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 $2,518,000 of Buffer Contingent Absolute Return GEARS, unsecured notes linked to the worst performer among the Nasdaq-100, Russell 2000 and S&P 500, maturing in February 2028. Each Security has a $1,000 principal amount and a term of about two years.
If the least performing index finishes above its initial level, investors receive principal plus the index gain multiplied by 1.05 upside gearing. If the least performing index is flat or down but stays at or above its 80% downside threshold, investors receive a positive “contingent absolute return” on losses up to 20%, capped at a 20% gain ($1,200 maximum).
If any index ends below its downside threshold, repayment is reduced by losses beyond the 20% buffer and investors can lose almost all principal. The notes pay no interest, are not listed, and all payments depend on UBS’s credit; a UBS default could result in a total loss.
UBS AG is offering $5,000,000 of trigger autocallable contingent yield notes linked to the EURO STOXX 50® Index, each with a $10 principal amount. The notes pay a 6.00% per annum contingent coupon (1.50% quarterly) only when the index closes at or above a preset barrier on quarterly observation dates.
The notes can be automatically called after about 12 months if the index is at or above the initial level, returning principal plus the applicable coupon. If not called and, at maturity in early 2029, the index is at or above 60% of its initial level, investors receive full principal.
If the final index level is below 60% of the initial level, repayment is reduced one-for-one with the index loss, and investors can lose all of their investment. Payments depend entirely on the creditworthiness of UBS, and the notes are unsecured, unsubordinated obligations with no listing or guaranteed secondary market.
UBS AG is offering $295,000 of Trigger Callable Contingent Yield Notes due February 3, 2028, linked to the least performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the Utilities Select Sector SPDR® Fund.
The Notes pay a 9.00% per annum contingent coupon ($7.50 per $1,000) only if, on each monthly observation date, all three underlyings are at or above 70% of their initial levels. UBS may call the Notes monthly after three months, returning principal plus any due coupon.
If not called and any underlying finishes below 60% of its initial level, repayment is reduced one-for-one with the loss on the worst performer, and investors can lose their entire principal. The Notes are unsecured obligations of UBS; all payments depend on UBS’s credit, and the estimated initial value is $973.70 per $1,000 note.
UBS AG is offering $849,000 of Trigger Autocallable Contingent Yield Notes linked to Southwest Airlines Co. stock, maturing February 5, 2029. These are unsecured, unsubordinated debt obligations of UBS that pay a contingent coupon only if Southwest’s share price on each observation date is at or above a preset coupon barrier.
The notes can be called early: if on any observation date before maturity the stock closes at or above the initial level, UBS repays the $10 principal per Note plus the due contingent coupon, and the notes terminate. If the notes are not called and the final stock level is at or above the downside threshold, investors receive back principal, plus a final contingent coupon if the level also meets the coupon barrier.
If the notes are not called and the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors can lose their entire investment. Payments depend on UBS’s credit, the notes will not be listed, the minimum investment is 100 Notes at $10 each, and the estimated initial value is $9.71 per Note.
UBS AG is offering trigger autocallable contingent yield notes linked to the common stock of Southwest Airlines Co., maturing around February 5, 2029. These are unsecured debt obligations, so all payments depend on UBS’s ability to meet its commitments.
Investors receive a contingent coupon only when Southwest’s share price on an observation date is at or above a coupon barrier. The notes can be called early if the stock closes at or above the initial level on any observation date, returning principal plus that period’s coupon.
If the notes are not called and the final stock level is at or above a downside threshold, investors receive their principal back, potentially with a final coupon. If the final level is below the downside threshold, repayment is reduced in line with the stock’s decline, and investors can lose all of their initial investment. The estimated initial value per $10 note is expected between $9.34 and $9.59.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among the Nasdaq‑100 Technology Sector Index, Russell 2000 Index, Technology Select Sector SPDR Fund and Utilities Select Sector SPDR Fund, maturing on or about August 9, 2029.
The Notes pay a contingent coupon of 14.15% per annum (about $11.79 per $1,000 monthly) only if, on each observation date, every underlying is at or above its coupon barrier, set at 70% of its initial level. UBS may call the Notes in whole, beginning after three months, and pay back principal plus any due coupon; no further payments would be made.
If the Notes are not called and any underlying finishes below its downside threshold (also 70% of initial level), repayment is reduced in line with the negative return of the worst‑performing underlying, and up to 100% of principal can be lost. Payments depend on UBS’s credit; a default could result in total loss. The estimated initial value is expected between $957.80 and $987.80 per $1,000 note, reflecting fees and UBS’s internal funding rate.
UBS AG is offering $2,450,000 of Trigger Autocallable Contingent Yield Notes, $1,000 per Note, linked to the least performing of the VanEck® Gold Miners ETF, the Nasdaq-100® Technology Sector Index and the Russell 2000® Index, maturing February 1, 2029.
Investors can receive an 11.50% per annum contingent coupon, paid monthly, but only when the closing level of each underlying is at or above its coupon barrier. The Notes may be automatically called after 6 months if all underlyings are at or above 100.00% of their initial levels, returning principal plus any due coupon.
If not called and any final underlying level is below its 50.00% downside threshold, repayment is reduced in line with the worst-performing asset’s negative return, up to a full loss of principal. The estimated initial value is $936.10 per Note, the Notes are unsecured, unlisted, and all payments depend on UBS’s creditworthiness.
UBS AG is offering $3,388,000 of Trigger Autocallable Contingent Yield Notes linked to the worst performer among the VanEck Gold Miners ETF, the Nasdaq-100 Technology Sector Index, and the Russell 2000 Index, maturing on February 1, 2029.
The notes pay a 14.00% per annum contingent coupon only if all three underlying assets stay at or above set coupon barriers on monthly observation dates. They can be called early if all are at or above their call thresholds, returning principal plus any due coupon. If not called and any final level is below its downside threshold, repayment is reduced one-for-one with the worst underlying’s loss, up to total loss of principal. All payments depend on UBS’s creditworthiness.
UBS AG is offering $39,901,050 of Trigger Callable Contingent Yield Notes with Daily Coupon Observation linked to the Russell 2000, S&P 500 and EURO STOXX 50. The notes pay an 11.00% per annum contingent coupon only if all three indices stay at or above their coupon barriers on every trading day in each quarterly observation period.
UBS can call the notes in whole on any observation end date (except the final one) and repay principal plus any due coupon. If the notes are not called and any index finishes below its downside threshold at maturity in May 2029, investors lose principal in line with the worst-performing index and could lose their entire investment. All payments depend on UBS’s creditworthiness and there is no stock market listing or guaranteed secondary market.
UBS AG is offering $5,860,000 of Airbag Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Technology Sector Index and the S&P 500 Index, maturing in February 2027. Each $1,000 note pays a 12.00% per annum contingent coupon when both indices close at or above 85% of their initial levels on monthly observation dates.
UBS can call the notes in whole on any observation date beginning after three months, returning principal plus any due coupon, after which no further payments are made. If the notes are not called and any index finishes below its 85% downside threshold at maturity, principal is reduced with leveraged downside: investors lose about 1.1765% of principal for each 1% decline beyond the 15% buffer, up to total loss. Payments depend entirely on UBS’s credit, the notes will not be listed, and the estimated initial value is $991.50 per $1,000 note.