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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 that pay a high contingent coupon linked to the worst performer among the Nasdaq‑100 Technology Sector Index, the Russell 2000 Index and the VanEck Semiconductor ETF. The Notes have a term of about four years, a principal amount of $1,000 per Note and a contingent coupon rate of 16.30% per annum, paid monthly only when all three underlying assets are at or above 75% of their initial levels on the relevant observation date.

UBS can call the Notes in whole on any monthly observation date after six months, returning principal plus any due coupon, and ending further payments. If the Notes are not called and all underlyings finish at or above 60% of their initial levels, investors receive full principal at maturity. If any finishes below 60%, repayment is reduced one‑for‑one with the worst underlying’s loss, and investors can lose all of their investment. Payments depend entirely on UBS’s credit, and the estimated initial value per Note (between $960.50 and $990.50) is below the $1,000 issue price, reflecting fees and hedging costs.

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Rhea-AI Summary

UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the least performing of three market exposures: the shares of the VanEck® Gold Miners ETF, the Nasdaq-100® Technology Sector IndexSM and the Russell 2000® Index. Each Note has a $1,000 principal amount, an expected term of about 3 years and a contingent coupon rate of 14.00% per annum, paid monthly only if all three underlying assets close at or above their coupon barriers (70% of initial levels).

The Notes can be automatically called after six months if all underlyings are at or above their call threshold levels (100% of initial levels), in which case investors receive principal plus the applicable coupon and the product terminates early. If not called, principal is repaid at maturity only if each underlying’s final level is at or above its downside threshold (60% of initial levels). If any final level is below its downside threshold, repayment is reduced one-for-one with the worst performer and can fall to zero.

The estimated initial value is expected between $922.10 and $952.10 per $1,000 Note, reflecting underwriting discounts, hedging and issuance costs. The Notes are unsecured obligations of UBS, are not FDIC insured, will not be listed, may have limited or no secondary market, and expose investors to both underlying market risk and UBS credit risk, with a meaningful possibility of losing a significant portion or all of the initial investment.

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Rhea-AI Summary

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, maturing on or about August 2, 2030. The Notes pay a contingent coupon at an annual rate of 11.15% (about $9.2917 per $1,000 per month) only if, on each monthly observation date, every index is at or above 75% of its initial level (the coupon barrier).

UBS may, at its discretion, call the Notes in whole on any observation date beginning after six months, paying back principal plus any due coupon, after which no further payments are made. If the Notes are not called and, at maturity, each index is at or above 60% of its initial level (the downside threshold), investors receive full principal. If any index finishes below its downside threshold, the maturity payment is $1,000 × (1 + return of the worst-performing index), exposing investors to the full downside of that index and potentially a total loss.

The Notes are unsecured, unsubordinated obligations of UBS AG London Branch, not deposits and not FDIC-insured, and are subject to UBS credit risk and possible Swiss resolution measures. They will not be listed, may have limited or no secondary market, and the estimated initial value is expected to be between $954.50 and $984.50 per $1,000, reflecting underwriting and hedging costs. Tax treatment is uncertain; UBS intends to treat the Notes as prepaid derivatives with contingent coupons taxed as ordinary income.

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Rhea-AI Summary

UBS AG is offering Trigger Callable Contingent Yield Securities linked to the worst performer of the Nikkei 225, Russell 2000 and S&P 500, maturing around January 31, 2028. These unsecured notes pay a contingent coupon of $22.75 per $1,000 (9.10% per annum) for any quarter when the closing level of each index is at least 65% of its initial level. If any index is below that coupon barrier, no interest is paid for that period.

UBS can call the notes at its discretion on any coupon date (other than maturity), returning the $1,000 principal plus any due coupon, after which no further payments are made. If the notes are not called and, at maturity, every index is at or above its 65% trigger level, investors receive $1,000 per note plus any final coupon.

If at maturity any index finishes below its 65% trigger level, the payoff is $1,000 × (1 + the return of the worst index), so losses match the worst index’s percentage decline and can reach a total loss of principal. Investors do not participate in any index upside, face limited or no income if barriers are breached, have exposure to UBS credit risk and may encounter little or no secondary market liquidity.

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Rhea-AI Summary

UBS AG is offering unsecured Trigger Callable Contingent Yield Notes linked to the worst performer of the Russell 2000® Index and the S&P 500® Index, maturing around February 2, 2028. The Notes pay a contingent coupon at an annual rate of 8.40% (about $7.00 per $1,000 period) only if, on each monthly observation date, both indices close at or above coupon barriers set at 70% of their initial levels. UBS can call the Notes in whole, beginning after three months, paying back principal plus any due coupon, after which no further payments are made.

If the Notes are not called and either index finishes below its downside threshold of 55% of its initial level at maturity, investors receive reduced principal tied to the negative return of the worst-performing index and can lose their entire investment. The Notes will not be listed, may have limited liquidity, and all payments depend on UBS’s credit. The estimated initial value is between $962.70 and $992.70 per $1,000, reflecting fees and UBS’s internal funding rate.

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UBS AG is offering Buffer Autocallable Contingent Yield Notes linked to the worst performer of the Russell 2000® Index and the S&P 500® Index, maturing around January 30, 2031. The Notes pay a contingent coupon at a rate of 6.15% per annum (about $5.125 per $1,000 per month) only if, on each monthly observation date, both indices close at or above their coupon barriers, set at 85% of their initial levels.

Beginning after 12 months, the Notes are automatically called if both indices are at or above their call thresholds, set at 100% of initial levels, returning principal plus any due coupon. If not called, and at maturity both indices are at or above their downside thresholds (also 85% of initial levels), investors receive full principal. If any index finishes below its downside threshold, repayment is reduced according to the loss of the worst index beyond a 15% buffer, and investors could lose almost all of their investment.

The Notes are unsecured, unsubordinated debt of UBS, not deposits and not FDIC insured. Estimated initial value is between $917.40 and $947.40 per $1,000 Note, reflecting fees and UBS’ internal funding rate. The offering targets investors who understand equity index risk, can tolerate loss of principal and irregular income, and accept complex U.S. tax treatment as prepaid derivatives with contingent coupons.

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UBS AG is offering Trigger Callable Contingent Yield Notes maturing around February 1, 2029, linked to the SPDR S&P Regional Banking ETF (KRE), the Nasdaq-100 Technology Sector Index (NDXT) and the Russell 2000 Index (RTY). The notes pay a 12.80% per annum contingent coupon (about $10.6667 per $1,000 each month) only if, on a monthly observation date, the level of every underlying is at or above 70% of its initial level.

UBS may call the notes in whole on any observation date starting after three months, returning principal plus any due coupon, and ending further payments. If the notes are not called and, at maturity, every underlying is at or above 60% of its initial level, investors receive back the $1,000 principal. If any underlying finishes below its 60% downside threshold, repayment is reduced in line with the worst performer, and investors can lose up to their entire investment.

The notes are unsecured obligations of UBS, are not FDIC‑insured, will not be listed on an exchange, and their payments depend on UBS’s credit. The estimated initial value is expected to be between $948.90 and $978.90 per $1,000 note, reflecting fees, hedging and UBS’s internal funding rate.

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UBS AG is offering Trigger Callable Contingent Yield Notes maturing around February 1, 2028, linked to the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index. The notes pay a contingent coupon of 10.70% per annum (about $26.75 per quarter on a $1,000 note) only if, on each observation date, all three indices are at or above 70% of their initial level.

UBS can redeem the notes early on any observation date (other than the final one), returning principal plus any due coupon, after which no further payments are made. If the notes are not called and, at maturity, all indices are at or above 60% of their initial level, investors receive back their full principal. If any index finishes below its downside threshold, repayment is reduced one-for-one with the worst-performing index, and investors can lose up to 100% of principal.

The notes are unsecured obligations of UBS, are not FDIC-insured, will not be listed on an exchange, may have limited liquidity, and their estimated initial value (between $960.10 and $990.10 per $1,000 note) is below the issue price, reflecting fees, hedging and funding costs.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer of the Nasdaq-100, Russell 2000 and EURO STOXX 50 Indexes, maturing around July 26, 2027. The Notes pay a contingent coupon at a 14.05% per annum rate only if, on each monthly observation date, every index closes at or above 65% of its initial level. UBS can call the Notes in whole on any observation date starting after five months, paying back principal plus any due coupon.

A daily “knock-in” trigger occurs if any index ever closes below 70% of its initial level during the observation period. If the Notes are not called, a trigger has occurred and the final level of any index is below its initial level, principal is reduced one-for-one with the decline of the worst-performing index and can be fully lost. The issue price is $1,000 per Note, with per-Note proceeds to UBS of $998 and an estimated initial value between $949.50 and $979.50, and all payments depend on UBS’s creditworthiness.

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UBS AG is issuing $3,930,000 of Trigger Callable Contingent Yield Notes linked to the worst performer among the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, maturing on December 23, 2027. Each Note has a $1,000 principal amount and offers a contingent coupon at a 9.60% per annum rate, paid monthly at $8.00 per Note only when all three indexes close at or above their coupon barriers, set at 70% of initial levels.

UBS can call the Notes in whole on any monthly observation date beginning after three months, returning principal plus any due coupon, ending further payments. If the Notes are not called and all indexes finish at or above their downside thresholds (60% of initial levels), investors receive full principal at maturity. If any index finishes below its downside threshold, repayment is reduced in line with the worst index’s negative return, and investors can lose up to their entire investment.

The Notes are unsecured debt of UBS, not listed on an exchange, and their payments depend on UBS’s credit. The estimated initial value is $969.00 per $1,000 Note, reflecting fees, hedging and UBS’s 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.