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UBS (AMUB) SEC Filings, Jan 2-5, 2026

AMUB NYSE
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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the Dow Jones Industrial Average, Nasdaq-100 and Russell 2000, maturing on or about January 12, 2029. The Notes pay a 9.50% per annum contingent coupon (about $7.9167 per $1,000 monthly) only if, on each observation date, all three indices close at or above their coupon barriers, set at 70% of the initial level for each index. UBS may call the Notes in whole on any monthly observation date beginning after 12 months, paying principal plus any due coupon; no further payments are made after a call.

If the Notes are not called and, at maturity, any index finishes below its downside threshold (also 70% of initial), investors suffer a loss matching the negative return of the worst-performing index and could lose their entire principal. The Notes are unsecured obligations of UBS, are not bank deposits or FDIC insured, and all payments depend on UBS’s credit. The issue price is $1,000 per Note, with an estimated initial value between $961.80 and $991.80 and an underwriting discount of $7.00, leaving $993.00 in proceeds to UBS per Note.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the worst performer among the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index, with a term of about three years and monthly observation dates. The Notes pay a contingent coupon only when all three indices close at or above their coupon barriers; if any index is below its barrier on an observation date, no coupon is paid for that period.

UBS may call the Notes in whole, beginning after six months, on any observation date other than the final one, paying principal plus any due coupon, after which no further payments occur. If the Notes are not called and each index finishes at or above its downside threshold, investors receive full principal at maturity; if any index finishes below its downside threshold, repayment is reduced one-for-one with the worst index’s decline, and the entire investment can be lost. All payments depend on UBS’s credit, and the Notes are unsecured, unsubordinated obligations that will not be listed on an exchange.

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Rhea-AI Summary

UBS AG is offering Trigger Callable Contingent Yield Notes, which are unsecured debt linked to the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index. The notes pay a 9.15% per annum contingent coupon (about $7.625 per $1,000 note each month) only if, on an observation date, the closing level of each index is at or above its coupon barrier, set at 70% of its initial level.

The notes are callable by UBS on any monthly observation date beginning after three months. If called, investors receive the $1,000 principal plus any due coupon, and the investment ends early. If not called and at maturity all three indexes are at or above their downside thresholds (also 70% of initial levels), investors receive full principal back, plus any final coupon.

If the notes are not called and at maturity any one index finishes below its downside threshold, repayment is reduced in line with the percentage loss of the worst-performing index, and investors can lose some or all of their principal. Payments depend on the creditworthiness of UBS, and the estimated initial value is indicated between $941.20 and $971.20 per $1,000 note, reflecting structuring and hedging costs.

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UBS AG is offering $3,604,000 of Trigger Autocallable Contingent Yield Notes with Memory Interest linked to the least performing of the S&P 500 Index, the Russell 2000 Index and the Nasdaq-100 Technology Sector Index, maturing January 7, 2030. The notes pay a 9.30% per annum contingent coupon only when all three indices close at or above their coupon barriers, generally 80% of initial levels, with missed coupons potentially paid later if conditions are met.

The notes can be called early monthly after 12 months if each index is at or above its initial level, returning principal plus due and previously unpaid coupons. If not called and any index finishes below its 60% downside threshold at maturity, investors receive less than principal in proportion to the worst index’s decline and can lose their entire investment. The issue price is $1,000 per note, the estimated initial value is $973.60, and any payment depends on UBS’s creditworthiness.

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UBS AG is issuing $3,000,000 of Buffer Callable Contingent Yield Notes, each with a $1,000 principal amount, maturing on January 7, 2027. The notes pay a 14.70% per annum contingent coupon (about $12.25 per month per $1,000) only if, on each monthly observation date, the Nasdaq‑100, Russell 2000 and S&P 500 are all at or above 90% of their initial levels. UBS can call the notes in whole, beginning after three months, paying back principal plus any due coupon.

If the notes are not called and any index finishes below its 90% downside threshold, principal is reduced in line with the worst index performance beyond a 10% buffer, and investors could lose almost all of their investment. The notes are unsecured obligations of UBS, not insured deposits, have no stock upside or dividends, and may have limited or no secondary market. The estimated initial value is $985.60 per $1,000, reflecting fees and UBS’s internal funding rate.

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424B2
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UBS AG is offering $985,000 of Trigger Callable Contingent Yield Notes, each with a $1,000 principal amount, linked to the least performing of the Dow Jones Industrial Average®, Nasdaq-100 Index® and Russell 2000® Index, maturing January 5, 2029.

The Notes pay a 10.00% per annum contingent coupon (monthly $8.3333 per Note) only when all three indices close at or above their coupon barriers, set at 70.00% of initial levels, on each observation date. UBS may call the Notes in whole, beginning after 6 months, paying 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 70.00% of initial level), investors receive full principal at maturity. If any index finishes below its downside threshold, repayment is reduced in line with the worst index’s percentage loss, and the entire investment can be lost. The Notes are unsecured obligations of UBS, not insured, not listed on an exchange, and have an estimated initial value of $968.10 per $1,000 Note, below the issue price.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the S&P 500® Index, maturing on or about January 9, 2031. The Notes pay a 7.15% per annum contingent coupon (about $5.9583 per month per $1,000) only when the index closes at or above a coupon barrier set at 70% of the initial level on the relevant observation date.

UBS may call the Notes in whole on any monthly observation date beginning after 12 months, returning the $1,000 principal plus any due coupon, after which no further payments are made. If the Notes are not called and the S&P 500 final level is at or above the 70% downside threshold, investors receive full principal back at maturity, plus the final contingent coupon if the barrier is met. If the final level is below the downside threshold, the payoff is $1,000 × (1 + underlying return), exposing investors to the full index decline and potentially a complete loss of principal.

The issue price is $1,000 per Note, with underwriting compensation of $2.50 and proceeds to UBS of $997.50 per Note. The estimated initial value is expected between $959.70 and $989.70. Payments depend entirely on UBS’s creditworthiness, the Notes are not insured, may have limited or no secondary market, and differ significantly from conventional debt and direct investments in the S&P 500.

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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.

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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.

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424B2
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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.

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FAQ

How many UBS (AMUB) SEC filings are available on StockTitan?

StockTitan tracks 8013 SEC filings for UBS (AMUB), including 20-F annual reports and 6-K reports. 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 5, 2026.