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UBS AG (AMUB) SEC Filings, Jan 20, 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, unsecured debt linked to the least performing of the Nasdaq-100® Technology Sector IndexSM, the Russell 2000® Index and the S&P 500® Index, maturing around December 27, 2027. The Notes pay a 9.30% per annum contingent coupon (about $7.75 per $1,000 monthly) only if each index is at or above 70% of its initial level on the relevant observation date; otherwise no coupon is paid.

UBS may call the Notes in whole on any monthly observation date starting after three months, returning principal plus any due coupon, ending all future payments. If not called and every index finishes at or above its 70% downside threshold, investors receive full principal at maturity. If any index ends below its threshold, the maturity payment is reduced one-for-one with the worst index’s loss, up to a total loss of principal.

The Notes are not listed, can be difficult to sell, and all payments depend on UBS’s credit. The estimated initial value is expected between $943.10 and $973.10 per $1,000 issue price, reflecting fees and UBS’s internal funding assumptions.

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Rhea-AI Summary

UBS AG is offering $2,065,000 of 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, maturing on January 19, 2029.

The Notes pay a contingent coupon at an annual rate of 11.55% (about $28.875 per $1,000 per quarter) only if, on each observation date, all three indices close at or above 70% of their initial levels. UBS can call the Notes in whole, starting after six months, paying back principal plus any due coupon, ending all future payments.

If the Notes are not called and any index finishes below its downside threshold (70% of its initial level) at maturity, investors lose principal in line with the negative return of the worst index, up to a total loss. Payments depend entirely on UBS’s credit. The estimated initial value is $974.40 per $1,000, below the issue price due to fees, funding and hedging costs.

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UBS AG is offering $1,389,000 of Trigger Callable Contingent Yield Notes linked to the S&P 500® Index, maturing July 21, 2027. Each $1,000 Note pays a contingent coupon of 6.75% per annum (about $5.625 monthly) only when the index closes at or above the coupon barrier of 4,858.01, which is 70% of the initial level of 6,940.01. UBS can call the Notes in whole on any monthly observation date after six months, returning principal plus any due coupon, ending all future payments.

If the Notes are not called and on the final valuation date the S&P 500® is at or above the downside threshold of 4,858.01, investors receive full principal back (plus the final contingent coupon if the barrier is met). If the index finishes below the downside threshold, repayment is reduced one-for-one with the index loss, and investors can lose all of their investment. The Notes are unsecured obligations of UBS, not insured deposits, and all payments depend on UBS’s credit. The estimated initial value is $983.50 per $1,000 Note, lower than the issue price due to fees, funding and hedging costs.

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Rhea-AI Summary

UBS AG is issuing $1,050,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Netflix, Inc., maturing on January 19, 2029. Each Note has a $1,000 principal amount and offers an 11.85% per annum contingent coupon (paid monthly as $9.875) only when Netflix’s closing price on an observation date is at or above the $61.60 coupon barrier, which is 70% of the $88.00 initial level.

The Notes are subject to automatic call on monthly observation dates beginning after six months if Netflix closes at or above the $88.00 call threshold (100% of the initial level). If called, investors receive principal plus the applicable coupon, and the Notes terminate early.

If not called, and Netflix’s final level on the valuation date is at or above the $61.60 downside threshold, UBS repays principal (and the final coupon if the barrier is met). If the final level is below the downside threshold, repayment is reduced one-for-one with Netflix’s decline, and investors can lose up to 100% of principal. The Notes are unsecured, unsubordinated debt of UBS, not listed on an exchange, and have an estimated initial value of $961.20 per $1,000, reflecting fees, hedging and UBS’s internal funding rate.

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Rhea-AI Summary

UBS AG is offering $2,586,000 of 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, maturing on December 21, 2027. The Notes pay a contingent coupon at a rate of 10.80% per annum (about $9.00 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 on any observation date starting after six months, repaying principal plus any due coupon, after which no further payments are made. If not called, investors receive full principal at maturity only if each index is at or above its downside threshold (also 70% of initial). If any index finishes below its threshold, the payoff is reduced one-for-one with the decline of the worst index, and investors can lose all principal. The estimated initial value is $973.40 per $1,000, and returns depend on UBS’s credit and a limited, likely illiquid secondary market.

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UBS AG is issuing $3,331,000 of Capped Buffer GEARS, unsecured debt securities linked to an equally weighted basket composed of the Invesco S&P 500® Equal Weight ETF and the Russell 2000® Index. Each Security has a $1,000 principal amount and a term of about 18 months, maturing on July 21, 2027.

If the basket return is positive, investors receive the principal plus the lesser of the basket return times the 1.10 upside gearing and a maximum gain of 16.85%, capping the payment at $1,168.50 per Security. If the basket return is zero or negative but the final basket level stays at or above the 90.00 downside threshold (a 10% buffer), investors receive their full principal.

If the final basket level falls below the downside threshold, repayment is reduced dollar-for-dollar beyond the buffer using a formula of $1,000 × [1 + (Basket Return + 10%)], and investors can lose almost all of their investment. The Securities pay no interest, are not listed on an exchange, and all payments depend on the creditworthiness of UBS AG, with an estimated initial value of $974.80 per Security.

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UBS AG is offering $5,380,000 of Trigger Autocallable Contingent Yield Notes due January 19, 2029, linked to the worst performer among the Energy Select Sector SPDR Fund (XLE), Utilities Select Sector SPDR Fund (XLU) and Health Care Select Sector SPDR Fund (XLV). The Notes pay a contingent coupon at a rate of 9.05% per annum (about $7.5417 per $1,000 per month) only if on an observation date each ETF closes at or above its coupon barrier, set at 70% of its initial level.

Starting after six months, the Notes are automatically called if each ETF is at or above its call threshold, set at 100% of its initial level, returning principal plus any due coupon, with no further payments. If not called and at maturity any ETF finishes below its downside threshold (also 70% of initial), investors suffer a loss matching that ETF’s percentage decline and can lose their entire investment.

The Notes are unsecured UBS obligations, are not listed on any exchange, and carry UBS credit risk. The estimated initial value is $971 per $1,000 Note, below the $1,000 issue price, reflecting underwriting discounts of $17.50 per Note and other issuer costs.

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UBS AG is offering $2,843,000 of Trigger Callable Contingent Yield Notes, $1,000 per Note, linked to the least performing of the Nasdaq-100 Technology Sector Index, Russell 2000 Index and S&P 500 Index, maturing on January 19, 2029.

The Notes pay a 10.90% per annum contingent coupon (about $9.0833 per month) only if, on each monthly observation date, all three indices close at or above 70% of their initial levels. UBS can call the Notes in whole on any observation date starting after three months, paying back principal plus the applicable coupon and ending all future payments.

If the Notes are not called and each index finishes at or above its 70% downside threshold, investors receive full principal at maturity. If any index finishes below its threshold, repayment is reduced one-for-one with the worst index’s loss, up to a total loss of principal. The Notes are unsecured obligations of UBS; all payments depend on UBS’s credit. The estimated initial value is $967 per $1,000 Note, below issue price.

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UBS AG is offering $1,037,000 of Trigger Callable Contingent Yield Notes due April 21, 2027, each with a $1,000 principal amount. The notes pay a 10.40% per annum contingent coupon (about $8.6667 per month) only if on each monthly observation date the Nasdaq‑100, Russell 2000 and S&P 500 are all at or above their coupon barriers, set at 70% of their initial levels. UBS can call the notes in whole on any observation date starting after three months, returning principal plus any due coupon, after which no further payments are made.

If the notes are not called and on the final valuation date any index finishes below its downside threshold (also 70% of its initial level), repayment is reduced one‑for‑one with the decline of the worst‑performing index, and investors can lose all principal. The notes are unsecured obligations of UBS AG London Branch, with an estimated initial value of $988.90 per $1,000 note, and will not be listed on an exchange.

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UBS AG is offering $250,000 of Trigger Autocallable Contingent Yield Notes linked to the worst performer among three sector ETFs: Energy Select Sector SPDR, Utilities Select Sector SPDR and Health Care Select Sector SPDR, maturing in January 2029.

The Notes pay a contingent coupon at a rate of 9.05% per annum (about $7.5417 per $1,000 note monthly) only if on an observation date each ETF is at or above its coupon barrier, set at 70% of its initial level. Starting after six months, if all three ETFs are at or above 100% of their initial levels on an observation date, the Notes are automatically called and investors receive principal plus that period’s coupon.

If the Notes are not called and at maturity any ETF is below its downside threshold (also 70% of initial), repayment is reduced 1-for-1 with the worst ETF’s loss, potentially down to zero. Investors forego all ETF dividends, may receive no coupons, face limited or no liquidity, and bear full credit risk of UBS. The estimated initial value is $970.30 per $1,000, below the issue price due to fees, hedging costs 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 20, 2026.