantir Technologies Inc., maturing on February 8, 2027. Each Note has a principal amount of $10 and an estimated initial value of $9.78.
Investors receive contingent coupons only if Palantir’s stock is at or above a set coupon barrier on observation dates. The Notes can be automatically called early if the stock is at or above the initial level, returning principal plus the due coupon. If not called and the final stock level is below the downside threshold at maturity, repayment is reduced in line with the stock’s decline, and all principal can be lost. All payments depend on UBS’s creditworthiness.
UBS AG is offering unsecured Trigger Autocallable Contingent Yield Notes linked to the common stock of Palantir Technologies Inc., maturing on or about February 8, 2027. Each Note has a $10 issue price, with a minimum investment of 100 Notes.
The Notes pay a contingent coupon only if Palantir’s closing share price on an observation date is at or above a coupon barrier; otherwise no coupon is paid for that period. The Notes are automatically called, and principal plus any due coupon is paid, if Palantir’s share price on any observation date before maturity is at or above the initial level. If not called, investors receive full principal at maturity only if the final share price is at or above a downside threshold; below that level, repayment is reduced in line with Palantir’s decline, and all principal can be lost. Payments depend on the creditworthiness of UBS, and the estimated initial value per Note is between $9.41 and $9.66.
UBS AG is offering $250,000 of Trigger Autocallable Contingent Yield Notes linked to Intel’s common stock, maturing February 7, 2028. These unsecured debt securities pay contingent coupons only when Intel’s share price on an observation date is at or above a preset coupon barrier.
The notes can be called early if Intel’s stock closes at or above the initial level on any observation date, in which case investors receive principal plus any due coupon and no further payments. If not called, investors receive full principal at maturity only if the final stock level is at or above a downside threshold; otherwise, repayment is reduced in line with Intel’s decline and can fall to zero.
The notes are not listed, have a minimum investment of 100 notes at $10 each, and carry both market risk tied to Intel’s stock and UBS credit risk. The estimated initial value is $9.84 per $10 note, reflecting UBS’ internal pricing models.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Intel Corporation common stock, maturing around February 7, 2028. These unsecured debt notes pay contingent coupons only when Intel’s share price on an observation date is at or above a preset coupon barrier.
The notes can be automatically called early if Intel’s stock closes at or above the initial level on any observation date, in which case holders receive principal plus the applicable coupon and the product terminates. If never called and Intel’s final level is below the downside threshold, repayment at maturity is reduced one-for-one with Intel’s decline, potentially to zero. Any payment depends on UBS’s credit. The minimum investment is 100 notes at $10 each, and the estimated initial value per $10 note is expected between $9.49 and $9.74.
UBS AG is offering $400,000 of Trigger Autocallable Contingent Yield Notes linked to Oracle Corporation common stock, maturing February 6, 2029. These unsecured debt notes pay contingent coupons only when Oracle’s share price is at or above a preset coupon barrier on quarterly observation dates.
The notes can be automatically called after six months if Oracle’s closing level on an observation date is at or above the initial level, in which case holders receive principal plus any due coupon and the notes terminate. If not called, and Oracle’s final level is at or above a downside threshold at maturity, principal is repaid.
If the notes are not called and Oracle’s final level is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors can lose all principal. All payments depend on UBS’s credit, and the estimated initial value is $9.73 per $10 note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Oracle Corporation, maturing around February 6, 2029. These are unsecured debt obligations of UBS, not bank deposits and not FDIC insured.
Investors may receive periodic contingent coupons, but only when Oracle’s closing share price on a quarterly observation date (including the final valuation date) is at or above a preset coupon barrier. The notes are automatically called if Oracle’s price on any observation date after six months is at or above the initial level, in which case investors receive principal plus the applicable coupon and no further payments.
If the notes are not called and Oracle’s final share price is at or above a downside threshold, investors receive full principal at maturity (plus a final coupon if the barrier condition is met). If the final price is below the downside threshold, the maturity payment is reduced in line with Oracle’s percentage decline, and investors can lose most or all of their initial investment. All payments depend on UBS’s creditworthiness, and the notes will not be listed on any exchange.