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 Lam Research Corporation, maturing on or about January 18, 2028. These unsecured debt obligations can pay periodic contingent coupons only if Lam Research’s share price on specified observation dates is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The notes are automatically called early if the 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 the notes are not called and the final share 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 share’s decline and total loss of principal is possible.
The notes are issued in $10 denominations with a minimum $1,000 investment. UBS expects the initial value per $10 note to be between $9.42 and $9.67, and all payments depend on UBS’s creditworthiness. The notes will not be listed on any exchange.
UBS AG is offering $1,751,000 of Trigger Callable Contingent Yield Notes linked to the worst performer of the SPDR S&P Regional Banking ETF (KRE) and the Financial Select Sector SPDR Fund (XLF), maturing on May 11, 2028. The Notes pay a contingent coupon at a rate of 9.05% per annum (about $7.5417 per $1,000 Note per period) only if on each monthly observation date both ETFs close at or above their coupon barriers, set at 60% of initial levels ($40.85 for KRE and $33.54 for XLF). UBS may call the Notes in whole, but not in part, on any observation date beginning after 13 months, paying principal plus any due coupon and ending further payments. If the Notes are not called and either ETF finishes below its downside threshold (also 60% of initial level), repayment is reduced in line with the negative return of the worst-performing ETF, up to a total loss of principal. The Notes are unsecured debt of UBS, are not listed on any exchange, and carry both market risk from the underlying ETFs and UBS credit risk. The estimated initial value is $986.70 per $1,000 Note, below the $1,000 issue price.
UBS AG is offering Airbag Autocallable Contingent Yield Notes linked to the S&P 500® Index, combining contingent income with substantial downside risk. Each $1,000 Note pays a semiannual contingent coupon at a rate of at least 7.70% per annum if, on an observation date, the index closes at or above a coupon barrier set at 80.00% of the initial level; otherwise no coupon is paid.
Beginning after 12 months, the Notes are automatically called if the index closes at or above a call threshold equal to 100.00% of the initial level, in which case investors receive principal plus the applicable coupon and the Notes terminate. If not called, and on the final valuation date in 2030 the index is at or above the 80.00% downside threshold, investors receive full principal; if it is below, repayment is reduced so that investors lose 1.25% of principal for each 1% decline beyond the 20.00% threshold, up to a total loss.
The Notes are unsubordinated, unsecured obligations of UBS, not bank deposits and not insured, so all payments depend on UBS’s credit. They will not be listed on any exchange, and UBS estimates the initial value at $957.20–$987.20 per $1,000 Note, reflecting fees, hedging and funding costs.
UBS AG is offering $40,217,000 of Capped Leveraged S&P 500® Index‑Linked Medium‑Term Notes due February 16, 2027. Each note has a $1,000 face amount and pays no interest. At maturity, holders receive cash based on S&P 500® performance from the January 9, 2026 trade date to the February 11, 2027 determination date.
If the index rises, investors earn 150% of the index gain but are capped at a maximum settlement amount of $1,151.50 per $1,000, corresponding to a cap level of 110.10% of the initial index level of 6,966.28. If the index is flat, investors receive only their $1,000 principal. If the index falls, the notes lose 1% of principal for every 1% index decline, up to a total loss of principal.
The notes are unsecured obligations of UBS AG London Branch, carry full issuer credit risk, are not FDIC‑insured, and will not be listed on an exchange, so secondary market liquidity may be limited. The estimated initial value is $985.00 per $1,000, below the issue price, reflecting dealer compensation, hedging and funding costs.
UBS AG is offering trigger callable contingent yield notes linked to the worst performer of the Nasdaq-100, Russell 2000 and S&P 500 indices, maturing around July 18, 2029. The notes pay a contingent coupon only if, on every trading day in a quarter, each index stays at or above its coupon barrier, with a minimum coupon rate of at least 10.30% per annum on the $10 denomination.
UBS can call the notes on quarterly observation dates, repaying principal plus any due coupon, after which no further payments are made. If the notes are not called and any index finishes below its downside threshold (60% of its initial level), investors take a loss matching that index’s negative return and could lose their entire investment. Barriers are set at 70% (coupon) and 60% (downside) of initial index levels, the estimated initial value is expected between $9.60 and $9.90 per $10 note, and all payments depend on UBS’s credit.
UBS AG is offering Capped Buffer GEARS linked to an equally weighted basket of 10 equities, with a term of about 15 months. Each Security has a $10 principal amount and provides 2.00x leveraged exposure to any positive basket return, but gains are capped at a maximum gain of 30.00%–32.00%, for a maximum payment of $13.00–$13.20 per Security. The initial basket level will be set to 100.00 and the downside threshold to 92.00, giving an 8.00% buffer.
If the basket return is positive, the payout equals $10 times 1 plus the lesser of the geared basket return or the maximum gain. If the basket return is zero or negative but the final basket level stays at or above the downside threshold, investors receive their $10 principal back. If the final basket level falls below the downside threshold, principal is reduced in proportion to losses beyond the 8.00% buffer, and investors could lose almost all of their investment.
The Securities pay no interest, do not provide dividends on the basket assets, and will not be listed on an exchange. The issue price is $10.00, including a $0.20 underwriting discount, for net proceeds to UBS of $9.80 per Security. UBS estimates the initial value at $9.501–$9.801, reflecting its internal pricing models and costs. All payments depend on UBS’s credit; a default could result in total loss.
UBS AG is offering Trigger Callable Contingent Yield Securities due January 2028 linked to the worst performer of the Nasdaq-100, Russell 2000 and S&P 500. Each $1,000 security pays a quarterly contingent coupon of $23.50, equivalent to a 9.40% annual rate, but only if on every trading day in the observation period all three indices stay at or above 70% of their initial levels, the coupon barrier.
UBS can call the notes in whole on any coupon date before maturity, paying back principal plus any due coupon, after which no further payments are made. If the notes are not called and, at maturity, any index finishes below its 70% trigger level, repayment is reduced in line with the worst index’s percentage loss, potentially to zero, so investors may lose all principal. The notes are unsecured obligations of UBS AG London Branch, are not listed, and have an estimated initial value between $930.00 and $960.00 per $1,000, reflecting fees, hedging and UBS’ internal funding rate.
UBS AG is offering Trigger Callable Contingent Yield Notes due December 3, 2027, with a total issue of $8,443,000 and a principal amount of $1,000 per Note. The Notes pay a contingent coupon at a rate of 11.35% per annum (about $9.4583 per month per Note) only if, on each monthly observation date, the Dow Jones Industrial Average®, Nasdaq-100® Technology Sector IndexSM and Russell 2000® Index all close at or above their coupon barriers, set at 70.00% of their initial levels.
UBS may call the Notes in whole on any observation date beginning after 3 months, paying back principal plus any due coupon; no further payments would then be made. If the Notes are not called and, at maturity, any index finishes below its downside threshold (also 70.00% of its initial level), repayment is reduced in line with the negative return of the worst-performing index, and the entire principal can be lost. The estimated initial value is $977.60 per $1,000 Note, and all payments depend on the creditworthiness of UBS.
UBS AG is offering $500,000 of Trigger Autocallable Contingent Yield Notes linked to Broadcom Inc. common stock, maturing January 18, 2029. These unsecured notes pay a 13.30% per annum contingent coupon (about $33.25 per $1,000 note per year) only if Broadcom’s closing price on quarterly observation dates is at or above a coupon barrier set at 50% of the $344.97 initial level.
UBS will automatically call the notes after six months if Broadcom’s price is at or above the call threshold, set at 100% of the initial level, returning principal plus the due coupon and ending further payments. If the notes are not called and Broadcom finishes at or above the 50% downside threshold, investors receive full principal back; below that level, repayment is reduced in line with Broadcom’s percentage decline, and investors could lose their entire investment. The estimated initial value is $971.30 per $1,000 note, and all payments depend on UBS’s creditworthiness.
UBS AG is offering Trigger Callable Contingent Yield Notes, each with a $1,000 principal amount and a term of about five years, linked to the least performing of four underlying assets: the Nasdaq-100 Index, the Russell 2000 Index, the iShares 20+ Year Treasury Bond ETF and the Utilities Select Sector SPDR Fund.
The Notes pay an 11.00% per annum contingent coupon, but only for months when the closing level of each underlying is at or above its coupon barrier, set at 70% of its initial level. UBS can call the Notes in whole, starting after three months, paying back principal plus any due coupon, and ending all future payments.
If the Notes are not called and, at maturity in January 2031, every underlying is at or above its downside threshold of 60% of its initial level, investors receive full principal back (plus any final coupon if all are above the coupon barriers). If any underlying finishes below its downside threshold, repayment is reduced one-for-one with that worst performer, and investors could lose their entire investment. The Notes are unsecured obligations of UBS, carry significant market and credit risk, will not be listed, and have an estimated initial value between $960.10 and $990.10 per $1,000 issue price.