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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 unsecured Trigger Callable Contingent Yield Notes linked to the least performing of three underlying assets: the SPDR S&P Regional Banking ETF (KRE), the Nasdaq-100 Technology Sector Index (NDXT) and the Russell 2000 Index (RTY). The Notes have a $1,000 minimum denomination, expected two-year term from February 2026 to February 2028, and pay a 12.00% per annum contingent coupon, or $10.00 per month, only if on each monthly observation date every underlying is at or above its coupon barrier set at 65% of its initial level.

UBS may call the Notes in whole on any monthly observation date beginning after three months, paying back principal plus any due coupon, after which no further payments are made. If the Notes are not called and the final level of each underlying is at or above its downside threshold of 60% of its initial level, investors receive full principal at maturity plus any final contingent coupon. If, instead, any underlying finishes below its downside threshold, repayment is reduced in line with the negative return of the worst performer, and investors can lose a significant portion or all of their investment.

The Notes will not be listed on any exchange, their value may fluctuate with the underlying assets, interest rates and UBS’ credit profile, and all payments are subject to the creditworthiness of UBS. The estimated initial value is expected between $954.70 and $984.70 per $1,000 Note, below the $1,000 issue price due to underwriting discounts, hedging and issuance costs.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Russell 2000 Index, S&P 500 Index and Utilities Select Sector SPDR Fund. Each Note has a $1,000 principal amount and pays a 10.20% per annum contingent coupon when all three underlyings stay at or above their coupon barriers on monthly observation dates.

The Notes run for about five years, are callable by UBS after six months, and use 70% of initial levels as coupon barriers and 60% as downside thresholds. If the Notes are not called and any underlying finishes below its downside threshold, repayment is reduced one-for-one with the worst performer, potentially to zero, and all payments depend on UBS’s credit.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the common stock of Okta, Inc., maturing on or about February 16, 2029. Each Note has a $1,000 principal amount and pays a contingent quarterly coupon at an annual rate between 10.50% and 11.50% if Okta’s share price is at or above a set coupon barrier on the observation date.

The Notes can be automatically called after six months if Okta’s stock closes at or above the call threshold, in which case investors receive principal plus the due coupon and any previously unpaid coupons, and the product terminates early. If not called and, at maturity, Okta’s final stock level is at or above the downside threshold, investors receive full principal back.

If the final level is below the downside threshold, repayment is reduced in line with Okta’s percentage decline, and investors can lose some or all of their investment. The coupon barrier and downside threshold are each set at 50% of the initial level, offering only contingent principal protection. The Notes are unsecured obligations of UBS, not listed on an exchange, and their value is also subject to UBS’s credit risk. The estimated initial value is expected to be between $938.00 and $968.00 per $1,000 Note.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Constellation Energy Corporation. Each Note has a $1,000 principal amount, a contingent coupon rate of 10.75% per annum, and matures on or about February 9, 2028.

Coupons are paid monthly only if Constellation Energy’s stock closes at or above a coupon barrier set at 65% of the initial level. The Notes can be automatically called starting after three months if the stock is at or above 85% of the initial level, in which case investors receive $1,000 plus any due coupon and the Notes terminate.

If the Notes are not called and the final stock level is at or above a downside threshold of 60% of the initial level, investors receive full principal at maturity (and possibly a final coupon). If the final level is below the downside threshold, repayment is reduced one-for-one with the stock loss, and investors can lose all principal. Payments depend entirely on UBS’s credit, and the Notes will not be listed. The estimated initial value per Note is expected to be between $938.70 and $968.70, below the $1,000 issue price due to fees, hedging and funding costs.

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UBS AG is offering unsecured Buffer Autocallable GEARS notes linked to the Russell 2000® Index, maturing on or about February 15, 2029. Each Security has a $10 principal amount and may be automatically called on the February 22, 2027 observation date if the index closes at or above 100% of its initial level, in which case investors receive principal plus a 10% call return and the trade ends early.

If the notes are not called, the maturity payment depends on index performance. Positive index returns are multiplied by an upside gearing between 1.45 and 1.65. If the index ends at or above 90% of its initial level, principal is repaid. Below that 90% downside threshold, losses exceed a 10% buffer and can reach almost the entire investment. The notes pay no interest, are not listed, and all payments depend on UBS’s creditworthiness.

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UBS AG is offering $6,803,000 of Digital S&P 500® Index-Linked Medium-Term Notes that pay no interest and return cash at maturity based on S&P 500 performance between January 28, 2026 and December 20, 2027.

For each $1,000 face amount, if the S&P 500 final level is at or above 87.50% of the 6,978.03 initial level, investors receive a capped $1,162.50 (a 16.25% maximum gain). If the index falls more than 12.50%, investors lose about 1.1429% of principal for every additional 1% decline and could lose their entire investment.

The notes are unsecured, unsubordinated obligations of UBS AG London Branch, are not FDIC insured, and will not be listed, so secondary liquidity may be limited. The estimated initial value is $998.00 per $1,000, reflecting internal funding and hedging costs. The tax treatment is uncertain and discussed as a prepaid derivative contract in respect of the index.

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UBS AG is offering $1,150,000 of Trigger Autocallable Contingent Yield Notes linked to the Class C capital stock of Alphabet Inc., maturing January 31, 2028. These are unsecured, unsubordinated UBS debt obligations with returns tied to the underlying share price.

Coupons are paid only if Alphabet’s closing level on quarterly observation dates is at or above a coupon barrier; otherwise no income is paid for that period. The notes may be called early if the underlying is at or above the initial level, returning principal plus the applicable coupon. If not called, principal is repaid at maturity only if the final level is at or above a downside threshold; otherwise repayment is reduced in line with Alphabet’s decline, and the entire investment can be lost. 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 $9.79 per note.

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UBS AG is offering $20,500,000 of Airbag Yield Notes linked to the iShares MSCI EAFE ETF and the Nasdaq-100 Index, maturing April 1, 2027. The notes pay fixed monthly coupons at a 6.90% annual rate regardless of underlying performance. Principal is repaid at maturity only if each underlying’s final level is at or above 80% of its initial level. If any underlying finishes below this downside threshold, repayment is reduced using 1.25x leveraged losses beyond the 20% buffer, and investors can lose all principal. The notes are unsecured, unsubordinated obligations of UBS AG, are not listed on any exchange, and all payments depend on UBS’s creditworthiness.

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UBS AG is offering $1,500,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to Advanced Micro Devices, Inc. common stock, maturing on January 29, 2029. Each $1,000 Note pays a contingent coupon at a rate of 17.05% per annum for any monthly observation date when AMD’s closing price is at or above the coupon barrier of $155.81, which is 60% of the initial level of $259.68.

The Notes may be automatically called on any observation date beginning after six months if AMD closes at or above the call threshold level of $259.68, returning principal plus the due coupon and any unpaid “memory” coupons. If not called, and AMD’s final level on the valuation date is at or above the downside threshold of $129.84 (50% of the initial level), investors receive full principal back.

If the Notes are not called and AMD’s final level is below the downside threshold, repayment at maturity is reduced dollar-for-dollar with AMD’s percentage decline, and investors can lose all of their investment. All payments depend on the creditworthiness of UBS, and the Notes are unsecured, unsubordinated obligations that will not be listed on any exchange.

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UBS AG is offering $5,780,000 of Contingent Income Auto-Callable Securities due February 1, 2029, linked to Atlassian Corporation common stock. The notes pay a $55 contingent coupon per $1,000 (22% per annum) on each determination date when the stock closes at or above 60% of the $133.86 initial price.

If the stock closes at or above 100% of the initial price on any non-final determination date, the notes are automatically called at $1,000 plus the coupon. If never called and the final price is below 60% of the initial price, repayment falls in line with the stock and investors can lose most or all principal. The notes are unsecured UBS debt with limited liquidity and an estimated initial value of $953.60 per $1,000.

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FAQ

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

StockTitan tracks 7996 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 January 30, 2026.