UBS (AR) files Form 144 reporting sale of Performance Stock Units on NYSE

Rhea-AI Filing Summary

UBS Financial Services Inc. submitted a Form 144 notice reporting proposed sales of Performance Stock Units held by the issuer. The filing lists multiple PSU grant dates and quantities, including 92,512 (01/20/2023), 30,405 (03/07/2025), and others.

Insights

Securities Compliance Analyst

Form 144 lists proposed issuer sales of Performance Stock Units across multiple grant dates.

The filing enumerates PSU grant dates and unit counts which indicate planned dispositions by or on behalf of the issuer. This is procedural notice required for certain broker‑facilitated sales under securities law.

Timing and exact sale mechanics are not shown; subsequent filings or broker reports would show execution details.

Key Figures

PSU grant 01/20/2023: 92,512 units PSU grant 03/07/2025: 30,405 units PSU grant 02/25/2025: 24,888 units +2 more

5 metrics

PSU grant 01/20/2023 92,512 units grant date 01/20/2023

PSU grant 03/07/2025 30,405 units grant date 03/07/2025

PSU grant 02/25/2025 24,888 units grant date 02/25/2025

PSU grant 05/14/2024 22,065 units grant date 05/14/2024

PSU grant 04/15/2025 15,956 units grant date 04/15/2025

Key Terms

Form 144, Performance Stock Units, Issuer

3 terms

Form 144 regulatory

"144: Securities To Be Sold"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Performance Stock Units financial

"Performance Stock Units | Issuer | 24888 | 02/25/2025"

Performance stock units are a type of company award that grants employees shares of stock only if certain performance goals are met. They motivate employees to work toward specific company achievements, aligning their interests with those of shareholders. For investors, they can influence a company's future stock supply and reflect management’s confidence in reaching key targets.

Issuer regulatory

"Performance Stock Units | Issuer | | | 24888"

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	UBS Financial Services Inc. 11 Madison Avenue 4th Floor New York NY 10010	185826	7310023.19	309836000	05/04/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/25/2025	Performance Stock Units	Issuer			24888	02/25/2025	N/a
Common	05/14/2024	Performance Stock Units	Issuer			22065	05/14/2024	N/A
Common	03/07/2025	Performance Stock Units	Issuer			30405	03/07/2025	N/A
Common	04/15/2025	Performance Stock Units	Issuer			15956	04/15/2025	N/A
Common	01/20/2023	Performance Stock Units	Issuer			92512	01/20/2023	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does AR's Form 144 filing report?

It reports proposed sales of Performance Stock Units by the issuer. The notice lists grant dates and unit counts, including 92,512 (01/20/2023) and 30,405 (03/07/2025), indicating securities that may be sold under broker arrangements.

Does the Form 144 show how many PSUs will be sold immediately?

No, the filing lists PSU grant dates and quantities but does not state exact sale execution or timing. It provides unit counts per grant (for example 15,956 on 04/15/2025) as the basis for potential brokered sales under applicable rules.

Who is listed as the filer on this Form 144?

The filing identifies UBS Financial Services Inc. at 11 Madison Avenue, New York, NY, as the broker/dealer involved. The entry shows exchange NYSE and an apparent filing date of 05/04/2026 in the header information.

Which PSU grant examples are included in the filing?

Examples in the notice include 92,512 units dated 01/20/2023, 24,888 units dated 02/25/2025, and 22,065 units dated 05/14/2024. The filing lists multiple grant dates and unit quantities for potential resale.