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 London Branch is offering Capped Performance Leveraged Upside Securities (Capped PLUS), a six‑month structured note linked to an unequally weighted basket of two equity indices and five ETFs with an aggregate principal amount of $11,542,000. Each note has a $1,000 stated principal amount, pays no interest, and is not listed on any exchange.
At maturity, investors receive $1,000 plus 2x the positive basket return, capped at a maximum gain of 6.20% (maximum payment $1,062 per note). If the basket is flat, holders receive only principal. If the basket declines, repayment is reduced one‑for‑one with the basket return and investors can lose all of their investment.
The notes are unsecured, unsubordinated UBS debt, fully exposed to UBS credit risk, and the estimated initial value of $984.50 per note is below the $1,000 issue price, reflecting fees, hedging and funding costs. Liquidity is not assured and any secondary market sales may occur at a substantial discount.
UBS AG London Branch is offering $9,210,000 of Trigger Jump Securities with Auto-Callable Feature linked to the worst performer of the Russell 2000 and S&P 500. Each note has a $1,000 principal amount and can be automatically redeemed on scheduled determination dates if both indices are at or above their initial levels, paying back principal plus a growing premium based on an approximate 8.65% per annum rate. If held to maturity and both indices finish at or above their initial levels, investors receive $1,519 per note; if both stay at or above 80% of their initial levels, they only receive principal back. If either index finishes below 80% of its initial level, repayment is reduced in line with the worst index’s loss, and the entire investment can be lost. The notes pay no interest, do not participate in index upside, are unsecured obligations of UBS and will not be listed on an exchange; their estimated initial value is $949.70 per $1,000.
UBS AG is offering $300,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of PayPal Holdings, Inc., maturing January 6, 2027. These unsecured debt notes pay a contingent coupon only if PayPal’s 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 automatically called before maturity if PayPal’s stock closes at or above the initial level on any observation date, in which case investors receive the principal plus any due coupon and the product terminates early. If not called, and the final stock level is at or above a downside threshold, principal is repaid 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. UBS discloses an estimated initial value of $9.80 per note, below the $10 issue price, and emphasizes that all payments depend on UBS’s creditworthiness and the notes will not be listed on an exchange.
UBS AG is offering unsecured Trigger Autocallable Contingent Yield Notes linked to the common stock of PayPal Holdings, Inc., with a scheduled maturity on or about January 6, 2027. The notes pay a contingent coupon only if PayPal’s share price on a given observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period.
The notes are automatically called early if PayPal’s share price on any observation date before maturity is at or above the initial level, in which case investors receive principal plus the applicable contingent coupon and no further payments. If the notes are not called and PayPal’s final share price is at or above a downside threshold, investors receive principal at maturity; if it is below that threshold, repayment is reduced in line with PayPal’s decline, and all principal can be lost. All payments depend on the creditworthiness of UBS.
UBS AG is offering $205,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Advanced Micro Devices, Inc., maturing on January 8, 2029. The notes pay a contingent coupon only if AMD’s share price on each observation date is at or above a preset coupon barrier; otherwise no coupon is paid for that period. UBS will automatically call the notes early if AMD’s price on any observation date before maturity is at or above the initial level, returning the $10 principal per note plus any due coupon, with no further payments.
If the notes are not called and AMD’s final share price on the January 4, 2029 valuation date is at or above a downside threshold, investors receive their $10 principal back; if it is below that threshold, repayment is reduced in line with AMD’s percentage decline and can fall to zero. All payments depend on UBS’s credit, the notes are not insured or exchange-listed, the minimum investment is 100 notes ($1,000), and the estimated initial value is $9.72 per $10 note, reflecting internal pricing and funding costs.
UBS AG is offering $250,000 Trigger Autocallable Contingent Yield Notes linked to the common stock of NIKE, Inc., maturing on January 6, 2028. The Notes pay a contingent coupon only if NIKE’s closing share price on an observation date is at or above a coupon barrier, illustrated as 70% of the initial level with a hypothetical 12.06% per annum rate. The Notes are automatically called if NIKE closes at or above the initial level on any observation date before maturity, returning principal plus the relevant coupon and ending further payments. If not called, investors receive full principal back at maturity only if the final NIKE level is at or above the downside threshold, also illustrated at 70% of the initial level; otherwise repayment is reduced in line with NIKE’s percentage decline, and all principal can be lost. The minimum investment is 100 Notes at $10 each, and the estimated initial value is $9.78 per Note. All payments depend on UBS’s credit and the Notes will not be listed on an exchange.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Advanced Micro Devices, Inc., maturing on or about January 8, 2029. These are unsubordinated, unsecured debt obligations of UBS.
Investors receive a contingent coupon on each observation date only if the AMD share price is at or above a preset coupon barrier. The notes are automatically called early if AMD’s closing level on any observation date before maturity is at or above the initial level, in which case investors receive principal plus that period’s coupon and no further payments.
If the notes are not called and AMD is at or above a downside threshold at maturity, investors receive back the principal (and a final coupon if the barrier is met). If AMD is below the downside threshold, repayment is reduced in line with AMD’s percentage decline, and investors could lose all of their investment. The notes are not listed, carry UBS credit risk, have a minimum purchase of 100 notes at $10 each, and an estimated initial value between $9.38 and $9.63 per note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Micron Technology, Inc., maturing on or about January 8, 2029. These are unsecured, unsubordinated debt obligations of UBS.
Investors may receive periodic contingent coupons, but only if Micron’s share price on each observation date is at or above a preset coupon barrier. The notes will be automatically called early if Micron’s share price on any observation date before the final valuation date is at or above the initial level, in which case investors receive principal 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 a downside threshold, investors receive full principal at maturity. If the final price is below that threshold, the repayment is reduced in line with Micron’s percentage decline, and investors can lose all of their initial investment. All payments depend on UBS’s creditworthiness. The estimated initial value per note on the trade date is expected to be between $9.37 and $9.62.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of NIKE, Inc., with an expected maturity on or about January 6, 2028. These unsecured debt notes pay a contingent coupon only when NIKE’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 can be automatically called early if NIKE’s share price on an observation date (before the final valuation date) is at or above the initial level. In that case, holders receive the $10 principal per Note plus any due contingent coupon on the call settlement date, and no further payments. If the notes are not called and NIKE’s final share price is at or above the downside threshold at maturity, investors receive back their principal, potentially with a final contingent coupon.
If the notes are not called and NIKE’s final share price is below the downside threshold, repayment is reduced in line with the share price decline, and holders can lose some or all of their initial investment. The estimated initial value is expected to be between $9.42 and $9.67 per $10 Note, and all payments depend on the creditworthiness of UBS.
UBS AG is offering $362,000 of Trigger Autocallable Contingent Yield Notes linked to the common stock of Lam Research Corporation, maturing on January 6, 2028. Each Note has a $10 principal amount, with a minimum investment of 100 Notes ($1,000).
Investors receive contingent coupons only if Lam Research’s share price on the relevant observation date is at or above a preset coupon barrier; otherwise no coupon is paid. 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 principal plus the applicable coupon and the Notes terminate. If not called and the final share level is at or above a downside threshold, principal is repaid at maturity; if it is below that threshold, repayment is reduced in line with the share’s decline, and all principal can be lost. Payments depend on UBS’s credit, and the Notes are not listed or insured. The estimated initial value is $9.79 per $10 Note.