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UBS AG (AMUB) SEC Filings, Jan 14-15, 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 Autocallable Contingent Yield Notes with Memory Interest linked to the least performing of the Nasdaq-100 Index, Russell 2000 Index, Financial Select Sector SPDR Fund and Utilities Select Sector SPDR Fund, maturing in January 2030. Each Note has a $1,000 principal amount and pays a 9.10% per annum contingent coupon, evaluated monthly, only if every underlying stays at or above its coupon barrier, generally 75% of its initial level, with unpaid coupons potentially paid later under the memory feature.

The Notes can be automatically called after 12 months if all underlyings are at or above their call threshold levels, set at 100% of initial levels, returning principal plus due and unpaid coupons. If not called and every underlying finishes at or above its downside threshold, generally 65% of its initial level, investors receive full principal at maturity; if any finishes below its downside threshold, repayment is reduced in line with the worst performer and can fall to zero. The estimated initial value is between $951.30 and $981.30 per Note versus a $1,000 issue price, they are unsecured obligations of UBS, not listed on any exchange, and all payments depend on UBS’s credit.

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UBS AG is offering Trigger Autocallable GEARS notes linked to an equally weighted basket of 36 large‑cap and growth equities, maturing on or about January 30, 2031. Each Security has a $10 principal amount and pays no interest or dividends.

The notes may be automatically called on February 4, 2027 if the basket is at or above 100% of its initial level, in which case investors receive $11.05 per Security (a 10.50% call return) and the product terminates early. If not called, at maturity investors receive $10 plus any positive basket return multiplied by upside gearing of 1.30 to 1.50, or full principal back if the final basket level is at or above 75% of the initial level.

If the final basket level falls below the 75% downside threshold and the notes are not called, repayment is reduced one‑for‑one with the basket loss, and the entire investment can be lost. Any payment depends on UBS’s credit; the notes are unsecured, unsubordinated debt, are not FDIC insured, are not exchange‑listed, and have an estimated initial value of $9.319 to $9.619 per $10 issue price.

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UBS AG is offering Trigger Autocallable GEARS notes linked to an equally weighted basket of 18 equities, maturing around January 30, 2031. These $10-per-note securities can be automatically called in February 2027 if the basket level is at or above 100% of its initial level, paying a fixed 11.00% call return and terminating the investment.

If the notes are not called and the basket finishes above its initial level, investors receive the $10 principal plus the positive basket return multiplied by upside gearing between 1.30 and 1.50. If the basket return is zero or negative but the final level stays at or above 75% of the initial level, principal is repaid at maturity. However, if the basket ends below the 75% downside threshold, repayment is reduced dollar-for-dollar with the basket loss, and investors can lose up to their entire investment.

The notes pay no interest or dividends, carry UBS credit risk, and are not listed on any exchange. The estimated initial value is expected between $9.354 and $9.654 per $10 note, reflecting underwriting and hedging costs and UBS’ internal funding rate.

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UBS AG is offering $100,000 of Trigger Autocallable Contingent Yield Notes linked to Vertiv Holdings common stock, maturing on January 18, 2028.

The Notes pay a contingent coupon, illustrated at 17.21% per annum ($0.8605 per $10 Note per period), only when Vertiv’s share price on an observation date is at or above a coupon barrier set at 50% of the initial level. The Notes are automatically called early if Vertiv’s stock closes at or above the initial level on any observation date before final valuation, returning principal plus the due coupon.

If not called and the final stock level is at or above the downside threshold (also 50% of the initial level), investors receive principal back at maturity. If the final level is below the downside threshold, repayment is reduced one-for-one with Vertiv’s decline, and the entire investment can be lost. The Notes are unsecured UBS debt, not FDIC insured, not exchange-listed, have a $10 issue price with a minimum 100-Note ($1,000) investment, and an estimated initial value of $9.75 per Note, highlighting embedded costs and risk.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Vertiv Holdings Co, with a scheduled maturity on or about January 18, 2028. The Notes pay a contingent coupon only if Vertiv’s share price on each observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period. The Notes may be automatically called before maturity if Vertiv’s stock closes at or above the initial level on any observation date, in which case investors receive the $10 principal per Note plus any due coupon and no further payments.

If the Notes are not called and Vertiv’s final share price is at or above a downside threshold, investors receive back the $10 principal per Note at maturity; if it is below that threshold, repayment is reduced in line with the stock’s decline and can fall to zero. The offering size is in integral multiples of $10, with a minimum of 100 Notes, and the estimated initial value per $10 Note is expected to be between $9.45 and $9.70, reflecting UBS’s internal pricing and funding. All payments depend on UBS’s credit, and the Notes will not be listed on any exchange.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Carnival Corporation common stock, maturing January 16, 2029. These unsecured, unsubordinated debt securities pay a contingent coupon only if Carnival’s share price on each observation date is at or above a preset coupon barrier; otherwise no coupon is paid.

The notes are automatically called early if Carnival’s stock closes at or above the initial level on any observation date before the final valuation date, in which case investors receive the $10 principal per note plus the due coupon and no further payments. If the notes are not called and the final stock level is at or above a downside threshold, investors receive principal back at maturity.

If the notes are not called and the final stock level is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors can lose all of their investment. The product is not listed, has an estimated initial value of $9.64 per $10 note, requires a minimum $1,000 purchase, and all payments depend on UBS’s creditworthiness.

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UBS AG is offering trigger autocallable contingent yield notes linked to the common stock of Carnival Corporation, maturing on or about January 16, 2029. These are unsecured, unsubordinated debt obligations of UBS.

Holders receive a contingent coupon on each coupon payment date only if the Carnival share price on the related observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period. The notes are automatically called early if Carnival’s closing level on any observation date before maturity is at or above the initial level, in which case UBS repays principal plus the applicable coupon and the notes terminate.

If the notes are not called and Carnival’s final level is at or above a downside threshold at maturity, UBS repays the $10 principal per note. If the final level is below the downside threshold, repayment is reduced in line with Carnival’s decline, and the entire investment can be lost. The minimum investment is 100 notes ($1,000), and the estimated initial value is expected between $9.30 and $9.55 per note. All payments depend on UBS’s creditworthiness.

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UBS AG is offering $290,000 of Trigger Autocallable Contingent Yield Notes linked to Netflix, Inc. common stock, with returns tied to stock performance and UBS’s credit. These unsecured notes can pay periodic contingent coupons only when Netflix’s closing price on an observation date is at or above a preset coupon barrier, and they may be automatically called early if the stock closes at or above the initial level on any observation date before maturity.

If the notes are not called and Netflix’s closing price on the final valuation date is at or above the downside threshold, investors receive the $10 principal per note, possibly plus a final contingent coupon. If the final price is below the downside threshold, repayment is reduced in line with the stock’s decline and can fall to zero, meaning total loss of principal. The notes are expected to settle on January 16, 2026 and mature on January 16, 2029, with an estimated initial value of $9.74 per $10 note and a minimum investment of 100 notes.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Netflix, Inc., maturing on or about January 16, 2029. These unsecured debt obligations pay a contingent coupon only when Netflix’s closing share price on an observation date is at or above a preset coupon barrier; otherwise, no coupon is paid for that period.

The notes are automatically called early if Netflix’s share price on any observation date before the final valuation date is at or above the initial level, in which case investors receive the principal plus any due coupon and the product terminates. If the notes are not called and Netflix’s final level is at or above a downside threshold, investors receive their principal at maturity; if it is below that threshold, repayment is reduced in line with the stock’s decline, and the entire investment can be lost.

The minimum investment is 100 notes at $10 per note, and the estimated initial value per note on the trade date is expected to be between $9.38 and $9.63. All payments depend on the creditworthiness of UBS, and the notes will not be listed on any exchange.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to Freeport-McMoRan Inc. stock, maturing on January 18, 2028. These unsecured debt notes pay a contingent coupon only when the stock closes at or above a preset coupon barrier on quarterly observation dates. If the stock ever closes at or above the initial level on an observation date (starting after about 6 months), the notes are automatically called, and investors receive the $10 principal per note plus the applicable coupon, with no further payments.

If the notes are not called and, on the final valuation date, the stock is at or above a downside threshold, investors receive full principal back, plus any final contingent coupon if the coupon barrier is met. If the final stock level is below the downside threshold, repayment is reduced in line with the stock’s percentage loss, and the entire investment can be lost. Hypothetical terms include a 17.00% per annum contingent coupon rate, a downside threshold and coupon barrier at 70.00% of the initial level, and an estimated initial value of $9.75 per $10 note. All payments depend on UBS’s creditworthiness.

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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 15, 2026.