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 Contingent Income Auto-Callable Securities due on or about February 3, 2028, linked to the worst performer of Apple, Amazon and Alphabet Class A shares. Each $1,000 security targets quarterly contingent payments of $36.25 (equivalent to 14.50% per annum) if on a determination date the closing price of each stock is at or above 60% of its initial price. If any stock is below that coupon barrier, no payment is made for that period.
If on any non-final determination date all three stocks are at or above 100% of their initial prices, the note is automatically redeemed for $1,000 plus the applicable contingent payment. If the note is outstanding to maturity and any stock finishes below 60% of its initial price, the repayment is reduced in line with the worst-performing stock’s loss, and can fall to zero. Investors do not participate in any stock price appreciation, forgo dividends, face limited or no liquidity, and are fully exposed to UBS credit risk. The estimated initial value is expected between $924.20 and $954.20 per $1,000.
UBS AG is offering trigger autocallable contingent yield notes linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index with a contingent coupon rate of 12.00% per annum ($10 per $1,000 note per month) payable only when the index closes at or above a coupon barrier set at 60% of the initial level on monthly observation dates.
The notes can be automatically called after six months if the index is at or above the call threshold of 100% of the initial level, returning principal plus the applicable coupon; after a call, no further payments are made. If the notes are not called and, at maturity, the index is at or above a downside threshold of 50% of the initial level, investors receive back principal; if it is below that level, repayment is reduced one-for-one with the index loss, and investors can lose all of their investment.
The notes are unsubordinated, unsecured UBS debt, fully exposed to UBS credit risk, and the estimated initial value is expected between $898.80 and $928.80 per $1,000 note. The underlying index uses S&P 500 E-mini futures with up to 500% leverage, a 40% volatility target and a 6.0% per annum daily decrement, features that can significantly drag performance and increase volatility.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index, maturing around February 11, 2031. Each Note has a $1,000 principal amount and pays a 14.50% per annum contingent coupon (monthly installments of $12.0833) only when the index closes at or above a coupon barrier set at 60% of the initial level on the relevant observation date.
The Notes can be automatically called after six months if the index closes at or above a call threshold of 100% of the initial level on an observation date, in which case holders receive principal plus the applicable coupon and the Notes terminate early. If the Notes are not called and the index at final valuation is at or above a downside threshold of 50% of the initial level, investors receive full principal at maturity. If the final index level is below the downside threshold, repayment is reduced one-for-one with the index loss, and holders can lose all of their investment.
The underlying index uses leverage of up to 500%, targets 40% volatility, and applies a 6.0% per annum daily decrement, all of which can significantly drag performance and increase risk. The estimated initial value per Note is expected between $925.20 and $955.20, below the $1,000 issue price, reflecting fees, hedging and funding costs. Payments depend entirely on the creditworthiness of UBS; if UBS defaults, investors may recover nothing.
UBS AG is offering unsecured Buffered Digital Notes linked to the S&P 500® Index, maturing on or about February 18, 2027. Each Note has a $1,000 principal amount and a minimum investment of $10,000. At maturity, if the index level is at or above a downside threshold set at 90% of the initial level (a 10% buffer), investors receive principal plus a fixed digital return of at least 8.11%, regardless of further upside in the index.
If the final index level is below the downside threshold, repayment is reduced using a downside leverage factor of about 1.1111, causing a loss of roughly 1.1111% of principal for each 1% decline beyond the 10% buffer, up to a total loss of principal. The Notes pay no interest, do not provide dividends, and all payments depend on the creditworthiness of UBS AG. UBS expects the estimated initial value to range between $958.20 and $988.20 per $1,000 Note.
UBS AG, through its London Branch, is offering unsecured Airbag Yield Notes linked to the least performing of the iShares MSCI EAFE ETF and the Nasdaq-100 Index, maturing on April 1, 2027. Each $1,000 Note pays fixed monthly coupons at a rate of 6.90% per annum, regardless of the underlying assets’ performance.
At maturity, if the final level of each underlying is at or above its downside threshold of 80% of its initial level, investors receive the full $1,000 principal. If any underlying finishes below its threshold, the payoff is reduced based on the least performing underlying: investors lose 1.25% of principal for every 1% decline beyond the 20% threshold, and can lose their entire investment.
The Notes are unsubordinated but unsecured debt obligations of UBS, not insured by any governmental agency, will not be listed on an exchange and may have limited or no secondary market. An estimated initial value per Note is expected to be between $968.40 and $998.40. U.S. federal tax treatment is complex and uncertain, and investors are urged to consult tax advisors.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the common stock of Expedia Group, Inc., maturing on or about February 9, 2029. Each Note has a $1,000 principal amount and pays a 13.00% per annum contingent coupon (about $32.50 per quarter) only when Expedia’s closing level on a quarterly observation date is at or above a coupon barrier set at 60% of the initial level.
The Notes can be automatically called on quarterly dates starting after six months if Expedia’s stock is at or above the call threshold, set at 100% of the initial level, returning principal plus the due and any previously unpaid coupons. If not called, and the final stock level is at or above the 60% downside threshold, investors receive full principal back. If the final level is below that threshold, repayment is reduced one-for-one with Expedia’s decline, and investors can lose all principal. The Notes are unsecured, unsubordinated debt of UBS, not listed on any exchange, and all payments depend on UBS’s credit. The preliminary estimated initial value per Note is between $942.90 and $972.90, versus a $1,000 issue price.
UBS AG is offering $175,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of EQT Corporation, maturing on January 28, 2028. These unsecured debt securities pay a contingent coupon only if EQT’s closing share price on an observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The Notes are automatically called if EQT’s share price on any observation date before maturity is at or above the initial level, in which case holders receive the principal plus any due contingent coupon, and the Notes terminate. If not called and EQT’s final level is at or above the downside threshold, investors receive their principal at maturity; if it is below the downside threshold, repayment is reduced in line with EQT’s decline and can fall to zero.
The Notes are subject to UBS credit risk, are not insured or listed on an exchange, and may be difficult to sell. The minimum investment is 100 Notes at $10 each, and the estimated initial value per Note on the trade date is $9.65, based on UBS’ internal pricing models.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Netflix, Inc.. These unsecured debt notes pay a contingent coupon on each observation date only if Netflix’s closing share price is at or above a preset coupon barrier; otherwise no coupon is paid.
The notes may be automatically called early if Netflix’s share price on any observation date before maturity is at or above the initial level, in which case investors receive the principal back plus any due coupon and no further payments. If the notes are not called and Netflix’s final level at maturity is at or above a downside threshold, investors receive the principal back, with a possible final coupon. If the final level is below the downside threshold, repayment is reduced in line with the share price decline and investors can lose all of their investment.
The notes have a principal amount of $10 per note, an expected two-year term from January 28, 2026 to January 28, 2028, are not listed on any exchange, and any payment depends on the creditworthiness of UBS. The estimated initial value is $9.80 per $10 note, reflecting UBS’s internal pricing and funding costs.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of EQT Corporation, maturing on or about January 28, 2028. These unsecured debt notes can pay a contingent coupon only when EQT’s closing price on an observation date is at or above a specified coupon barrier; otherwise, no coupon is paid for that period.
The notes are automatically called early if EQT’s stock closes at or above the initial level on any observation date before maturity, in which case investors receive the $10 principal per Note plus the applicable contingent coupon and no further payments. If the notes are not called and EQT’s final level on January 26, 2028 is at or above the downside threshold, UBS repays the $10 principal per Note, potentially with a final contingent coupon. If the final level is below the downside threshold, repayment is reduced in line with EQT’s percentage loss, and investors can lose all of their investment.
The minimum investment is 100 Notes at $10 each. The estimated initial value per Note on the trade date is expected to be between $9.31 and $9.56, based on UBS’s internal pricing models. All payments depend on UBS’s creditworthiness, and the notes will not be listed on any exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Netflix, Inc. common stock, maturing on or about January 28, 2028. These unsecured debt notes pay contingent coupons only if Netflix’s closing price on each observation date is at or above a specified coupon barrier; otherwise no coupon is paid for that period.
The notes are automatically called early if Netflix’s closing level on any observation date before final valuation is at or above the initial level, in which case holders receive principal plus the applicable contingent coupon and the product terminates. If the notes are not called and Netflix’s final level is at or above a downside threshold on the final valuation date, investors receive principal at maturity; if the final level is below the downside threshold, repayment is reduced in line with the stock’s decline and can fall to zero.
The notes are senior unsecured obligations of UBS AG, subject to its credit risk, will not be listed on an exchange, and have a minimum investment of 100 notes at $10 per note. The estimated initial value per $10 note on the trade date is expected to be between $9.50 and $9.75, reflecting UBS internal pricing and funding assumptions.