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 Trigger Autocallable Contingent Yield Notes linked to the common stock of GE Vernova Inc., with a stated principal amount of $10 per Note and a minimum investment of 100 Notes. The Notes run from a trade date of January 13, 2026 to a maturity date of January 15, 2027 and are designed to pay a high contingent coupon of 19.70% per annum, but only when the GE Vernova share price on an observation date is at or above a coupon barrier set at 70% of the initial level.
The Notes will be automatically called early if GE Vernova’s share price on any observation date before maturity is at or above the initial level, in which case investors receive $10 per Note plus the applicable contingent coupon and no further payments. If the Notes are not called and the final share price is at or above a downside threshold, also 70% of the initial level, investors receive their $10 principal back (plus any final contingent coupon if the barrier is met). If the final share price is below the downside threshold, repayment is reduced dollar-for-dollar with the stock’s loss, and investors can lose their entire investment.
Any payment depends on UBS’s credit, the Notes are unsecured and unsubordinated, not insured by the FDIC, and will not be listed on an exchange. The estimated initial value is $9.80 per $10 Note, reflecting UBS’s internal pricing and funding.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Freeport-McMoRan Inc., with a term running from an expected trade date of January 13, 2026 to an expected maturity on January 18, 2028. These are unsecured debt obligations of UBS, and all payments depend on UBS’s credit.
Investors may receive periodic contingent coupons only when the stock closes at or above a specified coupon barrier on each observation date. The notes are automatically called early, and principal is repaid with any due coupon, if the stock closes at or above its initial level on any observation date before the final one, ending all future payments.
If the notes are not called and the stock is at or above a downside threshold at final valuation, UBS repays principal (and a final coupon if the barrier is met). If the stock finishes below the downside threshold, repayment is reduced in line with the stock’s loss, and investors can lose all of their investment. Hypothetical examples show both modest positive returns and losses exceeding 60%.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of GE Vernova Inc., maturing on or about January 15, 2027. Each Note has a principal amount of $10, with a minimum investment of 100 Notes. These unsecured, unsubordinated debt obligations pay a contingent coupon only if the underlying stock closes at or above a specified coupon barrier on the relevant observation date.
The Notes may be automatically called if the underlying stock closes at or above the initial level on any observation date before the final valuation date. In that case, investors receive the principal plus any due contingent coupon, and the Notes terminate early. If the Notes are not called and the final stock level is at or above the downside threshold, investors receive the full principal at maturity; if it is below the downside threshold, repayment is reduced in line with the stock’s decline, and investors could lose their entire investment.
The estimated initial value per Note on the trade date is expected to be between $9.43 and $9.68, based on UBS’s internal pricing models. All payments depend on the creditworthiness of UBS, and the Notes will not be listed on any securities exchange.
UBS AG is offering $815,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Micron Technology, Inc., maturing on January 15, 2027. Each Note has a $10 principal amount and pays a 19.94% per annum contingent coupon only when Micron’s closing share price on an observation date is at or above a preset coupon barrier.
The Notes can be automatically called early if Micron’s share price on any observation date before maturity is at or above the initial level, in which case investors receive $10 per Note plus the applicable contingent coupon and no further payments. If the Notes are not called and Micron’s final share price is at or above the downside threshold, investors receive their $10 principal per Note, plus a contingent coupon if the coupon barrier is met on the final valuation date.
If the Notes are not called and Micron’s final share price is below the downside threshold, repayment is reduced in line with the share price decline, and investors can lose most or all of their principal. All payments depend on the creditworthiness of UBS, and the Notes will not be listed on any exchange. The estimated initial value is $9.80 per $10 Note.
UBS AG is offering $1,540,000 of Trigger Autocallable Contingent Yield Notes linked to the American depositary receipts of Novo Nordisk A/S, maturing on July 15, 2027. The Notes pay a contingent coupon only if the ADR closing level on each observation date is at or above a coupon barrier set at 70% of the initial level, with a hypothetical contingent coupon rate of 15.60% per annum shown in the examples.
The Notes are automatically called early if the ADR level on any observation date before maturity is at or above the initial level, in which case investors receive $10 per Note plus the applicable coupon and no further payments. If not called, and the final level is at or above the downside threshold (also 70% of the initial level), principal is repaid; if it is below this threshold, repayment is reduced in line with the ADR’s loss, and investors can lose all of their investment.
The minimum investment is 100 Notes at $10 each, and the estimated initial value per Note on the trade date is $9.81. The Notes are unsecured, unsubordinated UBS debt, not listed on any exchange, and all payments depend on UBS’s creditworthiness.
UBS AG is offering $10,429,500 of Trigger Autocallable Contingent Yield Notes linked to the common stock of CrowdStrike Holdings, Inc., maturing on January 16, 2029. These unsecured debt notes pay contingent quarterly coupons only if CrowdStrike’s share price on each observation date is at or above a preset coupon barrier; if it is below, no coupon is paid for that period.
The notes can be automatically called after the first six months if, on any quarterly observation date before maturity, the stock closes at or above the initial level. In that case, investors receive the $10 principal per note plus any due coupon, and the investment ends early. If the notes are not called and the stock is at or above the downside threshold at maturity, investors receive back the principal; if it is below, repayment is reduced in line with the stock’s percentage loss, and the entire investment can be lost.
The notes will not be listed on any exchange, are subject to UBS’s credit risk, and have an estimated initial value of $9.77 per $10 note. The minimum investment is 100 notes, or $1,000.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Micron Technology, Inc., with a term running from a trade date of January 13, 2026 to a scheduled maturity on or about January 15, 2027. Each Note has a principal amount of $10, with a minimum investment of 100 Notes.
Investors may receive periodic contingent coupons only if Micron’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 before maturity if Micron’s share price on any observation date (other than the final one) is at or above the initial level, in which case investors receive principal plus the contingent coupon then due and no further payments. If the Notes are not called and Micron’s final level is at or above the downside threshold, principal is repaid at maturity; if it is below that threshold, repayment is reduced in line with Micron’s decline, and investors could lose their entire investment. All payments depend on the creditworthiness of UBS, and the estimated initial value per Note is expected to be between $9.42 and $9.67.
UBS AG is offering $1,980,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Generac Holdings Inc., maturing on January 18, 2028. Each Note has a $10 principal amount and pays a contingent coupon only if Generac’s closing share price on an observation date is at or above a preset coupon barrier.
The Notes may be automatically called quarterly, beginning after 6 months, if Generac’s share price is at or above the initial level, in which case investors receive $10 per Note plus any due coupon and the Notes terminate. If not called, and on the final valuation date Generac’s price is at or above the downside threshold, investors receive their $10 principal back (and possibly a final coupon). If the final level is below the downside threshold, repayment is reduced in line with Generac’s percentage decline, and investors can lose all of their investment.
The Notes are unsecured, unsubordinated obligations of UBS, with all payments subject to UBS’s creditworthiness. The estimated initial value is $9.67 per $10 Note, and the minimum investment is 100 Notes ($1,000). The Notes will not be listed on any securities exchange and are described as significantly riskier than conventional debt instruments.
UBS AG is offering $500,000 of Trigger Autocallable Contingent Yield Notes linked to Intel Corporation common stock, maturing on January 15, 2027. These unsecured debt notes can pay a high contingent coupon of 27.52% per annum, with $0.688 per $10 note per observation period, but only when Intel’s share price is at or above the coupon barrier on the relevant observation date.
The notes may be automatically called early if Intel’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 product terminates. If the notes are not called and Intel’s final share price is at or above the downside threshold (70% of the initial level, or $70.00 in the example), investors receive full principal back, plus any final coupon if the barrier is met. If the final price is below the downside threshold, repayment is reduced in line with the stock’s decline, and investors can lose most or all of their investment. All payments depend on the creditworthiness of UBS, and the estimated initial value per $10 note is $9.79.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the American depositary receipts of Novo Nordisk A/S, maturing on or about July 15, 2027. Each Note has a principal amount of $10, with a minimum investment of 100 Notes (a $1,000 investment).
Investors may receive periodic contingent coupons only when the Novo Nordisk ADR closes at or above a specified coupon barrier on an observation date. The Notes are automatically called early if the ADR closes at or above the initial level on an observation date, in which case UBS pays back principal plus any due coupon and the Notes terminate.
If the Notes are not called and the ADR closes at or above a downside threshold on the final valuation date, UBS repays the $10 principal per Note at maturity. If the final level is below the downside threshold, repayment is reduced in line with the ADR’s decline, and investors can lose some or all of their investment. Payments depend entirely on the creditworthiness of UBS, the Notes are unsecured, are not FDIC insured, will not be listed on an exchange, and carry an estimated initial value between $9.43 and $9.68 per $10 Note.