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 $980,000 of Buffer Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index and the S&P 500 Index, maturing January 31, 2029.
The Notes pay a 9.00% per annum contingent coupon ($7.50 monthly) only when both indices close at or above 80% of their initial levels. UBS can call the Notes monthly after three months, repaying principal plus any due coupon.
If the Notes are not called and either index finishes below its 80% downside threshold, investors suffer a loss matching the decline of the worst index beyond the 20% buffer and could lose almost all principal. The Notes are unsecured UBS debt, fully exposed to UBS credit risk.
UBS AG is offering $1.5 million of Trigger Callable Contingent Yield Notes linked to the least performing of Berkshire Hathaway Class B, Meta Platforms and Palantir common stock, maturing on January 25, 2029. Each Note has a $1,000 principal amount.
The Notes pay a 30.00% per annum contingent coupon ($25 per month per $1,000) only if, on an observation date, the closing level of each stock 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 starting after three months, returning principal plus any due coupon.
If not called and, at maturity, every stock is at or above its downside threshold (60% of initial level), investors receive full principal back, plus any final coupon if barriers are met. If any stock finishes below its downside threshold, repayment is reduced one-for-one with the loss on the worst performer, and all principal can be lost. All payments depend on UBS’s credit; the estimated initial value is $987.50 per $1,000 Note, below the issue price.
UBS AG is offering $1,739,000 of Trigger Autocallable Yield Notes linked to shares of the iShares® Silver Trust. The nine‑month Notes pay a fixed 16.55% per annum coupon in equal monthly installments, regardless of ETF performance, unless the Notes are automatically called.
The Notes are automatically called, and principal repaid, if SLV’s closing level on any monthly observation date (after three months) is at or above the call threshold of $92.91, 100% of the initial level. If not called and the final level on October 23, 2026 is at or above the downside threshold of $65.04 (70% of the initial level), investors receive full principal at maturity plus the last coupon.
If the Notes are not called and the final level is below the downside threshold, the maturity payment is $1,000 times (1 + underlying return), causing losses matching SLV’s percentage decline and potentially a total loss of principal. All payments depend on UBS’s credit, and the estimated initial value is $956.60 per $1,000 Note, below the issue price.
UBS AG is offering $3,359,000 of Trigger Autocallable Contingent Yield Notes linked to the Russell 2000® Index, maturing January 26, 2029. The notes pay an 8.80% per annum contingent coupon (about $22 per $1,000 quarterly) only when the index closes at or above the coupon barrier, set at 2,001.872, or 75% of the 2,669.162 initial level.
The notes may be automatically called quarterly after 12 months if the index is at or above the call threshold of 2,669.162 (100% of the initial level), returning principal plus that period’s coupon. If not called and the final level is at or above the downside threshold (also 75% of the initial level), investors receive full principal at maturity.
If the notes are not called and the index finishes below the downside threshold, repayment is reduced dollar-for-dollar with the index’s percentage loss, and investors can lose all principal. Payments depend entirely on UBS’s credit, the notes will not be listed, the estimated initial value is $980.70 per $1,000, and the U.S. tax treatment is complex and uncertain.
UBS AG is offering $3,022,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the common stock of Broadcom Inc., maturing on January 26, 2029. The notes pay a contingent coupon at a rate of 14.50% per annum, but only for quarters when Broadcom’s closing share price is at or above the coupon barrier of $192.03, which is 60% of the initial level of $320.05. Missed coupons can be "remembered" and paid later if a future observation meets the barrier.
The notes can be automatically called quarterly, starting about six months after issuance, if Broadcom closes at or above the call threshold of $320.05 (100% of the initial level). In that case, investors receive principal plus the applicable coupon and any unpaid coupons, and the investment ends early.
If the notes are not called and Broadcom’s final level on January 23, 2029 is at or above the downside threshold of $192.03, investors receive full principal back, plus any due coupons. If the final level is below the downside threshold, repayment is reduced one-for-one with Broadcom’s percentage decline from the initial level, and investors can lose most or all of their principal. Payments depend on UBS’s credit, the notes will not be listed, and the estimated initial value is $971.30 per $1,000 note, reflecting embedded fees and hedging costs.
UBS AG, through its London Branch, is offering Phoenix Autocallable Buffer Notes with Memory Interest linked to the common stock of Eli Lilly and Company. Each Note has a $1,000 principal amount, a minimum investment of 10 Notes, and a term of approximately 54 weeks unless called earlier.
On each quarterly interest observation date, investors receive a fixed contingent interest payment of at least $44.525 per Note if Eli Lilly’s closing price is at or above an interest barrier set at 85% of the initial price. Missed coupons can be paid later under a memory interest feature if the barrier is later met. The Notes are autocallable: if Eli Lilly closes at or above the initial price on any autocall observation date, UBS repays principal on the related payment date plus the due and any previously unpaid contingent interest.
If the Notes are not called and the final price on the valuation date is at or above the downside threshold, also 85% of the initial price, UBS repays full principal plus any contingent interest then due and any unpaid past coupons. If the final price is below the downside threshold, investors receive a cash equivalent based on a share delivery amount, causing losses that increase about 1.1765% for each 1% the final price falls below the threshold, up to a total loss of principal.
The Notes are unsubordinated, unsecured debt of UBS and all payments depend on UBS’s credit. The estimated initial value is expected between $953.80 and $983.80 per $1,000 Note, reflecting dealer discounts, hedging and internal funding. The Notes will not be listed on any exchange, and UBS Securities LLC and affiliates may, but are not required to, make a secondary market. The disclosure highlights significant risks, complex U.S. tax treatment and suitability only for investors who can tolerate potential loss of all invested principal.
UBS AG plans to issue Trigger Autocallable Contingent Yield Notes with Memory Interest linked to NVIDIA Corporation common stock, maturing around February 3, 2028. These unsecured senior notes pay a high contingent coupon of 17.90% per annum only when NVIDIA’s closing share price on a monthly observation date is at or above an 80% coupon barrier.
The notes can be automatically called monthly after three months if NVIDIA closes at or above 110% of its initial level; in that case, holders receive principal plus the due coupon and any previously missed coupons under the “memory” feature, and the investment ends early. If the notes are not called and NVIDIA’s final level is at or above a 60% downside threshold, investors receive full principal at maturity. If the final level is below that threshold, repayment is reduced in line with NVIDIA’s percentage decline, and all principal can be lost.
UBS highlights significant risks: the possibility of losing most or all of the initial investment, receiving no coupons, lack of listing or assured liquidity, an estimated initial value below the $1,000 issue price due to fees and funding costs, and full exposure to UBS’ credit and Swiss resolution regime powers. The notes also forgo dividends and upside participation in NVIDIA stock.
UBS AG is offering $120,000 of Trigger Autocallable Contingent Yield Notes linked to Albemarle Corporation common stock, maturing on January 29, 2029. The notes pay a high contingent coupon only when Albemarle’s share price is at or above a preset coupon barrier on observation dates.
The notes can be automatically called before maturity if Albemarle’s stock is at or above the initial level, returning the $10 principal per note plus any due coupon, after which no further payments occur. If never called and the final stock level is at or above the downside threshold, investors receive only principal, plus the final coupon if the barrier is met.
If the final level is below the downside threshold, repayment is reduced in line with Albemarle’s percentage decline, and the entire investment can be lost. Example terms show a 21.58% annual contingent coupon, with a $0.5395 coupon per period and both the downside threshold and coupon barrier at $60. The estimated initial value is $9.67 per $10 note, and all payments depend on UBS’s credit.
UBS AG is offering $150,000 of Trigger Autocallable Contingent Yield Notes linked to Microsoft common stock, maturing on January 29, 2027. These unsecured debt notes can pay contingent coupons only when Microsoft’s share price on an observation date is at or above a preset coupon barrier.
The notes are automatically called early if Microsoft’s share price on any observation date before maturity is at or above the initial level, in which case investors receive the $10 principal per Note plus the applicable contingent coupon, and the product ends. If the notes run to maturity and Microsoft’s final share level is at or above the downside threshold, investors receive full principal back.
If the notes are not called and Microsoft’s final share level is below the downside threshold, repayment is reduced dollar‑for‑dollar with the stock’s percentage decline, and investors can lose all of their investment. The minimum investment is $1,000, and the estimated initial value is $9.77 per $10 Note. All payments depend on UBS’s creditworthiness.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Albemarle Corporation, maturing on or about January 29, 2029. These are unsecured, unsubordinated debt obligations of UBS, not bank deposits and not FDIC insured.
Investors can receive periodic contingent coupons only when Albemarle’s 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 applicable contingent coupon and no further payments.
If the notes are not called and Albemarle’s final share price is at or above a downside threshold, investors receive full principal at maturity, with any final contingent coupon if the coupon barrier is also met. If the final share price is below the downside threshold, repayment is reduced in line with the stock’s decline and investors can lose all of their investment. Payments depend entirely on UBS’s credit. The notes will not be listed, require a minimum purchase of 100 notes at $10 each, and have an estimated initial value between $9.35 and $9.60 per note.