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.
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UBS AG is offering $2,828,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100, Russell 2000 and S&P 500, maturing August 4, 2027. Each $1,000 note pays a 10.15% per annum contingent coupon when all three indexes stay at or above 70% of their initial levels on monthly observation dates.
UBS can call the notes in whole on any observation date after three months, returning principal plus any due coupon, ending further payments. If the notes are not called and any index finishes below its 70% downside threshold, investors lose principal in line with that worst index’s decline, up to a total loss. All payments depend on UBS’s credit, and the estimated initial value is $971.60 per $1,000 note, below the issue price due to dealer compensation, hedging and funding costs.
UBS AG is offering $1.31 million of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to Constellation Energy Corporation common stock. Each $1,000 note pays an 18.05% per annum contingent coupon on quarterly observation dates only if the stock closes at or above a 70% coupon barrier.
The notes auto-call early if the stock closes at or above 100% of the $280.68 initial level on any observation date before maturity, returning principal plus due and unpaid coupons. If not called and the final stock level is at or above the 70% downside threshold, investors receive principal back at maturity.
If the final level is below the downside threshold, repayment is reduced one-for-one with the stock’s decline, and investors can lose all principal. The notes are unsecured UBS obligations, not listed on any exchange, and their estimated initial value is $964.30 per $1,000, below the issue price.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Broadcom Inc. stock. The notes pay a 15.44% per annum contingent coupon (about $38.60 per quarter on a $1,000 note) only when Broadcom’s closing price is at or above a 60% coupon barrier.
The notes can be automatically called quarterly if Broadcom closes at or above the call threshold of 100% of the $331.30 initial level, returning principal plus the due coupon but ending future payments. If they are not called and Broadcom finishes at or above the 60% downside threshold ($198.78), investors receive full principal back at maturity.
If, at final valuation, Broadcom closes below the downside threshold, investors receive 3.0184 Broadcom shares per note (plus cash for any fraction), which may be worth far less than $1,000, exposing them to substantial or total loss. All payments depend on UBS’s credit; the estimated initial value is $963.40 per $1,000 note, below the issue price, and the total offering size is $2,432,000.
UBS AG is offering $6,057,000 of Contingent Income Auto-Callable Securities due February 3, 2028 linked to the worst performer of Apple, Amazon and Alphabet Class A shares. Investors can receive contingent coupons of $36.25 per $1,000 (14.50% per annum) on each determination date if all three stocks close at or above 60% of their initial prices.
If on any non-final determination date all three stocks are at or above 100% of their initial prices, the notes are automatically redeemed at par plus that period’s coupon. At maturity, if the notes have not been called and any stock finishes below 60% of its initial price, repayment of principal is reduced one-for-one with the worst-performing stock’s decline, and all principal can be lost. The securities are unsecured, unsubordinated obligations of UBS AG and are not insured by any government agency.
UBS AG is offering $1,003,000 of 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, maturing on February 4, 2030. The notes pay a 9.10% per annum contingent coupon (about $7.5833 per $1,000 monthly) only if on each observation date all three underlyings stay at or above 70% of their initial levels.
UBS can call the notes quarterly at par plus any due coupon, ending further payments. If not called and any underlying finishes below its 60% downside threshold, repayment is reduced one-for-one with the worst performer, up to a total loss of principal. The notes are unsecured UBS debt, unlisted, and their value and payments depend on UBS’s creditworthiness.
UBS AG is offering about $2.238 million of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the common stock of United Airlines Holdings, Inc. Each Note has a $1,000 principal amount and offers a contingent coupon at a 14.43% per annum rate, paid quarterly when the stock closes at or above the coupon barrier.
The Notes can be called early if United’s stock closes at or above the call threshold level, in which case investors receive principal plus any due and unpaid coupons. If the Notes are not called and the final stock level is at or above the downside threshold of $71.62 (70% of the initial $102.32 level), investors receive their principal back. If the final level falls below the downside threshold, investors receive 9.7733 shares of United per Note, expected to be worth significantly less than principal, exposing them to substantial loss. All payments depend on the creditworthiness of UBS, and the Notes are unsecured, unsubordinated obligations that will not be listed on any exchange.
UBS AG is offering $9,320,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the Russell 2000 and S&P 500 indices. These three-year notes pay an 8.50% per annum contingent coupon (about $42.50 per $1,000 every six months) only if on an observation date both indices close at or above their coupon barriers, set at 70% of initial levels.
The notes auto-call early if on any semiannual observation date before maturity both indices are at or above 100% of their initial levels, returning principal plus due and previously unpaid coupons. If never called and at maturity either index finishes below its 70% downside threshold, repayment is reduced one-for-one with the worst index’s decline, and investors can lose their entire principal.
The notes are unsecured, unsubordinated UBS debt, not insured by any government agency, and will not be listed on an exchange. UBS estimates the initial fair value at $970.70 per $1,000, reflecting embedded fees, funding costs and dealer compensation.
UBS AG is offering $1,839,000 of Capped Buffer Securities linked to the S&P 500 Index, maturing February 4, 2027. Each Security has a $1,000 principal amount and pays no interest. At maturity, the payoff depends on the index performance between the trade date and final valuation date.
If the S&P 500 return is positive, payment is capped at a maximum gain of 10.75%, or $1,107.50 per Security. If the index is flat or down but stays at or above the downside threshold of 5,898.18 (85% of the 6,939.03 initial level), investors receive their $1,000 principal.
If the final index level falls below the downside threshold, investors lose principal beyond the 15% buffer, and in extreme declines could lose almost all of their investment. The notes are unsecured, unsubordinated debt of UBS, not listed on any exchange, and all payments depend on UBS’s creditworthiness. The estimated initial value is $993.00 per Security, below the $1,000 issue price.
UBS AG is offering $3,525,000 of Trigger Callable Contingent Yield Notes, $1,000 per Note, linked to the worst performer of the Nasdaq‑100, Russell 2000 and S&P 500 indexes, maturing on February 2, 2029.
The Notes pay a 10.85% per annum contingent coupon monthly only if all three indexes stay at or above 75% of their initial levels on each observation date. UBS may call the Notes, in whole, on any monthly observation after three months, returning principal plus any due coupon. If not called and any index finishes below 70% of its initial level, principal repayment is reduced one‑for‑one with the worst index’s loss, up to total loss of investment. The Notes are unsecured UBS debt, not FDIC‑insured, and their estimated initial value is $962 per $1,000 issue price.
UBS AG is offering $1,200,000 of 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, maturing on February 4, 2031. The notes pay a 9.75% per annum contingent coupon (about $8.125 per $1,000 note per month) only when all three underlyings are at or above their coupon barriers, set at 70% of initial levels.
UBS can call the notes quarterly at par plus any due coupon, ending all future payments. If the notes are not called and any underlying finishes below its downside threshold at 65% of its initial level, repayment is reduced in line with the worst performer and can fall to zero. The estimated initial value is $981.20 per $1,000 note, and investors face both full market downside in the least performing asset and the unsecured credit risk of UBS, with no listing and limited expected liquidity.