Welcome to our dedicated page for UBS Group SEC filings (Ticker: UBS), 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.
The UBS Group AG (NYSE: UBS) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as a foreign private issuer. UBS files annual reports on Form 20-F and frequent reports on Form 6-K, which include news releases, capital and risk reports, earnings materials and other information required under the US Securities Exchange Act of 1934.
Through these filings, investors can review how UBS reports on capital adequacy, risk and liquidity under the Swiss systemically relevant bank framework and Basel III standards. Pillar 3 reports filed via Form 6-K present key metrics such as common equity tier 1 capital, risk-weighted assets, leverage ratios, liquidity coverage ratios and net stable funding ratios, along with discussions of risk management, funding and balance sheet structure.
UBS also uses SEC filings to disclose capital instruments and TLAC-eligible senior unsecured debt, including additional tier 1 instruments and senior notes that contribute to total loss-absorbing capacity. Detailed tables show issue dates, maturities, call dates and amounts recognized in regulatory capital, helping users understand UBS’s funding profile and regulatory capital position.
Filings further document cash tender offers for debt securities, including reference yields and total consideration for specific series of notes, some originally issued by Credit Suisse entities and now assumed by UBS Group AG or UBS AG after mergers. Investors interested in UBS’s liability management activities can follow these 6-K submissions for terms and conditions of offers.
Because UBS is a global wealth manager and the leading universal bank in Switzerland, its SEC filings also address topics such as the integration of Credit Suisse, regulatory developments in Switzerland affecting capital requirements, and organizational changes in the Group Executive Board and Board of Directors. Stock Titan enhances access to these documents with AI-powered summaries that explain the structure and implications of complex filings, including annual reports, quarterly materials and transaction-related disclosures, so users can more quickly interpret what lengthy 20-F and 6-K reports mean for UBS’s risk, capital and governance profile.
UBS Group AG has disclosed a significant holding in Nuveen California Municipal Value Fund common shares. As of 12/31/2025, UBS reports beneficial ownership of 1,792,995 common shares, representing 5.42% of the class.
UBS reports shared voting power over 41 shares and shared dispositive power over 1,792,995 shares, with no sole voting or dispositive power. The position is certified as acquired and held in the ordinary course of business and not for the purpose of changing or influencing control of the fund.
UBS Group filed a Form 13F-HR combination report as an institutional investment manager, signed by Andrew Johnson as Head Group Shareholding Reporting AMER. The filing reports 24,019 line items in the Form 13F information table with an aggregate reported value of
The report lists 12 other included managers, such as UBS Financial Services Inc, UBS AG, UBS Switzerland AG, UBS Europe SE, and others across multiple regions. It also identifies additional managers reporting for this manager, including UBS, a distinct business unit of UBS Asset Management Americas LLC, and OCONNOR, a distinct business unit of UBS Asset Management Americas (LLC).
UBS Group AG has filed a detailed response opposing proposed Swiss amendments to the Banking Act and Capital Adequacy Ordinance that would require fully deducting foreign subsidiaries from Common Equity Tier 1 (CET1) capital. UBS argues the measure is disproportionate, not internationally aligned, and based on an extreme “zero risk” scenario. Using first-quarter 2025 figures, the bank estimates the proposal would force approximately USD 23 billion of additional CET1, bringing total post‑Credit Suisse and regulatory add‑ons to about USD 39 billion, and add roughly USD 1.7 billion in annual capital costs. UBS warns this would weaken its competitiveness, raise borrowing and service costs for Swiss clients, and has already coincided with about 27% share-price underperformance versus European and US banks, equal to roughly CHF 30 billion of lost market value.
UBS Group AG and UBS AG announced changes to their Group Executive Board focused on technology leadership and reporting lines. Group Chief Operations and Technology Officer Mike Dargan will step down at the end of December to pursue an opportunity outside UBS. From 1 January 2026, the Group Technology function will report to Beatriz Martin as she takes on the role of Group Chief Operating Officer. Pending the appointment of a permanent successor, Chris Gelvin will serve as interim Head Group Technology alongside his role as Chief Operating Officer, Group Technology.
The companies state that adding Group Technology to the Group COO portfolio is intended to support smooth end-to-end operations, prioritize technology and artificial intelligence initiatives, and help complete the remaining technology integration. Group CEO Sergio P. Ermotti thanked Dargan for his contributions, highlighted technology’s role in business growth and resilience, and congratulated Martin on her expanded responsibilities. The changes to the Group Executive Board are subject to regulatory approval.
UBS Group AG filed a Form 13F Combination Report, disclosing institutional equity positions reported in coordination with other managers. The filing lists a Form 13F Information Table Value Total of $638,366,556,794 and 22,854 information table entries.
The report identifies 12 other included managers and names additional reporting managers, including UBS AM, a distinct business unit of UBS Asset Management Americas LLC and OCONNOR, a Distinct Business Unit of UBS Asset Management Americas (LLC). The submission was signed by Andrew Johnson, Head Group Shareholding Reporting.
UBS Group AG and UBS AG announced pricing terms for seven concurrent cash tender offers to purchase outstanding notes, setting reference yields and the per‑security Total Consideration as of 10:00 a.m. ET on November 5, 2025. The program is subject to a Maximum Purchase Consideration of $4,000,000,000, excluding accrued interest, and uses acceptance priority levels if that cap is reached.
The offers expire at 5:00 p.m. ET on November 5, 2025, with guaranteed delivery accepted until 5:00 p.m. ET on November 7, 2025. Initial settlement is expected on November 7, 2025, and guaranteed delivery settlement on November 10, 2025. Holders whose notes are accepted will also receive accrued and unpaid interest to, but excluding, the Initial Settlement Date.
Illustrative Total Consideration per 1,000 principal: $1,079.51 for 7.500% Senior Notes due 2028; $1,276.11 for 9.016% FRN Senior Callable Notes due 2033; €1,113.45 for 7.750% Fixed Rate Reset Senior Callable Notes due 2029.
UBS Group AG furnished its 30 September 2025 Pillar 3 report, detailing stronger capital and liquidity metrics for the quarter. CET1 capital rose to USD 74.7bn with a CET1 ratio of 14.79%, while Tier 1 capital increased to USD 95.0bn. Risk‑weighted assets were USD 504.9bn and the leverage ratio improved to 5.79% on an LRD of USD 1,640.5bn. Available TLAC increased to USD 199.3bn.
Liquidity remained robust: the average LCR was 182.12% with HQLA averaging USD 346.6bn, and the NSFR was 119.68%. Capital movements included operating profit before tax of USD 2.8bn, AT1 issuance equivalent to USD 2.8bn and a USD 1.6bn AT1 call; share repurchases of USD 1.1bn did not materially affect CET1 due to reserve adjustments.
Switzerland is consulting on capital reforms that, if implemented as proposed, would require around USD 24bn additional CET1 at UBS AG, with total incremental CET1 of around USD 39bn when including acquisition‑related requirements; phase‑ins would start no earlier than 2028. FINMA’s 2025 resolution report assessed UBS as resolvable under its preferred bail‑in strategy and called for further development of the Swiss emergency plan.
UBS Group AG reported a strong third quarter. Reported net profit was 2.5 billion, up 74%, with earnings per share of 76 cents. Underlying pre-tax profit rose to 3.6 billion, up 50% on 5% revenue growth, driving a 16.3% return on CET1 capital, or 12.7% excluding litigation releases of 668 million. The CET1 capital ratio improved to 14.8%, while liquidity remained robust with a 120% NSFR and 182% LCR. Tangible book value per share increased 2% to $26.54.
UBS reached 10 billion in gross run-rate cost saves, one quarter ahead of plan, and remains on track toward ~13 billion by 2026. Group invested assets approached 7 trillion. Global Wealth Management invested assets were 4.7 trillion, with net new assets of 38 billion, including 38 billion from APAC; the Americas saw negative 9 billion amid advisor movement tied to last year’s structural changes. The Investment Bank delivered pre-tax profit of 787 million, with revenues up 23% to 3 billion. Asset Management pre-tax profit rose 19% and invested assets surpassed 2 trillion.
Total assets were 1.6 trillion; loans were 666 billion, 92% secured, with mortgages at 58% and average LTV around 50%. UBS applied for a U.S. national bank charter, with approval expected in 2026. Integration advanced, with over 700,000 Swiss client accounts migrated and completion targeted by the end of the first quarter next year.
UBS Group AG furnished a report listing its consolidated capital instruments and TLAC-eligible senior unsecured debt under the Swiss systemically relevant bank framework as of 30 September 2025.
The disclosure shows additional tier 1 capital of USD 20,296 million and TLAC-eligible senior unsecured debt of USD 104,379 million. Total tier 2 capital is 0. Additional tier 1 instruments are perpetual with stated first call dates, while TLAC-eligible senior unsecured debt spans multiple currencies and maturities. Instruments available to meet gone concern requirements remain eligible until one year before maturity.
UBS also notes that on 12 June 2023, Credit Suisse Group AG merged into UBS Group AG and obligations under its outstanding debt securities became obligations of UBS Group AG.
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