Welcome to our dedicated page for UBS ETRACS Alerian MLP Index ETN Series B 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.
AMUB filings document UBS AG’s role as the foreign private issuer behind the ETRACS Alerian MLP Index ETN Series B and the broader debt-securities platform under which UBS offers registered securities. UBS AG’s Form 6-K materials include quarterly and annual reporting references, IFRS financial information, capitalization tables, debt issued, registration-statement updates, legal opinions and offering-related disclosures.
The filing record also covers UBS Group and UBS AG risk and capital management, Pillar 3 regulatory capital metrics, leverage, liquidity and funding, governance signatures, and material reports involving debt securities. These disclosures frame AMUB as a senior unsecured UBS AG obligation whose value and payments depend on the note terms and UBS AG credit risk.
UBS AG is offering Trigger Autocallable Contingent Yield Notes with Memory Interest and a Conditional Threshold Event linked to the least performing of Advanced Micro Devices (AMD) and NVIDIA (NVDA), maturing on November 30, 2028. Each Note has a $1,000 principal amount and pays a 20.00% per annum contingent coupon (about $16.6667 per month) only if on an observation date the closing level of both stocks is at or above their coupon barriers (70% of initial levels: $144.29 for AMD and $124.47 for NVDA), with missed coupons potentially paid later under the memory feature.
The Notes are automatically called if, starting after six months, on any monthly observation date both stocks are at or above their call thresholds, set at 100.00% of initial levels ($206.13 for AMD and $177.82 for NVDA). If called, investors receive principal plus due and previously unpaid coupons, and no further payments. If not called, principal repayment at maturity depends on a threshold event. If each final stock level is at or above its downside threshold (50% of initial: $103.07 for AMD and $88.91 for NVDA) or at least one final level is at or above its upper barrier, investors receive the full $1,000 per Note (plus any due coupons). If instead a threshold event occurs, meaning each final level is below its upper barrier and at least one final level is below its downside threshold, repayment is reduced to $1,000 times 1 plus the return of the least performing stock, matching its percentage loss and potentially resulting in a total loss of principal.
The Notes expose holders to the equity market risk of AMD and NVIDIA individually, sector concentration risk in semiconductors, and the credit risk of UBS as an unsecured senior issuer. Investors forgo dividends and any upside beyond contingent coupons, face the possibility of receiving few or no coupons, and may experience limited or no liquidity because the Notes are not listed. The issue price is $1,000 per Note, with an underwriting discount of $7.00 and estimated initial value between $932.20 and $962.20, reflecting internal funding and hedging costs. U.S. federal income tax treatment is uncertain; UBS intends to treat the Notes as prepaid derivatives with contingent coupons taxed as ordinary income.
UBS AG is offering Buffer Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing on or about December 9, 2027. The Notes pay a contingent coupon of 10.05% per annum (about $8.375 per $1,000 Note each month) only if, on an observation date, each index closes at or above its coupon barrier, set at 80% of its initial level.
UBS may call the Notes in whole, starting after three months, paying back principal plus any due coupon, with no further payments. If the Notes are not called and each index finishes at or above its downside threshold (also 80% of initial), investors receive full principal at maturity. If any index ends below its downside threshold, the maturity payment is reduced by the decline of the worst index beyond a 20% buffer, and investors could lose almost all of their investment. All payments depend on the creditworthiness of UBS, and the Notes are not insured or listed on an exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the Solactive U.S. Large Cap Volatility Navigator Index, a leveraged, volatility-targeted futures-based index with a 6.0% annual decrement. The Notes pay a contingent coupon at a 17.00% per annum rate, in equal monthly amounts, only if the index closes at or above a coupon barrier set at 70.00% of the initial level on each observation date.
The Notes can be automatically called beginning after six months if the index is at or above a call threshold of 100.00% of the initial level, returning principal plus any due coupon. If not called and, at maturity, the index is at or above a downside threshold of 50.00% of the initial level, investors receive only their principal back. If the final index level is below the downside threshold, repayment is reduced one-for-one with the index loss, and investors can lose their entire investment.
The Notes are unsecured, unsubordinated UBS debt, not deposits and not FDIC insured, with no exchange listing and limited or no secondary market expected. The estimated initial value is between $934.50 and $964.50 per $1,000 issue price, reflecting underwriting discounts, hedging and issuance costs.
UBS AG is offering Buffer Callable Contingent Yield Notes linked to the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing on or about June 10, 2027. The Notes pay a 9.55% per annum contingent coupon, observed monthly, but only if each index closes at or above its coupon barrier, set at 80% of its initial level. If any index is below its barrier on an observation date, no coupon is paid for that period.
UBS may call the Notes in whole on any monthly observation date 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, each index is at or above its downside threshold (also 80% of its initial level), investors receive full principal. If any index finishes below its downside threshold, repayment is reduced based on the decline of the worst-performing index beyond the 20% buffer, and investors could lose almost all of their investment.
All payments depend on the credit of UBS AG. The estimated initial value per Note is expected between $962.40 and $992.40, below the $1,000 issue price, reflecting fees, hedging and funding costs. The Notes will not be listed on an exchange and may have limited or no secondary market liquidity.
UBS AG is offering $792,000 of Capped Buffer GEARS, unsecured structured notes linked to the S&P 500® Index, maturing on May 28, 2027. Each Security has a $1,000 principal amount, 2.00x upside gearing and a maximum gain of 13.00%, capping the maximum payment at $1,130 per Security.
A 10.00% buffer protects principal if the index closes at or above the downside threshold of 6,089.29 (90.00% of the initial level of 6,765.88). Below that level, investors lose principal in line with index losses beyond the buffer and could lose almost all of their investment. The notes pay no interest, do not provide dividends, are not listed, and all payments depend on the creditworthiness of UBS. The estimated initial value is $969.20 per Security, lower than the $1,000 issue price due to underwriting and structuring costs.
UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index, with a contingent coupon rate of 11.90% per annum. Investors receive a monthly coupon of $9.9167 per $1,000 Note only if each index is 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 beginning after three months, paying back principal plus any due coupon, ending all future payments.
If the Notes are not called and any index finishes below its 70% downside threshold at maturity in December 2028, repayment of principal is reduced one-for-one with the loss on the worst-performing index, and investors could lose their entire investment. The estimated initial value is expected between $943.10 and $973.10 per $1,000 Note, the Notes will not be listed on an exchange, and all payments depend on the creditworthiness of UBS.
UBS AG is offering Capped Buffer GEARS, unsecured debt Securities linked to the iShares MSCI Emerging Markets ETF. The notes have an approximately 2‑year term and provide 2.00x leveraged upside exposure to positive ETF performance, but gains are capped at a maximum gain of 25.80%, corresponding to a maximum payment at maturity of $1,258.00 per $1,000 Security.
These Securities do not pay interest and offer a 10.00% downside buffer: if the ETF decline stays within this buffer and the final level is at or above the downside threshold, investors receive their $1,000 principal at maturity. If the final level falls below the downside threshold, repayment is reduced according to $1,000 × [1 + (Underlying Return + Buffer)], and losses can approach the full investment. Any payment depends entirely on UBS’s credit; a UBS default could result in loss of all principal. The estimated initial value is expected to range from $960.80 to $990.80, below the $1,000 issue price, reflecting fees, hedging and UBS’s internal funding rate.
UBS AG is offering $5,101,000 of Trigger Autocallable Contingent Yield Notes linked to the least performing of the SPDR® Dow Jones Industrial AverageSM ETF Trust (DIA) and the Energy Select Sector SPDR® Fund (XLE), maturing on November 30, 2028.
The Notes pay a contingent coupon of 8.90% per annum ($0.2225 per $10 Note per quarter) only if on a quarterly observation date the closing level of each ETF is at or above its coupon barrier, set at 70.00% of its initial level. The Notes are automatically called after six months or later if, on an observation date, each ETF is at or above its call threshold level, equal to 100.00% of its initial level, in which case investors receive principal plus the applicable coupon and no further payments.
If the Notes are not called and on the final valuation date each ETF is at or above its downside threshold (also 70.00% of initial), investors receive full principal; otherwise, repayment is reduced one-for-one with the negative return of the worst-performing ETF, and all principal can be lost. The Notes are unsecured, unsubordinated UBS debt, carry an estimated initial value of $9.616 per $10 Note, are sold in minimum $1,000 denominations, and will not be listed on any exchange.
UBS AG is offering $265,000 of Trigger Callable Contingent Yield Notes due November 30, 2028, linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. The Notes pay a 10.45% per annum contingent coupon (about $8.7083 per $1,000 monthly) only if, on each observation date, all three indexes close at or above 70% of their initial levels. UBS can call the Notes in whole on any monthly observation date starting after nine months, paying back principal plus any due coupon.
If the Notes are not called and, at maturity, all three indexes finish at or above their 70% downside thresholds, investors receive back the $1,000 principal per Note. If any index finishes below its downside threshold, repayment is reduced based on the negative return of the worst-performing index, and investors can lose up to all of their investment. The estimated initial value is $963.80 per $1,000, the issue price is $1,000, and the Notes are unsecured obligations of UBS, not listed on any exchange and subject to UBS credit risk.
UBS AG is offering $1,011,000 of Trigger Callable Contingent Yield Notes, $1,000 per Note, linked to the Nasdaq-100, Russell 2000 and EURO STOXX 50, maturing on December 1, 2027. The Notes pay a contingent coupon at an annual rate of 11.60% (about $9.6667 per month per Note) only if, on each monthly observation date, all three indices close at or above their coupon barriers, set at 70% of their initial levels, which also serve as downside thresholds.
UBS may call the Notes in whole on any observation date beginning after three months, paying principal plus any due coupon, after which no further payments are made. If the Notes are not called and any index finishes below its downside threshold at maturity, investors lose principal in proportion to the negative return of the worst-performing index and can lose their entire investment.
All payments depend on UBS’s credit; if UBS defaults, investors could receive nothing. The estimated initial value is $957.00 per $1,000 Note, below the issue price, reflecting fees, hedging and UBS’s internal funding rate.