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 $500,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Amazon.com, Inc., maturing on July 15, 2027. These are unsecured debt obligations of UBS that pay contingent coupons only when Amazon’s closing share price on a given observation date is at or above a preset coupon barrier.
The notes may be called early bimonthly, beginning about six months after issuance, if Amazon’s share price is at or above the initial level on an observation date. In that case, holders receive the $10 principal per Note plus any due coupon and no further payments. If the notes are not called and Amazon’s final level is at or above a downside threshold, investors receive full principal at maturity; if it is below that threshold, repayment is reduced in line with the stock’s decline and can fall to zero.
The minimum investment is 100 Notes at $10 each, and the estimated initial value is $9.81 per Note, reflecting UBS’s internal pricing. Any payment depends on UBS’s credit; if UBS defaults, investors could lose their entire investment. The notes will not be listed on any exchange, and secondary-market liquidity may be limited.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of NVIDIA Corporation, with an expected maturity around January 16, 2029. The Notes may pay quarterly contingent coupons only when NVIDIA’s closing level on an observation date is at or above a coupon barrier, and can be automatically called after about 6 months if the stock closes at or above its initial level on an observation date, returning principal plus the applicable coupon.
If the Notes are not called and NVIDIA’s final level is at or above a downside threshold, UBS repays the $10 principal per Note at maturity; if the final level is below the threshold, repayment is reduced in line with the stock’s decline, up to a total loss of principal. The Notes are unsecured obligations of UBS, are not insured, will not be listed on an exchange, require a minimum purchase of 100 Notes at $10 each, and have an estimated initial value between $9.36 and $9.61 per Note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Conagra Brands, Inc., maturing on or about January 16, 2029. These unsecured debt securities pay a contingent coupon only when the stock closes at or above a specified coupon barrier on quarterly observation dates and may be automatically called early if the stock is at or above the initial level on an observation date.
If the Notes are not called and the final stock level is at or above the downside threshold, investors receive back the principal at maturity, potentially plus a final contingent coupon. If the final level is below the downside threshold, repayment is reduced in line with the stock’s negative return, and investors can lose all of their investment. The minimum investment is 100 Notes at $10 per Note, and the estimated initial value is between $9.18 and $9.43 per Note. All payments depend on the creditworthiness of UBS, and the Notes will not be listed on any exchange.
UBS AG is offering unsecured Trigger Autocallable Contingent Yield Notes linked to the common stock of Vertiv Holdings Co, scheduled to mature on January 18, 2028. The notes pay a contingent coupon only if Vertiv’s closing share price on each observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The notes can be called early on quarterly observation dates starting after six months if Vertiv’s share price is at or above the initial level, in which case investors receive the principal plus any due contingent coupon and the contract ends. If the notes are not called and Vertiv’s final level on the January 13, 2028 valuation date is at or above the downside threshold, investors receive full principal back; if it is below, repayment is reduced in line with the share-price decline and total loss of principal is possible.
The minimum investment is 100 notes at $10 each, and the estimated initial value is $9.84 per note, based on UBS’ internal models. Payments depend on the creditworthiness of UBS, the notes are not FDIC-insured, and they will not be listed on any securities exchange.
UBS AG is offering $170,000 of Trigger Autocallable Contingent Yield Notes linked to Lam Research Corporation common stock, maturing January 18, 2028. These unsecured debt notes may pay periodic contingent coupons, but only if Lam Research’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 are automatically called early if the stock closes at or above the initial level on any observation date before maturity, in which case investors receive the $10 principal per note plus any due coupon, and the product terminates. If the notes are not called and the final stock level is at or above the downside threshold, investors receive principal back at maturity. If the final level is below the downside threshold, repayment is reduced in line with the stock’s percentage decline, and investors could lose their entire investment.
Payments depend on UBS’s credit; a UBS default could result in total loss. The minimum investment is 100 notes at $10 each, and the estimated initial value is $9.76 per $10 note, based on UBS internal pricing models.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Albemarle Corporation, maturing on or about January 18, 2028. These unsecured debt notes pay a contingent coupon only when Albemarle’s closing share price on an observation date, including the final valuation date, is at or above a preset coupon barrier; otherwise no coupon is paid.
The notes are automatically called early if Albemarle’s share price on any observation date before maturity is at or above the initial level, in which case investors receive the principal plus any due coupon and the product terminates. If not called and Albemarle’s final level is at or above a downside threshold, investors receive full principal at maturity; if it is below the threshold, they are exposed one-for-one to the share’s decline and can lose all of their investment.
The notes are issued in $10 denominations, with a minimum investment of 100 notes. Hypothetical examples illustrate a 20.24% per annum contingent coupon on a $10 note and scenarios ranging from modest gains to losses of almost all principal. The estimated initial value per $10 note on the trade date is expected between $9.42 and $9.67, and any payment depends on the creditworthiness of UBS. The notes will not be listed on any exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Broadcom Inc., maturing on or about January 18, 2028. Each Note has a $10 principal amount, with a minimum investment of 100 Notes. These unsecured debt obligations pay a contingent coupon only if Broadcom’s closing level on an observation date is at or above a coupon barrier; otherwise no coupon is paid for that period.
The Notes are automatically called early if Broadcom’s closing level on any observation date before the final valuation date is at or above the initial level, in which case investors receive principal plus any due contingent coupon and the Notes terminate. If not called, and the final level is at or above a downside threshold, investors receive only the $10 principal at maturity. If the final level is below the downside threshold, repayment is reduced in line with the stock’s decline and can fall to zero. Any payment depends on the creditworthiness of UBS, and the estimated initial value per Note on the trade date is expected to be between $9.43 and $9.68.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of PVH Corp., maturing on or about January 15, 2027. These unsecured debt notes pay a contingent coupon only if, on each observation date, the PVH share price is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The notes can be automatically called early if PVH’s stock closes at or above the initial level on any observation date before final valuation. In that case, investors receive the principal plus any due contingent coupon on the call settlement date, and the investment ends. If the notes are not called and the final stock level is at or above the downside threshold, investors receive full principal back at maturity.
If the notes are not called and the final PVH level falls below the downside threshold, the repayment is reduced in line with the stock’s percentage loss, and investors can lose some or all of their initial investment. Payments, including any contingent coupons and principal, depend entirely on the creditworthiness of UBS. The minimum investment is 100 notes at $10 each, and the estimated initial value per note on the trade date is expected to be between $9.49 and $9.74.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Vertiv Holdings Co, maturing on or about January 18, 2028. These unsecured, unsubordinated notes pay a contingent coupon only if Vertiv’s closing share price on a quarterly observation date is at or above a specified coupon barrier; otherwise no coupon is paid.
The notes can be automatically called after about 6 months on any quarterly observation date if the share price is at or above the initial level, in which case investors receive the principal plus the applicable contingent coupon and the product terminates early. If not called, and Vertiv’s final share price is at or above the downside threshold at maturity, investors receive the $10 principal per Note; if it is below that level, repayment is reduced in line with the share price decline, and total loss of principal is possible.
The minimum investment is 100 Notes at $10 each. The estimated initial value per Note is expected to be between $9.46 and $9.71 based on UBS’s internal models. Payments depend on UBS’s credit, the notes will not be listed on an exchange, and the documents emphasize that the product is complex and significantly riskier than conventional debt.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Amazon.com, Inc., scheduled to mature on or about July 15, 2027. These unsecured debt securities can pay contingent coupons only if Amazon’s closing share price on an observation date is at or above a preset coupon barrier, and the notes may be called early if the share price reaches or exceeds the initial level on any bimonthly observation date.
If the notes are not called and Amazon’s closing price on the final valuation date is at or above a downside threshold, investors receive back the full principal; if it is below that threshold, repayment is reduced in line with the stock’s percentage decline and investors could lose their entire investment. Any payment depends on UBS’s creditworthiness. The notes are sold in a minimum of 100 notes at $10 each, and their estimated initial value is expected to be between $9.44 and $9.69 per $10 note.