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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 least performing of the Nasdaq-100 Technology Sector Index, Russell 2000 Index and S&P 500 Index, maturing on or about February 9, 2029.

The Notes pay a 9.70% per annum contingent coupon, credited monthly only if each index closes at or above its coupon barrier, set at 70% of its initial level. UBS can call the Notes in whole on any monthly observation date after six months, returning principal plus any due coupon.

If not called and any index finishes below its 60% downside threshold at maturity, repayment is reduced one-for-one with the worst-performing index, and investors can lose all principal. Each Note is priced at $1,000, with an underwriting discount up to $9.50 per Note and estimated initial value between $953.60 and $983.60. Payments depend entirely on UBS’s credit.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst-performing of the S&P 500, Russell 2000 and Nasdaq-100 Technology Sector indices. The notes pay a 12.00% per annum contingent coupon only when all three indices stay at or above 70% of their initial levels on monthly observation dates.

UBS can redeem the notes early, in whole, after three months, repaying principal plus any due coupon but ending future payments. If not called and any index finishes below its 70% downside threshold at maturity, repayment is reduced in line with that worst index’s loss, potentially to zero. The notes are unsecured, unsubordinated obligations of UBS, carry significant market, liquidity and credit risk, are not FDIC-insured and will not be listed on an exchange.

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UBS AG is offering $1,625,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index, maturing in August 2030. The notes pay an 11.15% per annum contingent coupon only when all three indices close at or above preset coupon barriers on monthly observation dates.

UBS can call the notes in whole after six months, repaying principal plus any due coupon, ending future payments. If the notes are not called and any index finishes below its downside threshold at maturity, investors lose principal in line with the worst index’s decline, up to a total loss. All payments depend on UBS’s credit, and the estimated initial value per $1,000 note is $963.20 versus a $1,000 issue price.

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UBS AG is offering $2,935,000 of Trigger Callable Contingent Yield Notes, $1,000 each, linked to the least performing of the Russell 2000 Index, the S&P 500 Index and the Utilities Select Sector SPDR Fund, maturing February 4, 2031.

The notes pay a 9.70% per annum contingent coupon (about $8.0833 monthly per $1,000) only if all three underlyings stay at or above 70% of their initial levels on each monthly observation date. UBS can call the notes quarterly after six months, repaying principal plus any due coupon.

If the notes are not called and any underlying finishes below its 70% downside threshold at maturity, investors lose principal in line with the worst performer and could lose their entire investment. All payments depend on UBS’s credit and the notes will not be listed on an exchange.

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UBS AG is offering $12,000,000 of Phoenix Autocallable Buffer Notes with Memory Interest linked to Freeport-McMoRan common stock. The Notes pay a fixed contingent interest of $40.50 per $1,000 Note on quarterly dates if FCX’s closing price is at or above the $45.59 interest barrier.

The Notes may be called early if FCX is at or above the $65.13 initial price on any autocall observation date, returning principal plus due and previously unpaid interest. If not called and FCX stays at or above the $45.59 downside threshold at maturity, principal is repaid; otherwise investors receive a reduced cash equivalent tied to FCX, risking some or all of their investment. All payments depend on UBS’s credit and the Notes are not exchange-listed.

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UBS AG is offering $2,552,000 of Trigger Autocallable Contingent Yield Notes linked to Constellation Energy’s common stock, maturing February 3, 2028. Each $1,000 Note pays a 12.50% per annum contingent coupon, only if CEG’s closing price on quarterly observation dates is at or above the 50% coupon barrier of $140.34.

The Notes can be automatically called on any observation date before maturity if CEG closes at or above the call threshold of $280.68, returning principal plus that period’s coupon. If not called and CEG is at or above the 50% downside threshold at maturity, investors receive $1,000 per Note; if below, they receive 3.5628 CEG shares per Note (plus cash for fractions), likely worth significantly less than principal.

The Notes are unsecured UBS debt, not listed on an exchange, and carry UBS credit risk. The estimated initial value is $972.00 per $1,000 Note, reflecting underwriting discounts, hedging and issuance costs. The product is aimed at investors who can tolerate loss of most or all principal and forgo CEG dividends.

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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, maturing on or about March 2, 2029. Each Note has a $1,000 principal amount and pays a monthly contingent coupon at a 10.30% per annum rate (about $8.5833 per month) only if both indices close at or above their coupon barriers on the relevant observation date.

UBS may call the Notes in whole, but not in part, on any monthly observation date beginning after six months, paying back principal plus any due coupon; no further payments would be made. If the Notes are not called and the final level of either index is below its downside threshold of 70% of its initial level, investors receive back less than principal, in line with the negative return of the worst‑performing index, and could lose their entire investment.

The Notes are unsecured, unsubordinated obligations of UBS, are not FDIC‑insured, will not be listed on an exchange and their payments depend entirely on UBS’s credit. The estimated initial value per $1,000 Note is expected between $954.90 and $984.90, reflecting internal funding and fees, with an underwriting discount of up to $7.50 per Note and minimum proceeds to UBS of at least $992.50 per Note.

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UBS AG is offering $8,994,000 of Buffered Digital Notes with Downside Leverage Factor linked to the S&P 500 Index, maturing February 18, 2027. These unsecured notes pay no interest and at maturity either return principal plus an 8.11% digital return or expose holders to amplified losses.

If the S&P 500 final level is at or above the downside threshold of 6,245.13 (90% of the 6,939.03 initial level), investors receive $1,081.10 per $1,000 note. Below the threshold, principal is reduced using a downside leverage factor of approximately 1.1111 beyond a 10% buffer, which can result in total loss.

The minimum investment is 10 notes ($10,000). The estimated initial value is $988.20 per $1,000 note, reflecting underwriting discounts, hedging and issuance costs. All payments depend on UBS’s creditworthiness, and the notes will not be listed on any securities exchange, so liquidity may be limited.

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UBS AG is offering Capped Buffer Contingent Absolute Return Securities, unsecured notes linked to the least performing of the Dow Jones Industrial Average and the S&P 500 Index. Each Security has a $1,000 principal amount and a term of about 18 months, from a February 2026 trade date to an August 2027 maturity.

If the least-performing index rises, UBS pays principal plus the lesser of that index’s gain or the 11.00% maximum upside gain, capping the best outcome at a $1,110 payment per Security. If the index is flat or down but stays at or above 85% of its initial level (a 15.00% downside threshold), investors receive a contingent absolute return equal to the magnitude of the decline, up to 15.00%, for a maximum payment of $1,150.

If the least-performing index falls below 85% of its initial level, investors lose principal beyond a 15.00% buffer, and could lose almost all of their investment. The notes pay no interest, do not pass through dividends, and expose holders to UBS credit risk. The estimated initial value is expected between $944.10 and $974.10 per $1,000 issue price, reflecting fees and hedging costs, and the Securities are not expected to be listed, so liquidity may be limited.

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UBS AG is offering unsecured Buffered Digital Notes linked to the S&P 500® Index, maturing on February 18, 2027. These notes aim to pay a fixed 8.26% digital return if the index’s final level is at or above a downside threshold set at 90% of the initial level.

The structure includes a 10% buffer, but losses beyond that are magnified by a downside leverage factor of approximately 1.1111, so a 1% decline past the buffer causes about a 1.1111% loss of principal. The notes pay no interest, do not share in upside above the digital return, offer no dividends, have limited or no secondary market, and all payments depend on UBS’s creditworthiness.

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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 2, 2026.