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UBS AG (AMUB) SEC Filings, Jan 13-14, 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 $2,050,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100, Russell 2000 and S&P 500 indices, maturing on July 16, 2027. The notes pay an 8.00% per annum contingent coupon, in monthly installments of $6.6667 per $1,000 note, only if on each observation date all three indices close at or above 70.00% of their initial levels, which also serve as coupon barriers and downside thresholds.

UBS may call the notes in whole on any monthly observation date beginning after three months, 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 their downside thresholds, investors receive full principal back; if any index finishes below its threshold, repayment is reduced in line with the worst index’s loss, up to a total loss of principal. The notes are unsecured obligations of UBS, not insured, not exchange-listed, have limited liquidity, and carry issuer credit risk. The estimated initial value is $975.90 per $1,000 note, below the issue price.

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UBS AG is offering 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 or about December 27, 2027. The Notes pay a contingent coupon at an annual rate of 11.50% (about $9.5833 per $1,000 per month) only if, on each monthly observation date, all three indexes close at or above their coupon barriers, set at 70% of their initial levels.

UBS may call the Notes in whole, at its discretion, on any observation date starting after three months; if called, investors receive $1,000 per Note plus any due coupon, and the product terminates early. If the Notes are not called and all three indexes finish at or above their downside thresholds (also 70% of initial levels), investors receive full principal at maturity.

If any index finishes below its downside threshold, repayment is reduced dollar-for-dollar with the negative return of the worst-performing index, and investors can lose some or all of their principal. The Notes are unsecured obligations of UBS, are not insured, will not be listed, and have an estimated initial value between $959.90 and $989.90 per $1,000 issue price.

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UBS AG is offering $4,610,000 of Trigger Callable Contingent Yield Notes linked to the worst-performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, maturing in January 2029.

The notes pay a 9.00% per annum contingent coupon (about $7.50 per $1,000 note each month) only when all three indexes are at or above 70% of their initial levels on an observation date, and UBS can call the notes monthly after six months at par plus any due coupon. If the notes are not called and any index finishes below 50% of its initial level at maturity, investors lose principal in line with the worst index’s decline, up to a total loss. The estimated initial value is $973.50 per $1,000 note, and all payments depend on UBS’s credit.

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UBS AG is offering Buffer Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100, Russell 2000 and S&P 500 indexes, maturing around January 25, 2029. The notes pay a contingent coupon at a rate of 8.90% per annum, or $7.4167 per $1,000 note monthly, but only when each index closes at or above 80% of its initial level on the relevant observation date. UBS can call the notes in whole on any monthly observation date after three months, paying back principal plus any due coupon, after which no further payments are made.

If the notes are not called and at maturity all three indexes are at or above their downside thresholds set at 80% of initial levels, investors receive their $1,000 principal per note. If any index finishes below its downside threshold, repayment is reduced based on the loss of the worst-performing index beyond the 20% buffer, and investors can lose almost all of their investment. The estimated initial value per $1,000 note is between $956.80 and $986.80, and all payments depend on the creditworthiness of UBS.

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UBS AG is issuing $508,000 of Trigger Callable Contingent Yield Notes linked to the worst performer of the Russell 2000 Index and the S&P 500 Index, maturing in January 2028. Each $1,000 Note pays a 9.00% per annum contingent coupon (about $7.50 monthly) only if on each observation date both indices are at or above their coupon barriers, set at 70.00% of their initial levels (1,843.174 for the Russell 2000 and 4,874.62 for the S&P 500).

UBS can call the Notes in whole on any monthly observation date after six months, repaying principal plus the due coupon but ending all future payments. If the Notes are not called and, at maturity, either index is below its 70.00% downside threshold, repayment is reduced in line with the negative return of the worst-performing index, and investors could lose all principal. The Notes are unsecured obligations of UBS, with an estimated initial value of $977.80 per $1,000 versus issue proceeds to UBS of $993.00 per Note.

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UBS AG is offering $12 million of one-year Buffered Contingent Income Auto-Callable Securities linked to Pfizer Inc. common stock. These unsecured notes pay a contingent coupon of $11.9167 per $1,000 security (about 14.30% per year) on each monthly determination date if Pfizer’s closing price is at or above 87% of the $25.48 initial price, the downside threshold of $22.17. Missed coupons may be paid later if the threshold is met, through a memory feature.

The notes can be auto-called on any monthly date before maturity if Pfizer closes at or above the $25.48 call threshold, returning principal plus the due coupon and any unpaid coupons, but no participation in stock gains. If the notes are not called and Pfizer is at or above the downside threshold at final observation, investors receive principal plus all due coupons.

If at final observation Pfizer is below the downside threshold, investors receive a cash value tied to the stock price with leveraged downside of about 1.1494% loss for each 1% drop beyond the buffer, which can result in a full loss of principal. The securities are not listed, may have limited liquidity, are subject to UBS credit risk, and have complex, uncertain U.S. tax treatment.

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UBS AG is offering $12 million of Buffered Contingent Income Auto-Callable Securities linked to Microsoft common stock, maturing on January 15, 2027. Each $1,000 security can pay a contingent coupon of $11 per period, equivalent to 13.20% per year, for any determination date on which Microsoft’s share price is at or above the downside threshold of $407.39, or 85% of the $479.28 initial price. Missed coupons can be paid later if the threshold is met, through a “memory” feature.

If the stock is at or above the initial price (the call threshold) on any non-final determination date, the notes are automatically redeemed for $1,000 plus all due coupons. If held to maturity and the final price is at or above the downside threshold, investors receive $1,000 plus all contingent payments. If the final price is below the downside threshold, repayment is reduced on an approximately 1.1765× leveraged basis to a cash amount tied to the stock, and investors can lose some or all principal. The notes pay no dividends, are unsecured obligations of UBS, won’t be listed on an exchange, and have an estimated initial value of $994.90 per $1,000.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Meta Platforms, Inc., providing contingent coupons and conditional principal protection in exchange for equity market risk. Each Note has a principal amount of $10, with a minimum investment of 100 Notes. Contingent coupons are paid only if Meta’s share price on an observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period. The Notes can be automatically called early if Meta’s stock closes at or above the initial level on an observation date, in which case investors receive principal plus any due coupon and the Notes terminate. If the Notes are not called and Meta’s final share level is at or above the downside threshold, investors receive their principal at maturity; if it is below the threshold, repayment is reduced in line with Meta’s percentage decline, and the entire investment can be lost. All payments depend on the creditworthiness of UBS, and the estimated initial value per Note on the trade date is $9.73.

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UBS AG is issuing Trigger Autocallable Contingent Yield Notes linked to the common stock of Freeport-McMoRan Inc., scheduled to mature on January 18, 2028. These unsecured debt notes pay a contingent coupon only if the stock closes at or above a preset coupon barrier on each observation date; otherwise, no coupon is paid for that period.

The notes are automatically called early if the stock closes at or above its initial level on any observation date before maturity, in which case investors receive the principal plus any due coupon and the product terminates. If the notes are not called and the final stock level on the valuation date is at or above a downside threshold, investors receive their principal back, potentially with a final coupon. If the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage loss, and investors can lose all of their investment.

The minimum investment is 100 notes at $10 each, and the estimated initial value is $9.77 per note based on UBS internal pricing. All payments depend on the creditworthiness of UBS; a UBS default could result in a total loss regardless of the stock’s performance. The notes will not be listed on any exchange, and UBS highlights that they are significantly riskier than conventional debt instruments.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Meta Platforms, Inc., maturing on or about January 15, 2027. These unsecured debt notes can pay contingent coupons on scheduled dates, but only if Meta’s closing share price on the relevant observation date is at or above a preset coupon barrier. The notes may be automatically called early if Meta’s share price is at or above the initial level on any observation date before maturity, in which case investors receive the principal plus any due coupon and no further payments.

If the notes are not called and Meta’s final share price is at or above a downside threshold on the final valuation date, investors receive back the $10 principal amount per note, plus the final contingent coupon if the coupon barrier is also met. If the final price is below the downside threshold, repayment is reduced in line with Meta’s negative return, and investors can lose a significant portion or all of their investment. Payments depend entirely on the creditworthiness of UBS, and the estimated initial value per $10 note is expected to be between $9.43 and $9.68. The notes are offered in minimums of 100 notes at $10 each and will not be listed on any exchange.

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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 14, 2026.