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UBS AG SEC Filings

AMUB NYSE

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.

Rhea-AI Summary

UBS AG is offering trigger callable contingent yield notes linked to the worst performer of the S&P 500 Index and the Energy Select Sector SPDR Fund. The notes pay a 10.25% per annum contingent coupon (about $8.5417 per $1,000 monthly) only if both references stay at or above 70% of their initial levels on each observation date.

UBS can call the notes in whole on any monthly observation date starting after six months, returning principal plus any due coupon and ending future payments. If the notes are not called and either reference finishes below 65% of its initial level at maturity in 2029, investors lose principal one‑for‑one with the decline of the worst performer, up to a total loss.

The notes are unsecured, unsubordinated obligations of UBS, not listed on any exchange, and subject to UBS’s credit risk. Estimated initial value is expected between $952.80 and $982.80 per $1,000 face value, reflecting fees, hedging and UBS’s internal funding rate.

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UBS AG is offering $353,000 of Trigger Callable Yield Notes, $1,000 each, linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500 Index. The Notes pay a fixed coupon at 7.55% per annum, with monthly payments, regardless of index performance, unless UBS calls the Notes early.

UBS may call the Notes in whole, monthly starting about six months after issuance; if called, investors receive principal plus the due coupon and no further payments. If not called and each index finishes at or above 70% of its initial level on the final valuation date, investors receive full principal at maturity plus the last coupon.

If UBS does not call the Notes and any index closes below its 70% downside threshold, repayment is reduced in line with the percentage loss of the worst index, and all principal can be lost. The Notes are unsecured, unsubordinated obligations of UBS AG London Branch, not FDIC insured, not listed on an exchange, and carry credit, market, liquidity and complex U.S. tax risks. UBS estimates the initial value at $972.60 per $1,000 Note, below the issue price.

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UBS AG is offering $365,000 of Bearish Barrier Early Redeemable Market Linked Notes tied to the S&P 500 Index, maturing May 5, 2027. These unsecured notes pay no interest and all payments depend on UBS’s credit.

The notes redeem early at par with no gain if, on any trading day, the S&P 500 closes below 80% of its initial level. If no barrier event occurs and the final level is at or above the initial level, investors receive principal plus a fixed 3.75% digital return. If no barrier event occurs and the index finishes below the initial level but no more than 20% lower, investors receive principal plus the absolute index decline, capped at a 20% gain.

The initial S&P 500 level is 6,939.03 and the lower barrier is 5,551.22. The estimated initial value is $989.50 per $1,000 note, reflecting internal funding and structuring costs. The notes will not be listed, may have limited liquidity, and may be sold only into fee-based advisory accounts.

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UBS AG is offering $300,000 of Bearish Barrier Early Redeemable Market Linked Notes tied to the S&P 500 Index, maturing on May 5, 2027. The notes are unsecured, unsubordinated debt of UBS AG and do not pay periodic interest.

The structure is defensive and highly path-dependent. If, on any trading day from after the trade date through the final valuation date, the S&P 500 closes below 5,551.22 (20% under the 6,939.03 initial level), a barrier event occurs and the notes are automatically redeemed early at par, with no positive return.

If no barrier event occurs and the final index level is at or above the initial level, investors receive principal plus a fixed 3.00% digital return. If no barrier event occurs and the final level is below the initial level but above or equal to the barrier, investors receive principal plus the absolute value of the index decline, capped at 20.00%.

The minimum denomination is $1,000 per note. The estimated initial value is $985.00, below the $1,000 issue price, reflecting underwriting discounts, hedging and issuance costs and UBS’s internal funding rate. The notes are not listed, may have little or no secondary market, and all payments depend on UBS’s creditworthiness.

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UBS AG is offering unsecured Buffered Digital Notes with Downside Leverage Factor linked to the S&P 500® Index, maturing around February 24, 2027. Each Note has a $1,000 principal amount and an expected term of about 54 weeks.

If on the final valuation date the S&P 500® closing level is at or above 90% of its initial level (a 10% buffer), investors receive $1,000 plus a digital return of at least 8.26%, regardless of further upside. If the index closes below the downside threshold, the payoff falls below principal, with losses of approximately 1.1111% of principal for each 1% decline beyond the 10% buffer, up to a total loss of the investment.

The Notes pay no interest, do not provide dividends from index constituents, are not listed on any exchange, and any payment at maturity depends entirely on the creditworthiness of UBS.

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UBS AG is offering unsecured Step Down Trigger Autocallable Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, maturing around February 9, 2029. Each Note has a $10 principal amount, with a minimum investment of 100 Notes.

The Notes can be automatically called quarterly after 12 months if both indices are at or above their call threshold levels. The call return rate is expected to be between 8.30% and 9.30% per year, with the call price rising the longer the Notes remain outstanding. If never called and at least one index finishes below its downside threshold (75% of its initial level), repayment is reduced in line with the loss of the worst-performing index, up to a total loss of principal.

The estimated initial value is expected between $9.274 and $9.574 per $10 Note, reflecting underwriting discounts, hedging and issuance costs. The Notes pay no interest, are not listed on any exchange, do not provide dividends, and all payments depend on the creditworthiness of UBS AG.

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UBS AG is offering Capped Buffer GEARS, unsecured notes linked to the S&P 500® Index and maturing on or about August 11, 2027. Each Security has a $1,000 principal amount, 1.50x upside gearing and a maximum gain of 14.75%, capping your total return.

The notes provide a 15.00% buffer: if the index decline stays within that range, you receive your principal back at maturity. If the S&P 500® falls beyond the downside threshold (85.00% of the initial level), losses beyond the buffer reduce repayment and you could lose almost all of your investment.

The Securities pay no interest, do not provide dividends from index constituents, and will not be listed on any exchange. Any payment depends entirely on the creditworthiness of UBS. The estimated initial value per Security on the trade date is expected between $963.00 and $993.00, below the $1,000 issue price due to fees, hedging and funding costs.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer of the Nasdaq‑100® Technology Sector Index and the S&P 500® Index. Each Note has a $1,000 principal amount, a term of about 23 months and matures on or about January 13, 2028.

The Notes pay a 9.00% per annum contingent coupon (about $7.50 per month per $1,000) only if on each monthly observation date both indices close at or above 70% of their initial level. UBS may call the Notes in whole on any observation date after six months, paying principal plus any due coupon.

If the Notes are not called and at maturity both indices are at or above 60% of their initial level, investors receive full principal back. If any index finishes below its 60% downside threshold, the payoff is reduced one‑for‑one with the loss of the worst‑performing index, and investors can lose all principal. The Notes are unsecured obligations of UBS, not listed on any exchange, and the estimated initial value is expected between $956.10 and $986.10 per $1,000 issue price, reflecting fees and hedging costs.

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UBS AG is offering three-year Trigger Autocallable Contingent Yield Notes linked to the worst performer of the SPDR S&P 500 ETF (SPY) and the Technology Select Sector SPDR Fund (XLK). The notes pay a contingent coupon of 8.50% to 9.10% per year only if both ETFs stay at or above preset coupon barriers on quarterly observation dates.

The notes can be automatically called after six months if both ETFs are at or above their call thresholds, returning principal plus the applicable coupon. If they are not called and either ETF finishes below its 70% downside threshold at maturity, investors incur a loss matching that ETF’s decline and can lose their entire investment. The notes are unsecured UBS debt, not listed on an exchange, have an estimated initial value of $9.35–$9.65 per $10, and carry complex tax and liquidity risks.

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UBS AG London Branch is offering $11.35 million of Enhanced Trigger Jump Securities with an auto-call feature, maturing on February 4, 2032, linked to the worst performer among three sector ETFs: Energy (XLE), Technology (XLK) and Utilities (XLU).

The notes pay no coupons but can be automatically redeemed on scheduled determination dates if each ETF closes at or above 90% of its initial price, returning the $1,000 principal plus a growing premium based on an annual rate of about 13.00%. If held to maturity with all funds at or above 90% of initial, investors receive $1,780 per security.

If at maturity any ETF finishes below 90% of its initial price, repayment is reduced dollar‑for‑dollar with the loss on the worst‑performing fund, and the investment can go to zero. The securities are unsecured UBS debt, not listed on any exchange, and the estimated initial value is $942.90 per $1,000.

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FAQ

How many UBS (AMUB) SEC filings are available on StockTitan?

StockTitan tracks 8004 SEC filings for UBS (AMUB), including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and Form 4 insider trading disclosures. Each filing includes AI-generated summaries, impact scoring, and sentiment analysis.

When was the most recent SEC filing for UBS (AMUB)?

The most recent SEC filing for UBS (AMUB) was filed on February 3, 2026.