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 SEC filing 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 $2,758,000 of Digital MSCI EAFE® Index-Linked Medium-Term Notes due February 25, 2028. These unsecured notes pay no interest and their payoff depends on MSCI EAFE Index performance between January 27, 2026 and February 23, 2028.
For each $1,000 note, if the final index level is at or above 87.50% of the initial level of 3,061.23, holders receive a capped $1,149.00 (114.90% of face). If the index falls more than 12.50%, principal losses accelerate at about 1.1429% for each additional 1% decline, up to a total loss. The notes are not listed, carry UBS credit risk, and have an estimated initial value of $997.00 per $1,000 based on UBS internal models.
UBS AG is offering $6,392,000 of Trigger Callable Contingent Yield Notes, $1,000 each, linked to the least performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, maturing on August 2, 2027.
The notes pay a contingent coupon at an annual rate of 11.85% (monthly $9.875 per note) only if, on each monthly observation date, all three indices close at or above their coupon barriers, set at 70% of initial levels. UBS may call the notes in whole on any observation date starting after three months, repaying principal plus any due coupon.
If the notes are not called and, at final valuation, each index is at or above its downside threshold (also 70% of initial), investors receive full principal back. If any index finishes below its downside threshold, repayment is reduced one-for-one with the negative return of the worst-performing index, and investors can lose their entire investment. All payments depend on UBS’s credit, and the estimated initial value is $979.30 per $1,000 note.
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 term of about two years and pays a contingent coupon only when the stock closes at or above a preset coupon barrier on quarterly observation dates.
The notes can be automatically called early if the stock closes at or above a call threshold (100% of the initial level in the term sheet example), in which case investors receive principal plus the applicable contingent coupon and no further payments. If the notes are not called and the final stock level is at or above a downside threshold (50% of the initial level in the example), investors receive full principal back.
If the notes are not called and the final stock level is below the downside threshold, investors receive a fixed share delivery amount of Constellation Energy stock per Note instead of cash, which can result in a loss of a significant portion or all of the initial investment. The indicative minimum contingent coupon rate is at least 11.75% per annum, but coupons are not guaranteed. UBS estimates the initial value of each Note will be between $942.00 and $972.00, below the $1,000 issue price, and all payments are subject to UBS’s credit risk.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average®, Nasdaq-100 Index®, iShares® 20+ Year Treasury Bond ETF and Utilities Select Sector SPDR® Fund. Each Note has a $1,000 principal amount and a term of approximately five years, maturing on or about February 6, 2031.
The Notes pay a monthly contingent coupon at a rate of 10.00% per annum (about $8.3333 per month) only if, on each observation date, the closing level of every underlying asset is at or above its coupon barrier, set at 70% of its initial level. If any underlying is below its barrier, no coupon is paid for that month.
UBS may call the Notes in whole, but not in part, on any monthly observation date starting after three months, paying principal plus any due coupon; no further payments would be made. If the Notes are not called and the final level of every underlying is at or above its downside threshold, set at 60% of its initial level, investors receive full principal back at maturity.
If the Notes are not called and the final level of any underlying is below its downside threshold, repayment is reduced based on the negative return of the worst-performing underlying, and investors can lose a significant portion or all of their initial investment. All payments depend on the creditworthiness of UBS. The estimated initial value per Note is expected to be between $956.70 and $986.70, compared with the $1,000 issue price, reflecting underwriting discounts, hedging and issuance costs.
UBS AG is issuing Capped Leveraged Buffered MSCI EAFE® Index-Linked Medium-Term Notes with an aggregate face amount of $3,771,000, maturing on February 18, 2028. The notes pay no interest and all returns depend on the performance of the MSCI EAFE Index.
For each $1,000 face amount, holders receive 160% of any positive index return, capped at a maximum settlement amount of $1,248.32 (a 24.832% maximum gain). If the index falls up to 15% from the initial level of 3,061.23, principal is repaid in full at maturity.
If the index declines by more than 15%, losses are magnified: investors lose approximately 1.1765% of principal for every 1% drop below the 85% buffer level, and could lose their entire investment. The estimated initial value is $997.50 per $1,000, the notes are unsecured obligations of UBS, and there is no listing or assurance of a liquid secondary market.
UBS AG filed a Form 6-K to provide a new Swiss law opinion from Homburger AG for its Form F-3 shelf registration covering offerings of debt securities and warrants by its Jersey and London branches. The opinion replaces a prior Homburger opinion previously filed as Exhibit 5.3.
The opinion addresses matters of Swiss law only, is based solely on specified corporate and transaction documents, and relies on assumptions about UBS’s internal authorizations and signing policies. It assumes that securities issued under related board resolutions will have an aggregate initial public offering price not exceeding USD 60,000,000,000 or the equivalent in other currencies.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq‑100, Russell 2000 and S&P 500 indices. The notes pay a 10.00% per annum contingent coupon, paid monthly, but only if each index is at or above 75% of its initial level on the relevant observation date.
UBS can call the notes in whole on any monthly observation date after six months, repaying the $1,000 principal per note plus any due coupon. If the notes are not called and, at maturity in February 2027, each index is at or above its 70% downside threshold, investors receive full principal back. If any index finishes below its downside threshold, repayment is reduced one‑for‑one with the worst index’s decline, and investors can lose all principal.
The notes are unsecured obligations of UBS, not insured deposits, will not be listed on any exchange, and involve significant market and credit risk. The estimated initial value is expected between $963.30 and $993.30 per $1,000 note, reflecting fees, hedging and UBS’s internal funding rate.
UBS AG is issuing $207,000 of Step Down Trigger Autocallable Notes linked to the Solactive U.S. Large Cap Volatility Navigator Index, maturing on January 31, 2036. These unsecured notes can be automatically called quarterly after 12 months if the index closes at or above a call threshold.
The call threshold equals 100% of the initial level (272.41) on interim dates and 60% of that level (the downside threshold of 163.45) on the final valuation date. If called, investors receive $1,000 plus a call return based on a 21.00% per annum rate, increasing the longer the notes remain outstanding.
If the notes are never called and the final index level is below the downside threshold, the maturity payment equals $1,000 × (1 + underlying return), exposing investors to full downside and potentially a total loss of principal. Payments depend entirely on UBS’s credit, and the notes will not be listed, with only limited expected secondary liquidity.
UBS AG is offering unsecured Trigger Autocallable Notes linked to the least performing of Capital One Financial, Interactive Brokers Group and Marvell Technology, with a principal amount of $1,000 per Note and a term of about three years.
The notes can be automatically called monthly after 12 months if each stock closes at or above its call threshold level, set at 100% of its initial level. If called, investors receive their principal plus a call return based on a 43.30% per annum call return rate, with higher payouts the longer the notes stay outstanding.
If the notes are not called and each final stock level is at or above 60% of its initial level, investors receive only their principal back at maturity. If any stock finishes below its 60% downside threshold, repayment is reduced one-for-one with the percentage loss of the worst-performing stock, and investors can lose all principal. The estimated initial value is expected between $955.60 and $985.60 per $1,000 note, and all payments depend on UBS’s credit; the notes pay no interest, pass through no dividends, will not be listed, and may have limited or no secondary market.
UBS AG is offering $4,182,000 of Trigger Callable Contingent Yield Notes linked to the worst performer of three sector exposures: the SPDR S&P Regional Banking ETF (KRE), the Nasdaq-100 Technology Sector Index (NDXT) and the Energy Select Sector SPDR Fund (XLE).
The notes pay a 15.10% per annum contingent coupon (about $12.5833 per $1,000 monthly) only if, on each monthly observation date, every underlying stays at or above 70% of its initial level. UBS can call the notes in whole after six months, returning 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 can lose their entire investment. Payments also depend entirely on the creditworthiness of UBS as an unsecured senior issuer.