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 SEC filing 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 Autocallable Contingent Yield Notes linked to the common stock of Vistra Corp., maturing on or about February 7, 2028. These notes pay a contingent coupon only when Vistra’s closing share price on an observation date is at or above a preset coupon barrier.
If on any observation date before maturity Vistra’s share price is at or above the initial level, the notes are automatically called and investors receive the principal plus any due contingent coupon, with no further payments. If not called, and on the final valuation date the share price is at or above the downside threshold, investors receive the full principal back, plus any final contingent coupon.
If the notes are not called and Vistra’s final share price is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors can lose all of their principal. Payments depend on UBS’s credit; a UBS default could result in total loss. The notes will not be listed, require a minimum investment of 100 notes at $10 each, and have an estimated initial value between $9.46 and $9.71 per $10 note.
UBS AG is offering Airbag Autocallable Yield Notes linked to the American depositary receipts of Taiwan Semiconductor Manufacturing Company Limited. These unsecured notes pay fixed coupons on each coupon payment date unless they are automatically called.
The notes are automatically called, and principal is repaid, if on any observation date before the final valuation date the ADR closing level is at or above the initial level. If not called and the final level is at or above a preset conversion level, investors receive full principal back at maturity plus the final coupon.
If the notes are not called and the final level is below the conversion level, investors receive a fixed number of ADRs (and cash for any fraction) instead of principal, and this amount is expected to be worth less than the original investment, leading to a loss of some or all principal. All payments depend on UBS’s credit, and the notes will not be listed on any exchange. An estimated initial value between $949.60 and $974.60 per $1,000 note reflects internal pricing and funding considerations.
UBS AG is offering trigger autocallable contingent yield notes linked to the common stock of First Solar, Inc., maturing on or about February 8, 2027. These are unsecured, unsubordinated debt obligations of UBS, not traditional bonds and not principal-protected.
Investors receive a contingent coupon only if First Solar’s share price on a monthly observation date is at or above a preset coupon barrier. The notes are automatically called before maturity, with return of principal plus the due coupon, if the share price is at or above the initial level on any observation date after three months.
If the notes are not called and First Solar’s final share price is at or above a downside threshold, investors receive principal back at maturity. If the final price is below that threshold, repayment is reduced in line with the stock’s decline, and investors can lose all of their investment. Payments also depend on UBS’s credit. The notes will not be listed, require a minimum purchase of 100 notes at $10 each, and have an estimated initial value between $9.51 and $9.76 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of ServiceNow, Inc., with a principal amount of $10 per Note and a minimum investment of 100 Notes. These unsecured debt securities have a term of approximately three years, from an expected settlement on February 6, 2026 to an expected maturity on February 6, 2029.
Investors may receive periodic contingent coupons only if the ServiceNow share price on each observation date is at or above a specified coupon barrier. The Notes may be automatically called each quarter, beginning after six months, if the share price is at or above the initial level, in which case investors receive principal plus the applicable contingent coupon and the Notes terminate. If the Notes are not called and the final share level is below a downside threshold, investors are exposed to the full negative return of the stock on a 1:1 basis and can lose all of their initial investment. All payments depend on the creditworthiness of UBS, and the Notes will not be listed on any exchange. The estimated initial value per $10 Note is expected to be between $9.33 and $9.58.
UBS AG is offering $22,308,000 of Capped Buffer Contingent Absolute Return Securities linked to the MSCI EAFE® Index, each with a $1,000 principal amount and maturing on April 12, 2027.
The notes provide exposure to positive index performance up to a maximum upside gain of 15.60%, capping the maximum payment at $1,156 per Security. If the index return is zero or negative but the final level stays at or above 90% of the initial level (the downside threshold, with a 10% buffer), holders receive a “contingent absolute return” equal to the absolute value of the index return, up to 10%, for a maximum payment of $1,100.
If the index falls below the downside threshold at maturity, repayment is reduced: investors lose principal in proportion to the decline beyond the 10% buffer and could lose almost all of their investment. The Securities pay no interest, do not provide dividends on underlying constituents, are not listed on any exchange, and secondary liquidity may be limited. All payments depend on UBS’s credit; if UBS defaults, investors may recover nothing.
UBS AG is offering $11,239,000 of Airbag Autocallable Yield Notes linked to the common stock of Oracle Corporation, providing periodic coupons regardless of Oracle’s share performance unless the notes are automatically called.
The notes can be called early if Oracle’s closing level on any observation date before the final valuation date is at or above the initial level, in which case investors receive principal plus the due coupon and no further payments. If not called and Oracle’s final level is at or above a preset conversion level, investors receive full principal in cash at maturity plus the final coupon. If the notes are not called and the final level is below the conversion level, investors receive Oracle shares equal to the share delivery amount (and cash for any fractional share), which is expected to be worth less than the $1,000 principal, so some or all of the initial investment may be lost.
All payments depend on UBS’s creditworthiness, the notes will not be listed on any exchange, and the estimated initial value is $983.10 per $1,000, reflecting UBS’s internal pricing and funding considerations.
UBS AG is offering Airbag Autocallable Yield Notes linked to the common stock of Oracle Corporation, maturing on or about February 8, 2027. The notes pay coupons on each coupon payment date regardless of Oracle’s share performance, unless they are automatically called early.
The notes are automatically called if Oracle’s closing level on any observation date before the final valuation date is at or above the initial level, in which case investors receive principal plus the applicable coupon and the notes terminate. If not called and the final level is at or above a specified conversion level, investors receive principal at maturity plus the final coupon.
If the notes are not called and the final level is below the conversion level, investors receive a fixed “share delivery amount” of Oracle shares (plus cash for any fractional share), whose value may be significantly below principal, leading to a loss of some or all of the initial investment. Payments are unsecured obligations of UBS, which also discloses an estimated initial value per note between $948.40 and $973.40 based on its internal pricing models.
UBS AG is offering Capped Leveraged Buffered S&P 500® Index-Linked Medium-Term Notes that pay no interest and have a term expected between 26 and 29 months. The notes’ payoff depends on S&P 500® performance from trade date to a future determination date.
For each $1,000 face amount, investors get 160.00% of any positive index return, but gains are capped by a maximum settlement amount expected between $1,215.84 and $1,253.92. If the index falls up to 15.00%, principal is returned in full. Below a 15.00% decline, losses accelerate at approximately 117.65% of the drop beyond the buffer, and investors could lose their entire investment.
The notes are unsecured obligations of UBS, are not FDIC insured, and will not be listed on an exchange. The estimated initial value is expected between $967.50 and $997.50 per $1,000, reflecting internal funding and hedging costs. The filing highlights limited liquidity, issuer credit risk, complex U.S. tax treatment, and restrictions on sales to certain EEA and UK retail investors.
UBS AG is offering $3,800,000 of Buffered Digital Notes with Downside Leverage Factor linked to the S&P 500® Index, maturing on February 18, 2027. Each Note has a $1,000 principal amount and a term of about 54 weeks.
If the index’s final level is at or above the downside threshold of 6,245.13 (90% of the 6,939.03 initial level), investors receive principal plus a fixed 8.26% digital return, regardless of additional upside. If the final level is below the threshold, repayment is reduced using a downside leverage factor of approximately 1.1111, so each 1% drop beyond the 10% buffer causes about a 1.1111% loss of principal, up to a total loss.
The Notes pay no interest, are unsecured and unsubordinated obligations of UBS AG London Branch, and all payments depend on UBS’s credit. They will not be listed on an exchange, may have limited or no secondary market, and their estimated initial value is $988.00 per $1,000, below the issue price due to fees, funding and hedging costs.
UBS AG is offering Digital S&P 500® Index‑Linked Medium‑Term Notes that pay no interest and have a term expected between 27 and 30 months. The payoff depends on the S&P 500 Index level on a single determination date near maturity.
If the index finishes at or above a buffer level of 85% of its initial level, investors receive a fixed maximum settlement amount expected to be between $1,157.40 and $1,185.10 per $1,000. Upside is fully capped, so gains above the cap level (expected between 115.74% and 118.51% of the initial level) are not passed through.
If the index declines more than 15%, principal is exposed to losses at approximately 117.65% of the drop beyond the buffer; a large decline can result in losing the entire investment. The notes are unsecured obligations of UBS, are not listed on any exchange, may have limited or no secondary market, and have an estimated initial value between $967.50 and $997.50 per $1,000, reflecting internal funding and hedging costs.