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 Trigger Autocallable Contingent Yield Notes linked to the common stock of CrowdStrike Holdings, Inc., with a total offering size of $200,000. These are unsubordinated, unsecured debt obligations of UBS, not bank deposits and not FDIC insured.
Investors receive contingent coupons only when CrowdStrike’s closing share price on an observation date is at or above a preset coupon barrier. The notes are automatically called early if the share price on any observation date before maturity is at or above the initial level, in which case investors receive principal plus the relevant contingent coupon and no further payments.
If the notes are not called and the final stock price on the February 1, 2028 valuation date is at or above the downside threshold, investors receive their full principal at the February 3, 2028 maturity, plus any final contingent coupon if the coupon barrier is also met. If the final price is below the downside threshold, repayment is reduced in line with the stock’s decline and investors can lose most or all of their investment.
The notes are expected to trade in the secondary market, but will not be listed on an exchange. The minimum investment is 100 notes at $10 each. The estimated initial value is $9.83 per note, based on UBS’s internal pricing models. All payments depend on UBS’s creditworthiness in addition to CrowdStrike’s share performance.
UBS AG is offering $849,000 of Trigger Autocallable Contingent Yield Notes linked to Carnival Corporation common stock, maturing on February 5, 2029. These unsecured debt notes pay contingent coupons only when Carnival’s share price is at or above a set coupon barrier on scheduled observation dates.
The notes can be automatically called early if Carnival’s share price is at or above the initial level on an observation date, returning principal plus the applicable coupon and ending the investment. If never called and the final share price is below a downside threshold at maturity, investors suffer a loss matching Carnival’s percentage decline and could lose their entire principal. All payments depend on UBS’s credit; the notes are not listed, require a minimum $1,000 investment, and have an estimated initial value of $9.69 per $10 note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of CrowdStrike Holdings, Inc., maturing on or about February 3, 2028. These are unsecured, unsubordinated debt obligations of UBS, not deposits and not FDIC insured.
Investors receive a contingent coupon only when CrowdStrike’s closing share price on an observation date is at or above a preset coupon barrier. If on any non-final observation date the share price is at or above the initial level, the notes are automatically called and pay back principal plus the applicable coupon; no further payments are made.
If the notes are not called and the final share level is at or above a downside threshold, UBS repays the $10 principal per Note. If the final level is below that threshold, repayment is reduced in line with CrowdStrike’s negative return, and investors can lose some or all of their investment. The estimated initial value is between $9.49 and $9.74 per $10 Note, and the minimum investment is 100 Notes.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Charter Communications, Inc., maturing February 3, 2028. These unsecured debt notes pay contingent coupons only when the stock closes at or above a preset coupon barrier on observation dates.
The notes can be automatically called before maturity if the stock closes at or above its initial level on any observation date, in which case investors receive principal plus any due coupon and no further payments. If the notes are not called and the stock is at or above a downside threshold at maturity, principal is repaid; if it is below that threshold, repayment is reduced in line with the stock’s decline and investors can lose their entire investment.
All payments depend on UBS’s creditworthiness, the notes will not be listed on any exchange, they are sold in minimum investments of $1,000 at $10 per note, and the estimated initial value is $9.61 per note as of the trade date.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Carnival Corporation, with a minimum investment of 100 Notes at $10 per Note and a term of approximately three years, maturing on February 5, 2029.
Investors receive contingent coupons only if Carnival’s share price on each observation date is at or above a coupon barrier; otherwise no coupon is paid. The Notes are automatically called early if the share price is at or above the initial level on an observation date, in which case investors receive principal plus any due coupon and no further payments.
If the Notes are not called and the final share level is at or above a downside threshold, investors receive only their principal back; if it is below the threshold, repayment is reduced in line with the share’s decline, and the entire investment can be lost. All payments depend on UBS’s credit, and the estimated initial value per Note is expected between $9.31 and $9.56, below the $10 issue price.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the shares of the iShares Silver Trust ETF. These unsecured debt notes pay a contingent coupon only if the ETF’s closing level on each observation date is at or above a defined coupon barrier.
The notes can be automatically called early if the ETF’s level on any observation date before maturity is at or above the initial level; in that case, investors receive the principal plus the applicable contingent coupon and no further payments. If not called and the final level on February 1, 2027 is at or above the downside threshold, investors receive full principal back, potentially with a final contingent coupon.
If the notes are not called and the final ETF level is below the downside threshold, repayment is reduced in line with the ETF’s decline, and investors can lose their entire investment. Payments depend on UBS’s creditworthiness. The notes are not exchange-listed, have a minimum investment of 100 notes at $10 each, and an estimated initial value of $9.55 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Charter Communications, Inc., maturing on or about February 3, 2028. These unsecured, unsubordinated notes pay contingent coupons only if the stock closes at or above a specified coupon barrier on each observation date.
The notes can be automatically called before maturity if the stock closes at or above the initial level on any observation date, in which case investors receive principal plus any due coupon and no further payments. If not called, investors receive principal at maturity only if the final stock level is at or above a downside threshold; otherwise, repayment is reduced in line with the stock’s decline and can fall to zero.
The minimum investment is 100 notes at $10 per note, and the estimated initial value per note on the trade date is expected between $9.32 and $9.57. All payments depend on UBS’s creditworthiness, and the notes are not listed on any securities exchange and are described as significantly riskier than conventional debt instruments.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the shares of the iShares Silver Trust. These unsecured debt securities pay a contingent coupon only when the ETF’s closing level on an observation date is at or above a preset coupon barrier.
The notes can be called early if the ETF closes at or above the initial level on any observation date before maturity, in which case investors receive principal plus the applicable contingent coupon and no further payments. If the notes are not called and the final level is at or above the downside threshold, principal is repaid; if it is below the downside threshold, repayment is reduced in line with the ETF’s decline and investors can lose all of their investment. All payments depend on UBS’s creditworthiness, the notes are not listed, and the preliminary examples reference a $10 denomination, a 6.98% per annum contingent coupon rate, and a downside threshold and coupon barrier set at 55% of the initial level.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Microsoft Corporation, maturing on February 3, 2028. These unsecured debt obligations pay a contingent coupon only when Microsoft’s closing level on an observation date is at or above a preset coupon barrier.
The notes can be automatically called early if Microsoft’s stock closes at or above the initial level on any observation date before maturity, in which case investors receive the $10 principal per Note plus the applicable contingent coupon and no further payments. If the notes are not called and Microsoft’s final level is at or above the downside threshold, investors receive their principal back at maturity, potentially with a final contingent coupon.
If the notes are not called and 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 hypothetical terms illustrate a 10.78% per annum contingent coupon and an 80% downside threshold and coupon barrier. The estimated initial value is $9.75 per $10 Note, the minimum investment is 100 Notes ($1,000), the notes will not be listed on any exchange, and all payments are subject to UBS’s creditworthiness.
UBS AG is offering $200,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Humana Inc., maturing on February 3, 2028. These unsecured debt notes pay contingent coupons only when Humana’s share price on an observation date is at or above a preset coupon barrier.
The notes are automatically called early if Humana’s stock closes at or above the initial level on any observation date before maturity, returning principal plus any due coupon and ending future payments. If not called, investors receive full principal at maturity only if the final stock level is at or above a downside threshold.
If the final level is below the downside threshold, repayment per $10 note is reduced in line with Humana’s percentage decline, and all principal can be lost. Payments depend on UBS’s credit; a default could result in a total loss. The notes are not listed, have a minimum $1,000 investment, and an estimated initial value of $9.77 per $10 note.