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 Oracle Corporation, maturing on or about December 26, 2028. These unsecured debt notes can pay quarterly contingent coupons only when Oracle’s closing share price on an observation date is at or above a preset coupon barrier; if it is below, no coupon is paid for that period.
The notes may be automatically called early if Oracle’s price on an observation date reaches or exceeds the initial level, in which case investors receive the $10 principal per note plus any due coupon and no further payments. If the notes are not called and Oracle’s final level at maturity is at or above a downside threshold, investors receive back their principal. If the final level is below the downside threshold, repayment is reduced one-for-one with Oracle’s decline, and investors can lose all of their investment. All payments depend on UBS’s ability to meet its obligations, and the notes will not be listed on any exchange. The estimated initial value is expected to be between $9.37 and $9.62 per $10 note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of lululemon athletica inc., maturing on or about December 24, 2026. These unsecured debt obligations pay a contingent coupon only if lululemon’s closing share price on an observation date is at or above a specified coupon barrier; otherwise no coupon is paid for that period.
The notes are automatically called early if lululemon’s share price on any observation date before the final valuation date is at or above the initial level. In that case, investors receive the principal plus the applicable contingent coupon on the call settlement date and no further payments. If the notes are not called and lululemon’s final level is at or above the downside threshold, investors receive the full principal at maturity; if it is below the downside threshold, repayment is reduced in line with the share price decline and all principal can be lost.
The notes are issued in $10 denominations with a minimum investment of 100 notes. The estimated initial value is expected to be between $9.52 and $9.77 per $10 note, based on UBS’ internal models. The notes will not be listed, may be difficult to sell, and all payments depend on the creditworthiness of UBS.
UBS AG is issuing $1,000,000 in Trigger In-Digital Securities linked to the S&P 500 Index, maturing on January 22, 2027. Each note has a $1,000 principal amount and offers a fixed digital return of 7.85% if, on the final valuation date, the S&P 500 closing level is at or above the digital barrier, set at 5,081.07, which is 75% of the initial level of 6,774.76.
If the final index level is below this downside threshold, investors receive $1,000 × (1 + underlying return), taking the full loss of the index decline and potentially losing all principal. The notes pay no interest, are unsecured unsubordinated UBS debt and are not listed on any exchange, so liquidity may be limited. The estimated initial value is $993.50 per note; the issue price is $1,000, including a $2.20 underwriting discount and $997.80 in proceeds to UBS per note.
UBS AG is issuing $2,200,000 of Trigger Callable Contingent Yield Notes linked to the worst performer among the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the VanEck Semiconductor ETF, maturing in June 2030. The notes pay a contingent coupon at a rate of 15.35% per annum only if, on a monthly observation date, each underlying is at or above its coupon barrier, set at 75% of its initial level. UBS can call the notes in whole on any observation date (other than the final one); if called, investors receive principal plus any due coupon and no further payments.
If the notes are not called and every underlying finishes at or above its downside threshold, set at 60% of its initial level, investors receive full principal at maturity, plus any final contingent coupon if the coupon barriers are also met. If any underlying ends below its downside threshold, the maturity payment is reduced 1-for-1 with the negative return of the worst-performing underlying, and investors can lose up to 100% of principal. Payments depend entirely on UBS’s credit; a default by UBS could result in a total loss regardless of underlying performance. The notes will not be listed, and secondary market liquidity may be limited.
UBS AG is issuing $373,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Russell 2000 Index and S&P 500 Index, maturing December 21, 2028.
The Notes pay a contingent coupon at an annual rate of 8.85% (about $7.375 per $1,000 per month) only if, on each monthly observation date, every index closes at or above 75% of its initial level. UBS may call the Notes in whole on any observation date 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, at maturity, all three indices are at or above 60% of their initial levels, investors receive only the $1,000 principal per Note (plus any final coupon if the 75% barrier is met). If any index finishes below its 60% downside threshold, repayment is reduced in line with the worst index’s loss, up to a total loss of principal. Payments depend on UBS’s credit; the estimated initial value is $987.80 per $1,000.
UBS AG, through its London Branch, is offering $1,085,000 of Step Down Trigger Autocallable Notes linked to the least performing of the Russell 2000 Index and the S&P 500 Index, maturing on December 24, 2030. The notes can be automatically called quarterly after 12 months if both indices are at or above declining call threshold levels, paying $1,000 plus a call return based on a 9.00% per annum rate, up to a 45.00% total return at maturity. If the notes are not called and at least one index finishes below its downside threshold of 75.00% of its initial level, investors receive $1,000 times the index return of the worst performer and can lose some or all principal. The notes pay no interest, do not provide dividends, are not listed, and all payments depend on UBS’s credit, with an estimated initial value of $990.00 per $1,000 note.
UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index, maturing around January 3, 2031. The Notes pay a contingent coupon at a rate of 18.50% per annum (about $15.4167 per $1,000 Note per month) only when the index closes at or above a coupon barrier set at 70% of the initial level on the relevant monthly observation date.
The Notes can be called early any month beginning after six months if the index is at or above a call threshold equal to 100% of the initial level, in which case investors receive the $1,000 principal plus that period’s coupon and no further payments. If not called and the final index level is at or above a downside threshold equal to 50% of the initial level, investors receive their $1,000 principal at maturity; below that level, repayment is reduced dollar‑for‑dollar with the index loss, potentially to zero. The underlying index uses leverage up to 500%, a 40% volatility target and a 6.0% per annum daily decrement, and the Notes are unsecured obligations of UBS with no listing and an estimated initial value between $928.60 and $958.60 per $1,000 face amount.
UBS AG is offering trigger autocallable contingent yield notes linked separately to Amazon.com and TPG common stock, in aggregate principal amounts of $37,859,500 and $1,405,000 due December 22, 2028. Investors receive quarterly contingent coupons only when the stock closes at or above preset coupon barriers, with annual rates of 10.00% for Amazon notes and 9.00% for TPG notes. The notes may be automatically called after six months if the stock is at or above the initial level, returning principal plus the due coupon.
If the notes are not called and the final stock level is at or above the downside threshold (63.25% of the initial level for Amazon and 49.85% for TPG), investors receive full principal back; below these thresholds, repayment is reduced one-for-one with the stock’s decline and can fall to zero. The notes do not pay dividends or participate in stock gains, are not listed on any exchange, and any payment depends on UBS’s credit. The estimated initial value per $10 note is $9.687 for Amazon and $9.567 for TPG, reflecting fees and UBS’s internal funding rate.
UBS AG is offering $1,416,000 of Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100, Russell 2000 and S&P 500 indexes, maturing on June 24, 2027. Each $1,000 Note pays a 10.15% per annum contingent coupon only if all three indexes are at or above their coupon barriers, set at 70% of initial levels, on monthly observation dates. UBS can call the Notes in whole, beginning after three months, paying principal plus any due coupon and ending further payments.
If the Notes are not called and any index finishes below its downside threshold (also 70% of initial level), repayment is reduced in line with the worst index’s loss and can fall to zero, so investors may lose all principal. The Notes are unsecured obligations of UBS, not listed on any exchange, and have an estimated initial value of $976.20 per $1,000, reflecting fees and hedging costs.
UBS AG is issuing $1,187,000 of Trigger Callable Contingent Yield Notes linked to the worst performer of the Russell 2000 Index and the S&P 500 Index, maturing December 22, 2028. The notes pay a 10.10% per annum contingent coupon (about $8.4167 per $1,000 monthly) only when both indices are at or above 70% of their initial levels on each observation date. UBS can call the notes in whole, beginning after three months, paying back principal plus any due coupon, after which no further payments are made. If the notes are not called and either index finishes below its 70% downside threshold, investors receive $1,000 times the return of the worst-performing index and can lose some or all principal. All payments depend on UBS’s ability to meet its obligations, and the estimated initial value is $979.40 per $1,000 note, below the issue price.