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UBS AG (AMUB) SEC Filings, Oct 14-15, 2025

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 filed a preliminary 424B3 for Trigger Callable Contingent Yield Notes linked to the least performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index, and the Utilities Select Sector SPDR Fund, maturing on or about October 17, 2030. The Notes pay a 12.00% per annum contingent coupon only if each underlying is at or above its coupon barrier on the monthly observation date; barriers and downside thresholds are each set at 70% of the initial level.

UBS may call the Notes, in whole, on any monthly observation date beginning after 3 months. If called, investors receive principal plus any due coupon; otherwise, at maturity investors receive principal only if every underlying finishes at or above its downside threshold. If any underlying finishes below its threshold, repayment is reduced one-for-one with the least performing underlying’s decline, up to total loss. Any payment depends on the credit of UBS.

Per-Note economics: issue price $1,000, underwriting discount $7.50, and proceeds to UBS of $992.50. The estimated initial value is expected between $943.70 and $973.70.

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UBS AG launched an amended preliminary pricing supplement for Trigger Autocallable Contingent Yield Notes linked to the common stock of Moderna, Inc., maturing on or about October 13, 2026. These unsecured, unsubordinated notes pay a contingent coupon only if the underlying closes at or above a coupon barrier on an observation date. The notes are automatically called if the underlying closes at or above the initial level on any observation date before final valuation; in that case, investors receive principal plus the applicable coupon and the notes terminate.

If not called, and the final level is at or above the downside threshold, investors receive principal at maturity (and the final coupon if the barrier is met). If the final level is below the downside threshold, repayment is reduced one-for-one with the underlying’s decline, and investors could lose their entire investment. All payments are subject to the creditworthiness of UBS.

Key terms: trade date October 8, 2025; settlement October 10, 2025; final valuation October 9, 2026; maturity October 13, 2026. Minimum investment is 100 Notes at $10 per Note. The estimated initial value per Note is expected between $9.57 and $9.82. The notes will not be listed on an exchange.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the common stock of Moderna, Inc., maturing on October 13, 2026. These unsecured, unsubordinated notes pay a contingent coupon only when the underlying stock closes at or above a preset coupon barrier on an observation date. The notes may be called early if the stock closes at or above the initial level on any observation date before the final valuation date, returning principal plus the due coupon for that period.

If not called, and the stock is at or above the downside threshold on the final valuation date, investors receive principal back; if it is below the downside threshold, repayment is reduced one-for-one with the stock’s decline, and total loss is possible. Any payment is subject to UBS’s credit.

Key terms include trade date October 8, 2025, settlement October 10, 2025, final valuation date October 9, 2026, and minimum investment of 100 notes at $10 per note. The estimated initial value is $9.76 per note. The notes will not be listed on any exchange.

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UBS AG is offering $1,215,000 of Trigger Autocallable Contingent Yield Notes linked to Microsoft common stock, due October 19, 2028.

The Notes pay a 9.85% per annum contingent coupon ($24.625 per quarter per $1,000) only if MSFT’s closing level on an observation date is at or above the coupon barrier $410.86 (80% of the initial level). The Notes are automatically called if MSFT closes at or above the call threshold $513.57 (100% of the initial level) on any observation date before maturity, returning principal plus the applicable coupon.

If not called, and the final level is at or above $410.86, principal is repaid at maturity. If the final level is below the downside threshold, repayment equals $1,000 × (1 + underlying return), exposing investors to losses up to total principal. Payments are subject to the creditworthiness of UBS; the Notes will not be listed.

Issue price is $1,000 per Note; the estimated initial value is $973.20 per Note. Underwriting discount is $20 per Note; proceeds to UBS total $1,190,700. Observation dates are quarterly through maturity.

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UBS AG filed a 424B2 for $3,873,000 Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index, and Russell 2000 Index, due July 18, 2030. The Notes pay a 9.25% per annum contingent coupon only if each index closes at or above its coupon barrier on monthly observation dates; otherwise no coupon is paid. UBS may call the Notes in whole on any observation date beginning after 6 months, returning principal plus any due coupon.

If not called, principal is repaid at maturity only if each index’s final level is at or above its downside threshold; if any index finishes below its threshold, repayment is reduced one-for-one with the loss of the worst index, up to total loss of principal. Initial levels/barriers/thresholds: INDU 46,270.46 / 70% / 60%; NDXT 12,574.97 / 70% / 60%; RTY 2,495.499 / 70% / 60%. The estimated initial value is $978.60 per $1,000 note. Key dates: trade Oct 14, 2025, settlement Oct 17, 2025, final valuation July 15, 2030. The Notes are unsecured obligations of UBS, will not be listed, and payments depend on UBS’s credit.

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UBS AG is offering $15,041,000 of Capped Market‑Linked Notes tied to the least performing of the Dow Jones Industrial Average and the S&P 500 Index, due April 15, 2027.

At maturity, if the least performing index shows a positive return, the payout equals principal plus that return capped at a maximum gain of 11.20% (maximum payment $1,112 per $1,000 note). If the least performing return is zero or negative, repayment is principal only. The Notes pay no interest and are subject to UBS credit risk.

Key terms include an estimated initial value of $997.10 per note, an issue price of $1,000, and an underwriting discount of $1.50 per note (proceeds to UBS $998.50 per note). Trade date is October 10, 2025; final valuation April 12, 2027. The Notes will not be listed on any exchange.

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UBS AG is offering Trigger Callable Contingent Yield Notes linked to the least performing of the Dow Jones Industrial Average, the Nasdaq‑100 Technology Sector Index, and the Russell 2000, maturing on or about October 19, 2028. The notes pay a 10.00% per annum contingent coupon only if each index closes at or above its coupon barrier on the applicable monthly observation date.

UBS may call the notes, in whole, on any observation date beginning after 3 months. If called, investors receive the $1,000 principal per note plus any due contingent coupon; no further payments are made. If not called and at least one index finishes below its downside threshold at final valuation, the maturity payment is reduced by the negative return of the least performing index, and investors could lose all principal. Payments depend on the creditworthiness of UBS.

Key terms include coupon barriers set at 70.00% of initial levels and downside thresholds at 60.00%. The estimated initial value is expected between $939.20 and $969.20 per $1,000 note. Underwriting compensation is up to $9.00 per note; proceeds to UBS are at least $991.00 per note. The notes will not be listed.

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UBS AG is offering Trigger Autocallable Contingent Yield Notes linked to the Solactive U.S. Large Cap Volatility Navigator 40 Index, expected to mature on November 4, 2030. The Notes pay a 13.00% per annum contingent coupon only if the Index closes at or above the coupon barrier on each monthly observation date.

The Notes are callable after 12 months if the Index is at or above 100% of the initial level. Key levels are set at Call Threshold: 100% of the initial level, Coupon Barrier: 50%, and Downside Threshold: 50%. If not called and the final level is below the downside threshold, repayment is reduced one-for-one with the Index decline, and investors could lose all principal. Issue price is $1,000 per Note, with a $10 underwriting discount and $990 to UBS. The estimated initial value is expected between $933.80 and $963.80, reflecting internal pricing and funding assumptions. All payments depend on UBS’s credit.

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UBS AG filed an amended preliminary 424B3 for Trigger Callable Contingent Yield Notes linked to the iShares MSCI Brazil ETF (EWZ), maturing on or about October 15, 2027. The notes pay a 12.30% per annum contingent coupon on quarterly observation dates if EWZ closes at or above a coupon barrier set at 70.00% of the initial level. UBS may call the notes in whole on any observation date beginning after six months; if called, holders receive principal plus any due coupon.

If not called and the final level is at or above the downside threshold (70% of initial), holders receive the $1,000 principal. If below the threshold, holders receive a share delivery amount equal to $1,000 divided by the initial level, which could be worth significantly less than principal. The notes are unsecured obligations of UBS AG, not listed on an exchange, and subject to UBS credit risk.

Per-note economics include a $1,000 issue price, an underwriting discount of $18.50, and proceeds to UBS of $981.50. The estimated initial value is expected between $939.00 and $969.00. Key dates: expected trade date October 9, 2025; settlement October 15, 2025; final valuation October 12, 2027; maturity October 15, 2027.

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UBS AG filed a preliminary 424(b)(2) pricing supplement for Trigger Autocallable Contingent Yield Notes linked to the common stock of Lam Research Corporation. The Notes are unsecured debt of UBS and may pay contingent quarterly coupons only when the underlying closes at or above a coupon barrier on the relevant observation date. The Notes can be automatically called if the underlying closes at or above the initial level on any observation date before maturity; in that case, investors receive principal plus any applicable contingent coupon and the Notes terminate.

If not called, at maturity on or about October 15, 2027, investors receive principal back only if the final level is at or above the downside threshold; otherwise, repayment is reduced in line with the underlying’s decline and could be zero. Payments are subject to UBS credit risk. Key dates include an expected trade date of October 13, 2025, settlement on October 15, 2025, and final valuation on October 13, 2027. The estimated initial value is expected to be between $9.54 and $9.79 per $10 Note. The Notes will not be listed, and the minimum investment is 100 Notes at $10 each.

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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 October 15, 2025.