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UBS AG (AMUB) SEC Filings, Jan 6, 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 $600,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Index®, Russell 2000® Index and S&P 500® Index, maturing on January 10, 2030. The Notes pay a contingent coupon at a rate of 6.60% per annum (about $5.50 per $1,000 Note monthly) only if, on an observation date, each index closes at or above its coupon barrier, set at 65% of its initial level for each index. UBS may call the Notes in whole, beginning after six months, paying back principal plus any due coupon, after which no further payments are made. If the Notes are not called and each index finishes at or above its downside threshold (also 65% of its initial level), investors receive full principal back. If any index finishes below its downside threshold, repayment is reduced in line with the negative return of the worst-performing index, and investors can lose all of their principal. All payments depend on UBS’s creditworthiness.

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UBS AG is offering $1,689,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, maturing on December 9, 2027.

The Notes pay a 10.60% per annum contingent coupon (about $8.8333 per $1,000 per month) only if on each monthly observation date all three indices are at or above their coupon barriers, set at 70% of their initial levels. UBS may call the Notes in whole on any observation date after three months, returning principal plus any due coupon, ending future payments.

If the Notes are not called and any index finishes below its 70% downside threshold at maturity, investors receive $1,000 times one plus the return of the worst-performing index, which can mean losing some or all principal. Investors do not benefit from index gains beyond coupons, forgo dividends, face limited or no liquidity, and bear full credit and bail-in risk of UBS AG.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to CoreWeave, Inc. common stock, maturing around July 20, 2027. Each $1,000 Note can pay a high contingent coupon at a rate of 37.65% per annum, but only on monthly observation dates when CoreWeave’s share price is at or above a coupon barrier set at 60% of the initial level.

The Notes can be automatically called as early as about three months after issuance if the stock closes at or above a call threshold equal to 100% of the initial level, in which case holders receive principal plus the due coupon and the Notes terminate. If not called, and on the final valuation date the stock is at or above a downside threshold set at 50% of the initial level, investors receive full principal back (plus any final coupon if the barrier is met).

If the Notes are not called and the final stock level is below the downside threshold, repayment of principal is reduced one-for-one with the stock’s percentage loss, and investors can lose all of their investment. The Notes are unsecured debt of UBS, are not insured deposits, will not be listed on an exchange, and their estimated initial value is expected to be between $915.90 and $945.90 per $1,000 issue price, reflecting fees, hedging and UBS’ internal funding rate.

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UBS AG is offering $1,403,000 of Trigger Callable Contingent Yield Notes, each with a $1,000 principal amount, linked to the least performing of the SPDR S&P Regional Banking ETF (KRE), the Nasdaq-100 Technology Sector Index (NDXT) and the Energy Select Sector SPDR Fund (XLE), maturing on January 10, 2029.

The Notes pay a contingent coupon at a rate of 12.15% per annum ($10.125 per month per $1,000) only if, on each monthly observation date, the level of every underlying is at or above its coupon barrier set at 70% of its initial level. UBS can call the Notes in whole, beginning after six months, paying back principal plus any due coupon.

If the Notes are not called and, at maturity, every underlying is at or above its downside threshold (50% of initial level), investors receive full principal back; otherwise, repayment is reduced one-for-one with the negative return of the worst-performing underlying, and all principal can be lost. Payments depend entirely on UBS’s credit, and the estimated initial value per Note is $987.40, below the $1,000 issue price.

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UBS AG is offering $2,257,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100, Russell 2000 and S&P 500 indices, maturing on January 10, 2029. The notes pay a contingent coupon at a rate of 10.20% per annum (about $8.50 per $1,000 note per period) only if, on each monthly observation date, all three indices close at or above their coupon barriers, set at 70% of their initial levels, which are also the downside thresholds.

UBS may call the notes in whole on any observation date beginning after three months; if called, investors receive principal plus any due contingent coupon and no further payments. If the notes are not called and any index finishes below its downside threshold at final valuation, investors receive $1,000 times one plus the return of the worst-performing index, which can result in a substantial loss of principal, including a total loss. Payments depend entirely on the creditworthiness of UBS, and the notes will not be listed on any exchange. The estimated initial value is $968.20 per $1,000 note, lower than the issue price due to fees, hedging and internal funding rates.

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UBS AG is offering Buffer Contingent Absolute Return GEARS, unsecured notes linked to the worst performer among the Nasdaq-100, Russell 2000 and S&P 500 over about two years. Each Security has a $1,000 principal amount, 1.05x upside gearing and a 20% downside buffer.

At maturity, if the least performing index is up, investors receive principal plus the index gain multiplied by 1.05. If that index is flat or down but not below 80% of its initial level, investors receive a positive “contingent absolute return” on losses up to 20%, capped at a 20% maximum return ($1,200). If any index finishes below its downside threshold, repayment is reduced in line with losses beyond the 20% buffer and investors can lose almost all principal. The notes pay no interest, are not listed, have limited or no secondary market, and all payments depend on the credit of UBS.

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UBS AG is offering trigger callable contingent yield notes that are unsecured, unsubordinated debt linked to the least performing of the Nasdaq-100® Technology Sector Index℠, the S&P 500® Index and the Energy Select Sector SPDR® Fund. Each Note has a $1,000 principal amount, a term of about 23 months to December 14, 2027 and pays a 10.70% per annum contingent coupon (about $8.9167 per month) only if on an observation date the closing level of each underlying is at or above its coupon barrier, set at 70% of its initial level.

UBS may, at its discretion, call the Notes in whole (but not in part) on any monthly observation date beginning after three months; on a call, investors receive principal plus any due contingent coupon and no further payments. If the Notes are not called and at maturity every underlying is at or above its 70% downside threshold, investors receive back principal (and a final coupon if all are above barriers). If any underlying finishes below its downside threshold, the repayment is reduced dollar-for-dollar with the negative return of the worst performer, up to a complete loss of principal.

The estimated initial value is expected between $939.20 and $969.20 per $1,000 Note, reflecting fees and UBS’s internal funding rate. The Notes are not listed, may have limited or no secondary market, pay no dividends from the ETF or index constituents, and all payments are subject to the credit risk of UBS.

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UBS AG is offering trigger callable contingent yield notes linked to the least performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index. Each Note has a $1,000 principal amount and a term of about 23 months, maturing around December 16, 2027, with monthly observation dates and potential issuer calls after three months.

The Notes pay a contingent coupon at an annual rate of 11.25% (about $9.375 per month per Note) only if on an observation date each index closes at or above its coupon barrier, set at 70% of its initial level. UBS may call the Notes on any observation date (except the final one) and then repays principal plus any due coupon.

If the Notes are not called and on the final valuation date any index is below its downside threshold (also 70% of its initial level), investors receive less than principal, based on the worst-performing index, and can lose their entire investment. The estimated initial value is between $955.90 and $985.90 per $1,000 Note, and all payments depend on UBS’s creditworthiness.

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UBS AG is offering Phoenix Autocallable Buffer Notes with Memory Interest linked to Wells Fargo & Company common stock, maturing on or about January 27, 2027. Each Note has a $1,000 principal amount, with a minimum investment of 10 Notes. Investors may receive a fixed contingent interest payment of at least $31.80 per Note on quarterly interest payment dates if Wells Fargo’s closing price on the related observation date is at or above an interest barrier set at 85.00% of the initial price; missed coupons can be paid later under the “memory” feature.

The Notes can be called early if Wells Fargo’s stock closes at or above the initial price on any autocall observation date, in which case investors receive principal plus the due and previously unpaid contingent interest. If not called, and the final price on the valuation date is at or above the downside threshold (also 85.00% of the initial price), UBS repays principal plus any owed contingent interest. If the final price is below the downside threshold, investors receive a cash amount based on a share delivery formula that can be significantly less than principal, with losses increasing at approximately 1.1765% for each 1% the final price is below the downside threshold.

The Notes are unsecured, unsubordinated UBS obligations, exposed both to Wells Fargo’s share performance and UBS credit risk. They will not be listed, may have limited or no secondary liquidity, and their estimated initial value on the trade date is expected to be between $953.60 and $983.60 per $1,000 Note, reflecting underwriting discounts, hedging and other costs.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among the SPDR S&P Regional Banking ETF, the Nasdaq-100 Technology Sector Index and the Energy Select Sector SPDR Fund. The Notes pay a contingent coupon at a rate of 11.60% per annum when, on a monthly observation date, each underlying is at or above 70% of its initial level; otherwise no coupon is paid. UBS can call the Notes in whole, starting after six months, paying back principal plus any due coupon, ending further payments. If the Notes are not called and any underlying finishes below 50% of its initial level at maturity in January 2029, repayment is reduced in line with the worst underlying’s loss, and investors could lose their entire principal. The issue price is $1,000 per Note, with an underwriting discount of $7 and an estimated initial value between $950.40 and $980.40, and all payments depend on the credit of UBS.

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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 6, 2026.