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 common stock of United Airlines Holdings, Inc., maturing on or about January 26, 2027. These notes pay a contingent coupon only when the stock closes at or above a preset coupon barrier on the quarterly observation dates, and they can be called early if the stock is at or above its initial level on any observation date after six months.
If the notes are not called and the final stock level is at or above the downside threshold, investors receive back the full principal at maturity; if it is below the threshold, repayment is reduced in line with the stock’s decline and total loss of principal is possible. The notes are minimum $10 denominations with a $1,000 minimum investment, are not listed on any exchange, are not insured, and all payments depend on the creditworthiness of UBS. The estimated initial value per note on the trade date is expected to be between $9.41 and $9.66, below the $10 issue price.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Spotify Technology S.A. stock, with a stated deal size of $100,000. These unsecured debt notes pay a contingent quarterly-style coupon only when Spotify’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 can be called early: if on any observation date before maturity Spotify’s share price is at or above the initial level, UBS automatically redeems the notes for the $10 principal per Note plus any due coupon, and all future payments stop. If the notes are never called and Spotify’s final stock level on January 24, 2028 is at or above the downside threshold, investors receive back principal (and a final coupon if the barrier is met). If the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage loss, and investors can lose all of their money.
The product has a hypothetical contingent coupon rate of 10.96% per year (about $0.274 per $10 Note per period) and a downside threshold and coupon barrier both set at 60% of the initial level. The estimated initial value is $9.74 per $10 Note. 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.
UBS AG is offering unsecured Trigger Autocallable Contingent Yield Notes linked to the common stock of Spotify Technology S.A.. These market-linked notes pay a contingent coupon only on observation dates when Spotify’s closing share price is at or above a specified coupon barrier.
The notes can be automatically called before maturity if Spotify’s share price on an observation date is at or above the initial level, in which case investors receive the principal plus any due coupon and the notes terminate. If not called, investors receive full principal at maturity only if the final share price is at or above a downside threshold; otherwise, repayment is reduced in line with Spotify’s decline and can drop to zero. Payments depend on UBS’s credit, the notes will not be listed, each note has a $10 principal amount with a 100-note minimum purchase, and the estimated initial value is expected between $9.44 and $9.69 per note.
UBS AG is offering unsecured Trigger Autocallable Notes linked to the least performing of the Nasdaq‑100, Russell 2000 and S&P 500 Index. The notes have a $1,000 principal amount, an expected term of about 5 years, and a fixed 8.76% per annum call return rate.
The notes are automatically called monthly (after 12 months) if all three indices are at or above their call threshold, initially set at 100% of each index’s initial level. If called, investors receive principal plus the accrued call return and no further payments.
If not called and each index finishes at or above its 70% downside threshold, investors receive principal only at maturity. If any index ends below its downside threshold, repayment is reduced one‑for‑one with the decline of the worst index, and investors can lose up to 100% of principal. Payments depend entirely on UBS’s credit and the notes pay no interest or dividends.
UBS AG is offering $325,000 of Trigger Autocallable Yield Notes linked to the common stock of Datadog, Inc., maturing on January 20, 2028. Each $1,000 Note pays a fixed 13.00% per annum coupon in equal monthly installments, regardless of Datadog’s share performance, unless the Notes are automatically called.
The Notes are automatically called if Datadog’s closing price on any monthly observation date (beginning after 6 months) is at or above the call threshold of $122.41, which is 100% of the initial level. On a call, investors receive $1,000 plus the due coupon and no further payments.
If not called and Datadog’s final level on January 14, 2028 is at or above the downside threshold of $67.33 (55% of the initial level), investors receive full principal back plus the final coupon. If the final level is below the downside threshold, repayment is $1,000 × (1 + underlying return), so losses mirror Datadog’s percentage decline and can reach a total loss of principal.
The Notes are unsubordinated, unsecured obligations of UBS AG, subject to UBS credit risk. They will not be listed, secondary liquidity may be limited, and the estimated initial value of each Note ($985.60) is below the $1,000 issue price. The offering includes complex risk and tax considerations.
UBS AG is offering 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, with a term of about 23 months. The Notes pay a contingent coupon at a rate of 9.35% per annum only if, on each monthly observation date, all three indexes close at or above their coupon barriers set at 70% of their initial levels. UBS can call the Notes in whole, beginning after three months, paying back the $1,000 principal per Note plus any due coupon, after which no further payments are made.
If the Notes are not called and, at maturity, any index finishes below its downside threshold (also 70% of its initial level), investors suffer a loss matching the negative return of the worst-performing index and could lose their entire investment. The estimated initial value per Note is between $943.60 and $973.60, reflecting fees and UBS’ internal funding rate. All payments depend on UBS’ credit; a default could result in a total loss.
UBS AG is offering trigger autocallable notes linked to the worst performer among the VanEck Gold Miners ETF, the SPDR S&P Regional Banking ETF and the Nasdaq-100 Index, maturing on or about February 1, 2029. Each note has a $1,000 principal amount and offers a call return rate of 26.80% per annum if, on any annual observation date, including the final valuation date, all three underlying assets are at or above 100.00% of their initial levels. In that case, the notes are automatically called and pay the applicable call price, up to $1,804.00 per note if called at maturity.
If the notes are not called and, at maturity, every underlying is at or above 60.00% of its initial level, investors receive only the $1,000 principal. If any underlying finishes below its 60.00% downside threshold, repayment is reduced one-for-one with the loss on the worst performer, and the entire investment can be lost. The notes pay no interest, do not pass through dividends, will not be listed on any exchange, and all payments depend on the creditworthiness of UBS. The estimated initial value is expected between $907.30 and $937.30 per note, below the $1,000 issue price.
UBS AG is issuing $3,531,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Russell 2000® Index and the S&P 500® Index, each in $1,000 denominations and maturing July 26, 2027. The Notes pay a contingent coupon at a rate of 9.50% per annum (about $7.9167 per month per Note) only if, on each monthly observation date, both indices close at or above their coupon barriers, set at 70% of initial levels (1,888.720 for the Russell 2000 and 4,812.93 for the S&P 500).
UBS can call the Notes in whole, beginning after six months, paying back principal plus any due coupon, after which no further coupons are paid. If the Notes are not called and either index finishes below its 70% downside threshold at maturity, the repayment is reduced in line with the loss of the worst-performing index, up to a total loss of principal. Payments depend on UBS’s credit; the estimated initial value is $984.10 per $1,000 Note, below the issue price, reflecting fees and hedging costs.
UBS AG is offering $765,000 of three-year Trigger Autocallable Contingent Yield Notes with Memory Interest linked to Applied Digital Corporation common stock. Each $1,000 Note pays a contingent coupon at a high annual rate of 26.75% (or $66.875 per quarter) only if on the relevant observation date the stock closes at or above the coupon barrier of $17.53, which is 50% of the $35.06 initial level. Missed coupons can be paid later under the memory feature if a future observation meets the barrier.
The Notes are automatically called if, beginning after six months, Applied Digital’s stock closes at or above the call threshold of $35.06 (100% of the initial level) on an observation date, returning principal plus due and previously unpaid coupons, with no further payments. If not called and the final stock level on January 22, 2029 is at or above the $17.53 downside threshold, investors receive full principal. If the final level is below that threshold, repayment is reduced in line with the stock’s percentage loss and can fall to zero.
The Notes are unsecured, unsubordinated obligations of UBS, are not principal protected, may pay no coupons, will not be listed on an exchange, and carry both market risk linked to Applied Digital’s stock and UBS credit risk. The estimated initial value is $909.30 per $1,000 Note, reflecting underwriting discounts, hedging and issuance costs.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among three references: the shares of the SPDR® S&P® Regional Banking ETF, the Nasdaq-100® Technology Sector IndexSM and the shares of the Energy Select Sector SPDR® Fund. The Notes are unsecured debt of UBS with a $1,000 denomination and a term of about 3 years, issued by UBS AG London Branch.
Investors can receive monthly contingent coupons at a rate of 15.10% per annum if, on each observation date, the level of every underlying asset is at or above 70% of its initial level (the coupon barrier). UBS may call the Notes in whole, beginning after 6 months, paying back principal plus any due coupon.
If the Notes are not called and, at maturity, every underlying is at or above its 70% downside threshold, investors receive full principal. If any underlying finishes below its downside threshold, repayment is reduced in line with the negative return of the worst performer and can fall to zero. The estimated initial value is expected between $954.00 and $984.00 per $1,000 issue price, and all payments depend on UBS’s creditworthiness.