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 unsecured Trigger Autocallable Contingent Yield Notes linked to the shares of the iShares Silver Trust. The Notes pay a contingent coupon only when the ETF’s closing level on an observation date is at or above a preset coupon barrier; otherwise no coupon is paid.
The Notes can be automatically called before maturity if the ETF closes at or above its initial level on any observation date, in which case investors receive principal plus any due coupon and the Notes terminate. If not called, principal is fully repaid at maturity only if the final level is at or above a downside threshold; below that level, repayment is reduced in line with the ETF’s percentage decline and investors can lose all of their investment.
The Notes are subject to UBS credit risk, will not be listed on an exchange, have a minimum investment of 100 Notes at $10 each, and an estimated initial value between $9.34 and $9.59 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Freeport-McMoRan Inc., maturing around January 31, 2028. These unsecured debt notes pay a contingent coupon only when the stock closes at or above a preset coupon barrier on each observation date.
The notes are automatically called early if the stock closes at or above the initial level on any observation date before the final valuation date; in that case, investors receive the $10 principal per note plus any due 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 their full principal at maturity.
If the notes are not called and the final stock level 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 offered at $10 per note, in minimum investments of 100 notes, with an estimated initial value between $9.42 and $9.67 per note based on UBS’s internal models. All payments depend on the creditworthiness of UBS, and the notes will not be listed on an exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Meta Platforms, Inc. with a scheduled maturity on January 31, 2028.
The notes can pay contingent coupons only when Meta’s closing level on an observation date is at or above a preset coupon barrier. They are automatically called early if Meta’s level on any observation date (before maturity) is at or above the initial level, in which case investors receive principal plus the applicable coupon and the notes terminate.
If the notes are not called and Meta’s final level is at or above the downside threshold, investors receive the $10 principal per note at maturity (plus any final coupon if the coupon barrier is also met). If the final level is below the downside threshold, repayment is reduced in line with Meta’s negative return, and the investment can lose all principal. All payments depend on UBS’s credit; an issuer default could result in a total loss. The notes are not listed, have a minimum investment of 100 notes at $10 each, and an estimated initial value of $9.71 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Meta Platforms, Inc., maturing on or about January 31, 2028. These unsecured notes pay a contingent coupon only if Meta’s share price on each observation date is at or above a preset coupon barrier.
The notes can be called early if Meta’s share price is at or above the initial level on any observation date before maturity, in which case investors receive the principal plus that period’s contingent coupon and no further payments. If the notes are not called and Meta’s final level is at or above the downside threshold, investors receive full principal back; if it is below the downside threshold, repayment is reduced in line with Meta’s decline, and all principal can be lost.
The notes are subject to UBS credit risk, will not be listed on any exchange, and require a minimum investment of 100 notes at $10 each. The estimated initial value per note on the trade date is expected to be between $9.41 and $9.66, reflecting UBS’ internal pricing models and funding considerations.
UBS AG is offering $775,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index, maturing on July 30, 2027.
The notes pay a contingent coupon at a 12.25% per annum rate, in monthly installments of $10.2083 per $1,000 note, but only when all three indices close at or above their coupon barriers, set at 70% of initial levels. UBS can call the notes in whole, beginning after three months, on any monthly observation date; if called, investors receive principal plus any due coupon, and the product terminates early.
If not called and each index finishes at or above its 70% downside threshold, investors receive full principal at maturity. If any index ends below its downside threshold, repayment is reduced in line with the negative return of the worst-performing index, and investors can lose some or all of their initial investment. The notes are unsecured obligations of UBS, carry UBS credit risk, will not be listed, and have an estimated initial value of $982 per $1,000 note, below the issue price.
UBS AG is offering $200,000 of Trigger Autocallable Contingent Yield Notes linked to Oracle Corporation common stock, maturing January 31, 2028. These unsecured notes can pay a high contingent coupon, but coupons are only paid when Oracle’s closing price is at or above a preset coupon barrier on each observation date.
The notes may be automatically called before maturity if Oracle’s price on any observation date reaches or exceeds the initial level. In that case, investors receive the $10 principal per note plus the applicable contingent coupon, and the investment ends.
If the notes are not called, principal is protected at maturity only if the final Oracle price is at or above the downside threshold, set at 60% of the initial level in the hypothetical examples. If the final price is below this threshold, repayment is reduced in line with Oracle’s decline, and investors can lose all of their investment.
The hypothetical contingent coupon rate is 19.66% per year, with an example quarterly coupon of $0.4915 per $10 note, reflecting the higher income potential but also higher risk. The minimum purchase is 100 notes ($1,000), and the estimated initial value is $9.79 per $10 note, based on UBS’s internal pricing models.
UBS AG is offering $500,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of NIKE, Inc., maturing on January 30, 2029. These are unsubordinated, unsecured UBS debt securities, not bank deposits and not FDIC insured.
Investors receive contingent coupons only if NIKE’s closing level on each observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period. Starting about six months after issuance, the notes are automatically called if NIKE’s level on an observation date is at or above the initial level, returning principal plus any due coupon, with no further payments.
If the notes are not called and NIKE’s final level is at or above a downside threshold, UBS repays principal at maturity. If the final level is below the downside threshold, repayment is reduced in line with NIKE’s decline and can fall to zero, resulting in loss of all principal. All payments depend on UBS’s creditworthiness. The notes are offered in $10 denominations, minimum 100 notes, and will not be listed on any exchange; UBS estimates the initial value at $9.71 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Oracle Corporation, maturing on or about January 31, 2028. These are unsecured, unsubordinated debt obligations with payments fully dependent on UBS’s creditworthiness.
The Notes can pay periodic contingent coupons only if Oracle’s share price on each observation date is at or above a specified coupon barrier. They are automatically called early if Oracle’s stock closes at or above the initial level on any observation date before the final valuation date, in which case investors receive principal plus the applicable contingent coupon and no further payments.
If not called, and Oracle’s final share level is at or above the downside threshold, investors receive the full principal at maturity (plus any final contingent coupon if the coupon barrier is met). If the final level is below the downside threshold, the redemption amount is reduced in line with the percentage decline in Oracle’s stock, and investors can lose all of their initial investment. The Notes are not listed, have an expected minimum purchase of 100 Notes at $10 per Note, and an estimated initial value between $9.44 and $9.69 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of NIKE, Inc., maturing on or about January 30, 2029. These are unsecured, unsubordinated debt obligations of UBS.
Investors receive contingent quarterly coupons only when NIKE’s share price is at or above a preset coupon barrier on the relevant observation date. The notes can be automatically called after six months if NIKE’s share price is at or above the initial level, in which case investors receive principal plus the applicable coupon and the product terminates early.
If the notes are not called, principal is protected at maturity only if NIKE’s final share price is at or above a downside threshold. If it is below that threshold, repayment is reduced in line with NIKE’s percentage decline, and investors can lose all of their initial investment. All payments depend on the creditworthiness of UBS, and the notes will not be listed on any exchange. The preliminary document also highlights that the estimated initial value, based on UBS internal models, will be below the public issue price.
UBS AG is offering $200,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Amazon.com, Inc., maturing on January 31, 2028. These unsecured debt securities pay a contingent coupon only when Amazon’s share price on an observation date is at or above a preset coupon barrier.
The notes can be called early if Amazon’s stock is at or above the initial level on any observation date, returning principal plus the applicable contingent coupon, after which no further payments are made. If not called, and the final stock level is at or above the downside threshold, investors receive full principal back; if it is below the downside threshold, repayment is reduced in line with the stock’s decline, up to a total loss of principal.
Illustrative terms include a $10 principal amount per Note, a term of about two years from the January 28, 2026 trade date, a hypothetical 10.84% per annum contingent coupon rate, and both the coupon barrier and downside threshold set at 70% of the initial stock level. The notes are not listed on any exchange, carry significant market and issuer credit risk, and their estimated initial value on the trade date is $9.79 per $10 Note.