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 $539,000 of Buffer Callable Contingent Yield Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, maturing in February 2029.
The Notes pay a 9.80% per annum contingent coupon ($8.1667 per month per $1,000) only if, on each monthly observation date, both indices close at or above their coupon barriers, set at 85% of initial levels (2,255.514 for Russell 2000 and 5,931.33 for S&P 500). UBS may call the Notes in whole on any observation date after 12 months, returning principal plus any due coupon.
If the Notes are not called and either index finishes below its downside threshold (also 85% of its initial level), investors lose principal based on the decline of the worst-performing index beyond the 15% buffer, and could lose almost all of their investment. The Notes are unsecured obligations of UBS, with an estimated initial value of $980.90 per $1,000, and carry both market and issuer credit risk.
UBS AG is offering $500,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to Flutter Entertainment plc common stock. The Notes pay a 10.55% per annum contingent coupon ($26.375 per quarter per $1,000) only if Flutter’s closing price on each observation date is at or above the coupon barrier of $108.37, equal to 65% of the $166.73 initial level.
The Notes can be automatically called quarterly after six months if Flutter closes at or above the call threshold of $166.73 (100% of the initial level), in which case investors receive principal plus any due and previously unpaid coupons and the Notes terminate. If not called and Flutter’s final level is at or above the $108.37 downside threshold, investors receive full principal at maturity in February 2029.
If the final level is below the downside threshold, repayment is reduced one-for-one with Flutter’s decline, and investors can lose all principal. The Notes are unsubordinated, unsecured UBS obligations, not insured by any government agency. The estimated initial value is $950.20 per $1,000 Note, lower than the issue price, and the Notes will not be listed, so secondary liquidity may be limited.
UBS AG is offering $1,983,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector and Russell 2000 Index, maturing in February 2029.
The notes pay a 10.55% per annum contingent coupon only when all three indices stay at or above 70% of their initial levels on monthly observation dates. UBS can call the notes after three months, repaying principal plus any due coupon. If held to maturity and any index finishes below 60% of its initial level, investors take a loss matching that index’s decline and can lose their entire principal. All payments depend on UBS’s creditworthiness.
UBS AG is offering Airbag Callable Contingent Yield Notes linked to the worst performer of the Nasdaq-100® Technology Sector Index and the S&P 500® Index, maturing on February 2, 2027, with a $1,000 principal amount per Note.
The Notes pay a contingent coupon of 12.00% per annum ($10.00 per month) only if, on each monthly observation date, both indices close at or above their coupon barriers, set at 85.00% of their initial levels. UBS may call the Notes in whole on any observation date beginning after three months, returning principal plus any due coupon.
If the Notes are not called and either index finishes below its downside threshold (also 85.00% of its initial level), repayment at maturity is reduced on a leveraged basis. Investors lose approximately 1.1765% of principal for each 1% decline in the worst-performing index beyond the 15.00% buffer, and can lose their entire investment. All payments depend on UBS’s credit; default by UBS could result in a total loss. The estimated initial value is between $961.50 and $991.50 per $1,000 Note.
UBS AG is offering Contingent Income Auto-Callable Securities linked to the worst performer of Apple, Amazon and Alphabet Class A common stock, maturing around February 10, 2028. Each security has a stated principal amount of $1,000.
Investors can receive a contingent payment of $25 per security (10.00% per annum) on each quarterly determination date if the closing price of every underlying stock is at or above 50% of its initial price (the coupon barrier level). If any stock is below its barrier, no payment is made for that period.
If, on any non-final determination date, all three stocks close at or above 100% of their initial prices (call threshold levels), the notes are automatically redeemed for $1,000 plus the applicable $25 contingent payment, ending the investment early.
At maturity, if all final stock prices are at or above their 50% downside threshold levels, investors receive $1,000 plus any final contingent payment. If any stock finishes below its downside threshold, repayment is reduced in line with the worst-performing stock’s percentage loss, and investors can lose most or all of their principal.
The notes pay no dividends, do not participate in stock price appreciation, are expected to have an initial estimated value between $921.10 and $951.10 per $1,000, will not be listed on an exchange and are unsecured, unsubordinated obligations subject to the credit risk of UBS AG.
UBS AG is offering trigger callable contingent yield notes linked to the worst performer of the Russell 2000 Index and the S&P 500 Index, maturing around February 2, 2028. The notes pay an 8.40% per annum contingent coupon only if both indices close at or above 70% of their initial levels on monthly observation dates.
UBS may call the notes in whole, beginning after three months, paying back principal plus any due coupon; after a call, no further payments are made. If the notes are not called and both indices finish at or above 55% of their initial levels, investors receive full principal at maturity.
If the notes are not called and either index finishes below its 55% downside threshold, repayment is reduced one-for-one with the decline of the worst-performing index, and investors can lose all principal. The notes are unsecured UBS debt, not FDIC insured, will not be listed on an exchange, and have an estimated initial value between $962.70 and $992.70 per $1,000 note.
UBS AG is offering Contingent Income Auto-Callable Securities linked to the common stock of The Home Depot, Inc. These unsecured notes run to about February 9, 2029 and pay a $27 contingent coupon per $1,000 on each determination date if Home Depot’s share price is at or above 80% of the 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, returning principal plus that period’s $27 coupon. If they are not called and Home Depot’s final price is below 80% of the initial level, investors receive a cash amount that falls in line with the stock’s decline, and they can lose most or all of their investment. Holders do not receive dividends or upside in the stock, the notes are not listed on any exchange, and all payments depend on UBS’s credit, with an estimated initial value between $941.30 and $971.30 per $1,000 issue price.
UBS AG is offering trigger callable contingent yield notes linked to the Russell 2000, S&P 500 and EURO STOXX 50 indexes. The notes are unsecured debt of UBS, issued in $10 denominations, with a term of about 39 months to May 2029.
Holders receive a contingent coupon only if, on every trading day in a quarter, each index stays at or above a coupon barrier set at 70% of its initial level. The indicative minimum contingent coupon rate is at least 10.65% per annum, paid quarterly when conditions are met. UBS may call the notes in whole on any quarterly observation end date before maturity, returning principal plus any due coupon.
If the notes are not called and, at maturity, any index finishes below its downside threshold of 60% of its initial level, investors take a loss matching the negative return of the worst-performing index and could lose their entire principal. All payments depend on UBS’s creditworthiness, and the notes will not be listed on an exchange.
UBS AG is offering Contingent Income Auto-Callable Securities with Memory Coupon linked to the common stock of UnitedHealth Group Incorporated, maturing on or about February 11, 2027. Each security has a stated principal amount of $1,000 and pays a contingent coupon of $38.50 per determination date, equivalent to 15.40% per annum, only if the UnitedHealth share price is at or above 75% of the initial price (the downside threshold level).
If on any non-final determination date the share price is at or above 100% of the initial price (the call threshold level), the notes are automatically redeemed early for principal plus the due coupon and any previously unpaid coupons under the memory feature. If the notes are not called and the final price is below the downside threshold, investors receive a cash amount based on the exchange ratio multiplied by the final price, which can result in a significant or total loss of principal. Investors do not participate in any upside of the underlying stock, forgo dividends, and are fully exposed to the credit risk of UBS AG.
UBS AG London Branch is offering unsecured Contingent Income Auto-Callable Securities linked to the worst performer of the Nikkei 225, Russell 2000 and S&P 500, maturing on or about February 2, 2029, in $1,000 denominations.
Investors may receive a $26.00 contingent payment per observation period (equivalent to 10.40% per annum of principal) if all three indices stay at or above 80% of their initial levels on every trading day in that period, with a memory feature that can pay previously missed coupons later.
The notes auto-call at par plus due and unpaid coupons if on an observation end date all indices are at or above 100% of initial levels. If held to maturity and any index finishes below 65% of its initial level, repayment is reduced one-for-one with the worst index’s loss, and principal can be wiped out.
Investors forgo index upside and dividends, face limited or no liquidity, and take UBS credit risk. Upfront costs are reflected in total fees of 2.25% per $1,000, and the estimated initial value is expected between $918.50 and $948.50 per security.