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 $365,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100, Russell 2000 and S&P 500 indices, maturing January 21, 2027. The notes pay a 9.25% per annum contingent coupon (about $7.7083 per $1,000 monthly) only when all three indices close at or above 70% of their initial levels on an observation date. UBS can call the notes in whole, beginning after three months, paying principal plus any due coupon and ending further payments.
If the notes are not called and any index finishes below its 70% downside threshold at maturity, investors lose principal in line with the negative return of the worst-performing index and could lose their entire investment. The notes are unsecured obligations of UBS, not insured deposits, have an estimated initial value of $978.30 per $1,000, will not be listed on an exchange, and can be difficult to sell. Extensive risk factors and complex U.S. tax treatment apply.
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 approximately three years.
The Notes pay an 11.00% per annum contingent coupon only if, on a monthly observation date, each index closes at or above 70.00% of its initial level; otherwise no coupon is paid for that month. UBS can call the Notes in whole on any observation date beginning after three months, returning principal plus any due coupon.
If the Notes are not called and, at maturity, each index is at or above its 70.00% downside threshold, investors receive full principal back. If any index is below its threshold, repayment is reduced based on the decline of the worst-performing index, and investors can lose up to all of their investment. The Notes are unsecured obligations of UBS, are not insured, will not be listed, and have an estimated initial value between $903.80 and $933.80 per $1,000 issue price.
UBS AG is offering Capped GEARS notes linked to the S&P 500 Index that expose investors to leveraged upside with a strict cap and full downside market risk. Each Security has a $10 principal amount, a term of about 14 months and offers 3.00x participation in any positive index return, but gains are capped by a maximum gain currently indicated in a range of 11.90% to 13.90%, limiting the maximum payment at maturity per Security to between $11.19 and $11.39.
If the index return is zero, investors simply receive the $10 principal amount at maturity. If the index return is negative, the repayment is reduced one-for-one with the index decline, so a 40% drop in the S&P 500 would return $6 per Security, and a severe fall could result in a total loss of principal. The notes pay no interest and do not pass through dividends or voting rights on S&P 500 stocks.
The Securities are unsubordinated, unsecured obligations of UBS AG, so all payments depend on UBS’s credit; a default or regulatory resolution action could result in losing some or all of the investment. The estimated initial value is expected to be between $9.49 and $9.79 per $10 Security, reflecting underwriting discount, hedging and issuance costs, and there may be little or no secondary market trading.
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 principal amount of $1,000 per Note and a contingent coupon rate of 11.05% per annum. Coupons are paid monthly only if all three indexes close at or above 70% of their initial levels on the relevant observation date.
UBS may call the Notes in whole on any monthly 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 any index finishes below its 70% downside threshold at maturity, investors receive $1,000 multiplied by the return of the worst‑performing index and can lose all of their initial investment. Payments depend on UBS’s credit, and the estimated initial value is expected between $955 and $985 per $1,000 issue price.
UBS AG is offering unsecured Trigger Autocallable Notes linked to the worst performer among the Nasdaq-100, Russell 2000 and S&P 500, maturing around January 27, 2031. The notes pay no interest but can be automatically called semiannually if all three indices are at or above their call threshold levels, with a call return based on a 9.05% per annum rate; the call price can reach up to $1,452.50 per $1,000 note at maturity. If the notes are never called and each index finishes at or above its 70% downside threshold, investors receive only their $1,000 principal. If any index ends below its downside threshold, repayment is reduced dollar-for-dollar with the worst index’s loss, potentially to zero. The estimated initial value is expected between $921.30 and $951.30 per note, reflecting dealer compensation (up to $41.25 per note) and UBS’ internal funding rate, and any payment is subject to UBS’ credit risk.
UBS AG is offering Buffer Autocallable GEARS, unsecured debt securities linked to the Russell 2000® Index, with a principal amount of $10 per Security and a term to about January 31, 2029. The notes may be automatically called on the February 4, 2027 observation date if the index closes at or above 100.00% of the initial level, paying a call price equal to principal plus a 10.00% call return.
If not called and the index is above its initial level at maturity, investors receive principal plus the index gain multiplied by upside gearing of 1.31 to 1.51. If the index is flat or down but not below 90.00% of the initial level, principal is repaid due to a 10.00% downside buffer. Below that threshold, losses match index declines beyond the buffer and investors could lose almost all of their investment.
The Securities pay no interest, are not listed, and all payments depend on UBS’s credit. The estimated initial value is expected between $9.44 and $9.74 per $10 Security, and the minimum investment is 100 Securities.
UBS AG is offering $1,000 Trigger Autocallable Notes linked to the worst performer among the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the Utilities Select Sector SPDR Fund, maturing around January 28, 2031. The notes can be automatically called monthly after 12 months if all three underlyings are at or above their call threshold, initially set at 100% of each initial level. If called, investors receive principal plus a call return based on a 12.50% per annum rate, with the call price rising over time up to 62.50% total at maturity.
If the notes are not called and on the final valuation date every underlying is at or above its downside threshold of 70% of its initial level, investors receive only their $1,000 principal back with no additional return. If any underlying finishes below its downside threshold, the maturity payment is reduced dollar-for-dollar with the percentage loss of the worst-performing underlying, and the entire investment can be lost.
The notes pay no interest, do not pass through dividends, are unsecured and unsubordinated obligations of UBS, and will not be listed on any exchange. UBS estimates the initial value at $920.80–$950.80 per $1,000, reflecting embedded fees, hedging costs and its internal funding rate. All payments depend on UBS’s creditworthiness.
UBS AG is offering Trigger Callable Contingent Yield Notes, unsecured debt linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and S&P 500 Index, maturing around January 25, 2029. The Notes pay an 8.25% per annum contingent coupon only if on each monthly observation date all three indices close at or above a coupon barrier set at 55% of their initial levels; otherwise no coupon is paid for that month.
UBS may, at its discretion, call the Notes in whole (but not in part) on any monthly observation date beginning after three months, returning principal plus any due coupon and ending all future payments. If the Notes are not called and at maturity every index finishes at or above its downside threshold (also 55% of initial level), holders receive full principal back. If any index finishes below its downside threshold, repayment is reduced 1-for-1 with the negative return of the worst index, and investors can lose up to 100% of principal. All payments depend on UBS’s credit and the Notes will not be listed on an exchange.
UBS AG is offering $3,000,000 of Capped Buffer GEARS linked to an equally weighted basket of 10 selected equities, maturing on April 19, 2027. Each Security has a $10 principal amount and pays no interest. At maturity, if the basket return is positive, investors receive $10 plus the lesser of the basket return multiplied by 2.00 upside gearing or a 32.00% maximum gain, capping the payment at $13.20 per Security.
If the basket return is zero or negative but the final basket level is at or above the 92.00 downside threshold (an 8.00% buffer), the principal is repaid. If the final basket level falls below that threshold, repayment is reduced by losses beyond the 8.00% buffer and investors can lose almost all of their investment. The notes are unsecured, unsubordinated obligations of UBS, exposed to its credit risk, with an estimated initial value of $9.801 per $10 issue price.
UBS AG is offering trigger callable contingent yield notes linked to the least performing of the SPDR S&P Regional Banking ETF, the Nasdaq-100 Index and the S&P 500 Index, maturing in late January 2030. The notes pay an annual contingent coupon of 11.45%, credited monthly only when all three underlying assets close at or above 70% of their initial level on the relevant observation date.
UBS can call the notes in whole on any monthly observation date starting after six months, returning principal plus any due coupon, with no further payments. If the notes are not called and any underlying finishes below 60% of its initial level at maturity, investors take a loss matching the decline of the worst performer and can lose their entire principal. All payments depend on the creditworthiness of UBS.