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UBS AG (AMUB) SEC Filings, Jan 21, 2026

AMUB NYSE

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.

Rhea-AI Summary

UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among the Nasdaq‑100 Technology Sector Index, Russell 2000 Index and S&P 500 Index, with a 13.05% per annum contingent coupon. Coupons are paid monthly only if all three indexes close at or above 75% of their initial level on the relevant observation date.

UBS may 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, all three indexes are at or above 70% of their initial levels, investors receive full principal; otherwise they are fully exposed to the negative return of the worst‑performing index and can lose all of their investment.

Payments depend entirely on UBS’s creditworthiness. The estimated initial value per note is expected between $958.60 and $988.60, reflecting fees, hedging costs and UBS’s internal funding rate. The notes are unsecured, will not be listed, may have limited liquidity, and carry complex market, correlation, reinvestment and tax risks.

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Rhea-AI Summary

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 18 months. The Notes pay a contingent coupon at a rate of 12.25% per annum (about $10.2083 per $1,000 per month) only if, on each monthly observation date, all three indices close at or above their coupon barriers set at 70% of their initial levels. UBS may call the Notes in whole, beginning after three months, paying back principal plus any due coupon.

If the Notes are not called and on the final valuation date any index finishes below its 70% downside threshold, investors receive less than the $1,000 principal, with losses matching the negative return of the worst-performing index and the potential for a total loss. The Notes are unsecured obligations of UBS AG, and all payments depend on UBS’s credit. The estimated initial value is expected to be between $960.10 and $990.10 per $1,000 issue price, reflecting dealer compensation, hedging and issuance costs.

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Rhea-AI Summary

UBS AG is offering $1,000,000 of Trigger Callable Contingent Yield Securities due January 21, 2028, linked to the worst performer of the Nasdaq-100, Russell 2000 and S&P 500 indices. Each $1,000 security pays a 9.40% per annum contingent coupon (about $23.50 per quarter) only if all three indices stay at or above 70% of their initial levels on every trading day in the relevant observation period.

UBS can call the notes in whole on specified quarterly dates, paying back principal plus any due coupon, after which investors receive no further payments. If the notes are not called and, at maturity, every index is at or above its 70% trigger level, investors receive full principal back (and any final coupon if conditions were met.

If at least one index finishes below its trigger, repayment is reduced in line with the worst index’s percentage loss, and principal losses can reach 100%. The notes are unsecured UBS obligations, not listed on an exchange, and the estimated initial value is $958.90 per $1,000, below the issue price, reflecting fees, costs and UBS’ internal funding rate.

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Rhea-AI Summary

UBS AG is offering $8,877,000 of Contingent Income Auto-Callable Securities due January 19, 2029, linked to the common stock of U.S. Bancorp. These unsecured, unsubordinated notes pay a contingent coupon of $30.375 per $1,000 (12.15% per annum) on each determination date only if the U.S. Bancorp share price is at or above 80% of the initial price of $54.40, a downside threshold of $43.52. If on any non-final determination date the stock closes at or above the call threshold of 100% of the initial price, the notes are redeemed early at par plus that period’s coupon.

If the notes are not called and the final stock price is at or above the downside threshold, investors receive par plus the last coupon. If the final price is below the downside threshold, UBS will pay a cash amount equal to the stock’s final price times the exchange ratio, exposing investors 1-for-1 to the stock’s decline and potentially causing a full loss of principal. The estimated initial value is $966.60 per $1,000, and the notes will not be listed, with any secondary market making at the discretion of UBS affiliates. All payments depend on UBS’s creditworthiness, and extensive risk factors highlight market, liquidity, conflict-of-interest and tax risks.

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Rhea-AI Summary

UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq‑100, Russell 2000 and S&P 500 indices. Each Note has a $1,000 principal amount, a term of about 5 years and pays a contingent coupon at a rate of 10.45% per annum when, on an observation date, every index closes at or above its coupon barrier, set at 70% of its initial level. UBS can call the Notes in whole, beginning after 6 months, paying principal plus any due coupon and ending all future payments.

If the Notes are not called and each index finishes at or above its downside threshold (also 70% of initial), holders receive full principal at maturity. If any index finishes below its downside threshold, the payoff is reduced dollar‑for‑dollar with the loss on the worst‑performing index, and holders can lose some or all of their investment. Payments depend on UBS’s credit, the Notes will not be listed, may have limited liquidity, and their estimated initial value (between $962.60 and $992.60 per $1,000) is below the issue price due to fees, hedging and funding costs.

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UBS AG is offering Capped Buffer Contingent Absolute Return Securities linked to the S&P 500 Index, each with a $1,000 principal amount and a term of about two years, maturing around February 2, 2028. The notes offer upside exposure to the S&P 500 up to a maximum gain of 19.00%, for a maximum payment of $1,190 per Security if the index rises sufficiently.

If the index return is zero or negative but the final level is at or above 85.00% of the initial level, investors receive a contingent absolute return equal to the absolute value of the index move, capped at 15.00%, for up to $1,150 per Security. If the index falls below the downside threshold, principal is reduced 1:1 beyond the 15.00% buffer, and investors can lose almost all of their investment.

The Securities pay no interest, do not provide dividends from S&P 500 constituents, and all payments depend on the creditworthiness of UBS AG. The estimated initial value is expected to be between $956.10 and $986.10 per Security, reflecting internal pricing, underwriting discounts of up to $9.50 per Security, and hedging and issuance costs.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average®, Nasdaq-100® Technology Sector IndexSM and Russell 2000® Index, with a term of about three years to February 1, 2029. The Notes pay a 10.55% per annum contingent coupon (about $8.7917 per $1,000 monthly) only when each index closes at or above its coupon barrier, set at 70% 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; no further payments would be made. If the Notes are not called and every index finishes at or above its 60% downside threshold, investors receive full principal at maturity. If any index ends below its downside threshold, repayment is reduced one-for-one with the negative return of the least performing index, and investors can lose all principal.

These unsecured debt obligations expose investors to the market risk of all three indices and to UBS credit risk. The estimated initial value is expected between $947.50 and $977.50 per $1,000 note, reflecting dealer compensation, hedging and funding costs, including a $7.00 underwriting discount per note.

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UBS AG is offering Capped Leveraged Buffered S&P 500® Index‑Linked Medium‑Term Notes with a $1,000 face amount and no interest payments. The notes’ payoff depends on S&P 500® performance over about 19–22 months. If the index rises, investors get 160.00% of the positive return, but gains are capped by a maximum settlement amount expected between $1,168.96 and $1,198.72 per $1,000.

If the index falls up to 12.50%, investors receive back $1,000. Below this 12.50% buffer, losses accelerate: investors lose about 1.1429% of face value for each 1% drop beyond the buffer and could lose their entire investment. The notes are unsecured obligations of UBS, are not FDIC insured, will not be listed on an exchange, and have an estimated initial value between $967.50 and $997.50 per $1,000 based on UBS’ internal models.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index, with a term of about 4.5 years and a contingent coupon rate of 10.65% per annum.

Investors receive a monthly coupon of $8.875 per $1,000 note only if, on the relevant observation date, each index closes at or above its coupon barrier, set at 70% of its initial level. UBS can call the notes in whole, beginning after six months, and if it does, investors get back principal plus any due coupon, with no further payments.

If the notes are not called and, at maturity, every index is at or above its downside threshold (60% of its initial level), principal is repaid. If any index finishes below its downside threshold, the maturity payment is reduced dollar-for-dollar with the decline of the worst-performing index, and investors can lose some or all of their initial investment. All payments depend on the creditworthiness of UBS, and the notes will not trade on an exchange and may have limited liquidity.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the least performing of three underlying assets: the VanEck Gold Miners ETF, the Nasdaq-100 Technology Sector Index and the Russell 2000 Index. The Notes have a term of approximately three years, are issued in $1,000 denominations and pay a contingent coupon only if, on a monthly observation date, each underlying is at or above its coupon barrier. The indicative contingent coupon rate is 11.50% per annum, paid in equal monthly amounts when conditions are met.

The Notes are automatically called if, beginning after six months, all underlyings are at or above their call threshold levels on an observation date, in which case investors receive principal plus any due coupon and the product terminates early. At maturity, if not called and each underlying is at or above its downside threshold, investors receive full principal (and a coupon if barriers are met). If any underlying finishes below its downside threshold, repayment is reduced in line with the negative return of the worst performer, and investors can lose some or all of their principal. Payments depend entirely on the creditworthiness of UBS, and the Notes will not be listed on an exchange and may have limited liquidity. The estimated initial value is expected to be below the $1,000 issue price, reflecting fees, hedging and UBS’ internal funding rate.

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FAQ

How many UBS (AMUB) SEC filings are available on StockTitan?

StockTitan tracks 8006 SEC filings for UBS (AMUB), including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and Form 4 insider trading disclosures. Each filing includes AI-generated summaries, impact scoring, and sentiment analysis.

When was the most recent SEC filing for UBS (AMUB)?

The most recent SEC filing for UBS (AMUB) was filed on January 21, 2026.