Welcome to our dedicated page for ETRACS Whitney US Critical Techs ETN SEC filings (Ticker: WUCT), 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 ETRACS Whitney US Critical Techs ETN'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 EDGAR feed updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into ETRACS Whitney US Critical Techs ETN's regulatory disclosures and financial reporting.
UBS AG is offering 1-year Trigger Autocallable Contingent Yield Notes linked to NVIDIA Corp. (NVDA) common stock. The notes pay a contingent quarterly coupon of 10.22%-11.23% p.a. only when NVDA’s closing price on an observation date is at or above the Coupon Barrier (65% of the initial level). If on any quarterly observation date (other than the final valuation date) NVDA closes at or above the Initial Level, the notes are automatically called and investors receive par plus the applicable coupon; no further payments are made.
At maturity, if not previously called, principal is protected only when the Final Level is at or above the Downside Threshold (also 65% of the initial level). Otherwise, investors are fully exposed to NVDA’s negative performance, incurring a loss equal to the percentage decline of NVDA, with the possibility of losing their entire investment.
Key terms:
- Issue price: $10 per note; minimum purchase 100 notes ($1,000).
- Estimated initial value: $9.54-$9.79 (reflects underwriting discount, hedging and funding costs).
- Trade/settlement dates: 10 Jul 2025 / 14 Jul 2025 (T+2).
- Observation dates: 10 Oct 2025, 12 Jan 2026, 10 Apr 2026, 10 Jul 2026 (final).
- Maturity: 14 Jul 2026.
- CUSIP/ISIN to be set on trade date.
Risk highlights:
- Unsubordinated, unsecured debt of UBS AG; all payments subject to issuer credit risk and potential FINMA resolution actions.
- No guaranteed coupons; investors may receive few or none.
- Limited upside: maximum return equals sum of coupons received; no participation in NVDA price appreciation.
- Secondary market may be illiquid; notes will not be listed.
- Issue price exceeds estimated initial value; secondary market bids likely below the $10 offering price after launch.
The product may appeal to investors seeking enhanced income with a view that NVDA will stay above 65% of its initial level, and who are comfortable with equity downside risk and UBS credit exposure.
UBS AG is offering 1-year Trigger Autocallable Contingent Yield Notes linked to NVIDIA Corp. (NVDA) common stock. The notes pay a contingent quarterly coupon of 10.22%-11.23% p.a. only when NVDA’s closing price on an observation date is at or above the Coupon Barrier (65% of the initial level). If on any quarterly observation date (other than the final valuation date) NVDA closes at or above the Initial Level, the notes are automatically called and investors receive par plus the applicable coupon; no further payments are made.
At maturity, if not previously called, principal is protected only when the Final Level is at or above the Downside Threshold (also 65% of the initial level). Otherwise, investors are fully exposed to NVDA’s negative performance, incurring a loss equal to the percentage decline of NVDA, with the possibility of losing their entire investment.
Key terms:
- Issue price: $10 per note; minimum purchase 100 notes ($1,000).
- Estimated initial value: $9.54-$9.79 (reflects underwriting discount, hedging and funding costs).
- Trade/settlement dates: 10 Jul 2025 / 14 Jul 2025 (T+2).
- Observation dates: 10 Oct 2025, 12 Jan 2026, 10 Apr 2026, 10 Jul 2026 (final).
- Maturity: 14 Jul 2026.
- CUSIP/ISIN to be set on trade date.
Risk highlights:
- Unsubordinated, unsecured debt of UBS AG; all payments subject to issuer credit risk and potential FINMA resolution actions.
- No guaranteed coupons; investors may receive few or none.
- Limited upside: maximum return equals sum of coupons received; no participation in NVDA price appreciation.
- Secondary market may be illiquid; notes will not be listed.
- Issue price exceeds estimated initial value; secondary market bids likely below the $10 offering price after launch.
The product may appeal to investors seeking enhanced income with a view that NVDA will stay above 65% of its initial level, and who are comfortable with equity downside risk and UBS credit exposure.
UBS AG is offering 1-year Trigger Autocallable Contingent Yield Notes linked to NVIDIA Corp. (NVDA) common stock. The notes pay a contingent quarterly coupon of 10.22%-11.23% p.a. only when NVDA’s closing price on an observation date is at or above the Coupon Barrier (65% of the initial level). If on any quarterly observation date (other than the final valuation date) NVDA closes at or above the Initial Level, the notes are automatically called and investors receive par plus the applicable coupon; no further payments are made.
At maturity, if not previously called, principal is protected only when the Final Level is at or above the Downside Threshold (also 65% of the initial level). Otherwise, investors are fully exposed to NVDA’s negative performance, incurring a loss equal to the percentage decline of NVDA, with the possibility of losing their entire investment.
Key terms:
- Issue price: $10 per note; minimum purchase 100 notes ($1,000).
- Estimated initial value: $9.54-$9.79 (reflects underwriting discount, hedging and funding costs).
- Trade/settlement dates: 10 Jul 2025 / 14 Jul 2025 (T+2).
- Observation dates: 10 Oct 2025, 12 Jan 2026, 10 Apr 2026, 10 Jul 2026 (final).
- Maturity: 14 Jul 2026.
- CUSIP/ISIN to be set on trade date.
Risk highlights:
- Unsubordinated, unsecured debt of UBS AG; all payments subject to issuer credit risk and potential FINMA resolution actions.
- No guaranteed coupons; investors may receive few or none.
- Limited upside: maximum return equals sum of coupons received; no participation in NVDA price appreciation.
- Secondary market may be illiquid; notes will not be listed.
- Issue price exceeds estimated initial value; secondary market bids likely below the $10 offering price after launch.
The product may appeal to investors seeking enhanced income with a view that NVDA will stay above 65% of its initial level, and who are comfortable with equity downside risk and UBS credit exposure.
UBS AG is offering 1-year Trigger Autocallable Contingent Yield Notes linked to NVIDIA Corp. (NVDA) common stock. The notes pay a contingent quarterly coupon of 10.22%-11.23% p.a. only when NVDA’s closing price on an observation date is at or above the Coupon Barrier (65% of the initial level). If on any quarterly observation date (other than the final valuation date) NVDA closes at or above the Initial Level, the notes are automatically called and investors receive par plus the applicable coupon; no further payments are made.
At maturity, if not previously called, principal is protected only when the Final Level is at or above the Downside Threshold (also 65% of the initial level). Otherwise, investors are fully exposed to NVDA’s negative performance, incurring a loss equal to the percentage decline of NVDA, with the possibility of losing their entire investment.
Key terms:
- Issue price: $10 per note; minimum purchase 100 notes ($1,000).
- Estimated initial value: $9.54-$9.79 (reflects underwriting discount, hedging and funding costs).
- Trade/settlement dates: 10 Jul 2025 / 14 Jul 2025 (T+2).
- Observation dates: 10 Oct 2025, 12 Jan 2026, 10 Apr 2026, 10 Jul 2026 (final).
- Maturity: 14 Jul 2026.
- CUSIP/ISIN to be set on trade date.
Risk highlights:
- Unsubordinated, unsecured debt of UBS AG; all payments subject to issuer credit risk and potential FINMA resolution actions.
- No guaranteed coupons; investors may receive few or none.
- Limited upside: maximum return equals sum of coupons received; no participation in NVDA price appreciation.
- Secondary market may be illiquid; notes will not be listed.
- Issue price exceeds estimated initial value; secondary market bids likely below the $10 offering price after launch.
The product may appeal to investors seeking enhanced income with a view that NVDA will stay above 65% of its initial level, and who are comfortable with equity downside risk and UBS credit exposure.
UBS AG is offering 1-year Trigger Autocallable Contingent Yield Notes linked to NVIDIA Corp. (NVDA) common stock. The notes pay a contingent quarterly coupon of 10.22%-11.23% p.a. only when NVDA’s closing price on an observation date is at or above the Coupon Barrier (65% of the initial level). If on any quarterly observation date (other than the final valuation date) NVDA closes at or above the Initial Level, the notes are automatically called and investors receive par plus the applicable coupon; no further payments are made.
At maturity, if not previously called, principal is protected only when the Final Level is at or above the Downside Threshold (also 65% of the initial level). Otherwise, investors are fully exposed to NVDA’s negative performance, incurring a loss equal to the percentage decline of NVDA, with the possibility of losing their entire investment.
Key terms:
- Issue price: $10 per note; minimum purchase 100 notes ($1,000).
- Estimated initial value: $9.54-$9.79 (reflects underwriting discount, hedging and funding costs).
- Trade/settlement dates: 10 Jul 2025 / 14 Jul 2025 (T+2).
- Observation dates: 10 Oct 2025, 12 Jan 2026, 10 Apr 2026, 10 Jul 2026 (final).
- Maturity: 14 Jul 2026.
- CUSIP/ISIN to be set on trade date.
Risk highlights:
- Unsubordinated, unsecured debt of UBS AG; all payments subject to issuer credit risk and potential FINMA resolution actions.
- No guaranteed coupons; investors may receive few or none.
- Limited upside: maximum return equals sum of coupons received; no participation in NVDA price appreciation.
- Secondary market may be illiquid; notes will not be listed.
- Issue price exceeds estimated initial value; secondary market bids likely below the $10 offering price after launch.
The product may appeal to investors seeking enhanced income with a view that NVDA will stay above 65% of its initial level, and who are comfortable with equity downside risk and UBS credit exposure.
UBS AG is offering 1-year Trigger Autocallable Contingent Yield Notes linked to NVIDIA Corp. (NVDA) common stock. The notes pay a contingent quarterly coupon of 10.22%-11.23% p.a. only when NVDA’s closing price on an observation date is at or above the Coupon Barrier (65% of the initial level). If on any quarterly observation date (other than the final valuation date) NVDA closes at or above the Initial Level, the notes are automatically called and investors receive par plus the applicable coupon; no further payments are made.
At maturity, if not previously called, principal is protected only when the Final Level is at or above the Downside Threshold (also 65% of the initial level). Otherwise, investors are fully exposed to NVDA’s negative performance, incurring a loss equal to the percentage decline of NVDA, with the possibility of losing their entire investment.
Key terms:
- Issue price: $10 per note; minimum purchase 100 notes ($1,000).
- Estimated initial value: $9.54-$9.79 (reflects underwriting discount, hedging and funding costs).
- Trade/settlement dates: 10 Jul 2025 / 14 Jul 2025 (T+2).
- Observation dates: 10 Oct 2025, 12 Jan 2026, 10 Apr 2026, 10 Jul 2026 (final).
- Maturity: 14 Jul 2026.
- CUSIP/ISIN to be set on trade date.
Risk highlights:
- Unsubordinated, unsecured debt of UBS AG; all payments subject to issuer credit risk and potential FINMA resolution actions.
- No guaranteed coupons; investors may receive few or none.
- Limited upside: maximum return equals sum of coupons received; no participation in NVDA price appreciation.
- Secondary market may be illiquid; notes will not be listed.
- Issue price exceeds estimated initial value; secondary market bids likely below the $10 offering price after launch.
The product may appeal to investors seeking enhanced income with a view that NVDA will stay above 65% of its initial level, and who are comfortable with equity downside risk and UBS credit exposure.
Owlet, Inc. (NYSE: OWLT) – Schedule 13G/A filed 8 July 2025
Kinderhook 2 LP, together with its general partner Kinderhook 2 GP LLC and co-managing members Stephen J. Clearman and Tushar Shah, reported beneficial ownership of 1,138,278 Class A common shares of Owlet, Inc. The position represents 6.89 % of the company’s 16,524,690 shares outstanding as of 31 March 2025.
All shares are held directly by Kinderhook 2 LP, with voting and dispositive power delegated to the GP. Both individual managers disclaim pecuniary interest beyond their indirect holdings. The certification language indicates the stake is passive and not intended to influence control.
Key ownership details
- Amount owned: 1,138,278 shares
- Voting power: Sole – 1,138,278; Shared – 0
- Dispositive power: Sole – 1,138,278; Shared – 0
- Filing triggered: Ownership above 5 % threshold as of 30 June 2025
No purchase price, transaction dates, or prior ownership levels are disclosed in this amendment, leaving the timing and cost basis of the position unclear. The filing merely updates the market on the size of Kinderhook’s passive stake.
UBS AG has filed a preliminary 424(b)(2) pricing supplement for “Trigger Autocallable Contingent Yield Notes” linked to Palantir Technologies Inc. (PLTR) common stock. The unsubordinated, unsecured notes are expected to price on 17 July 2025, settle on 22 July 2025 and mature on 22 January 2027 unless called earlier.
- Coupon mechanics: Investors receive a contingent coupon of 18.15% p.a. (≈ $15.125 per $1,000 note each month) only if PLTR closes ≥ the Coupon Barrier (50 % of the Initial Level) on the relevant monthly observation date.
- Autocall feature: Beginning after three months, the notes are automatically redeemed at par plus the coupon if PLTR closes ≥ the Call Threshold (100 % of Initial Level) on any observation date.
- Principal at risk: If not called and PLTR closes ≥ the Downside Threshold (50 % of Initial Level) at final valuation, principal is repaid in full. Otherwise, repayment is $1,000 × (1 + Underlying Return), exposing holders to a 1-for-1 loss below the threshold and potential total loss of capital.
- Pricing economics: Issue price is $1,000; estimated initial value is $929.50–$959.50 (≈ 4–7 % discount); underwriting discount up to $22.25 and structuring fee up to $5 reduce investor value. Net proceeds to UBS are at least $977.75 per note.
- Credit & liquidity: Payments depend on UBS’s credit. Notes will not be listed, and secondary market making is discretionary, so liquidity may be limited and prices may differ materially from theoretical values.
- Key risks highlighted: potential loss of principal, possibility of receiving few or no coupons, reinvestment risk if called, tax uncertainty, and FINMA resolution powers over UBS.
The filing is preliminary; final terms (initial level, thresholds, pricing) will be fixed on the trade date and disclosed in the final pricing supplement.
UBS AG is offering three-year Trigger Autocallable Contingent Yield Notes linked to the common stock of Constellation Energy Corporation (CEG). The $10-denominated notes pay a contingent coupon of 14.91% per annum on each quarterly coupon payment date only if CEG’s closing price on the corresponding observation date is at or above the coupon barrier, which will be set between 50% and 55% of the initial level. Beginning after six months, the notes will be automatically called if CEG closes at or above the call threshold level (100% of the initial level) on any observation date; investors would then receive par plus the due coupon and the note would terminate early.
If the notes are not called, principal repayment depends on the final share price. At maturity (July 14 2028):
- If CEG ≥ downside threshold (same 50-55% range), investors receive the $10 principal.
- If CEG < downside threshold, repayment equals $10 × (1 + underlying return), exposing the holder to the full downside of the stock; a total loss of principal is possible.
The estimated initial value is $9.332-$9.632, reflecting a 3.7-6.7% issuer premium above fair value due to underwriting discount ($0.20), hedging and issuance costs. Minimum purchase is 100 notes ($1,000). The notes are unsubordinated, unsecured debt of UBS AG, subject to its credit risk and to Swiss bail-in powers (FINMA).
Key dates: trade 11-Jul-2025; settlement 16-Jul-2025 (T+3); first potential call 14-Jan-2026. Observation dates and coupon dates occur quarterly thereafter. The notes will not be listed; secondary liquidity, if any, will be provided by UBS affiliates on a best-efforts basis and likely at prices below the issue price once the short-term market-making premium amortises.
Principal risks include market risk on CEG, loss of up to 100% of principal below the 50-55% barrier, non-payment of coupons, credit risk of UBS, limited liquidity, conflicts of interest, and uncertain U.S. tax treatment. The high coupon signals elevated expected volatility and risk.
UBS AG is offering three-year Trigger Autocallable Contingent Yield Notes linked to the common stock of Constellation Energy Corporation (CEG). The $10-denominated notes pay a contingent coupon of 14.91% per annum on each quarterly coupon payment date only if CEG’s closing price on the corresponding observation date is at or above the coupon barrier, which will be set between 50% and 55% of the initial level. Beginning after six months, the notes will be automatically called if CEG closes at or above the call threshold level (100% of the initial level) on any observation date; investors would then receive par plus the due coupon and the note would terminate early.
If the notes are not called, principal repayment depends on the final share price. At maturity (July 14 2028):
- If CEG ≥ downside threshold (same 50-55% range), investors receive the $10 principal.
- If CEG < downside threshold, repayment equals $10 × (1 + underlying return), exposing the holder to the full downside of the stock; a total loss of principal is possible.
The estimated initial value is $9.332-$9.632, reflecting a 3.7-6.7% issuer premium above fair value due to underwriting discount ($0.20), hedging and issuance costs. Minimum purchase is 100 notes ($1,000). The notes are unsubordinated, unsecured debt of UBS AG, subject to its credit risk and to Swiss bail-in powers (FINMA).
Key dates: trade 11-Jul-2025; settlement 16-Jul-2025 (T+3); first potential call 14-Jan-2026. Observation dates and coupon dates occur quarterly thereafter. The notes will not be listed; secondary liquidity, if any, will be provided by UBS affiliates on a best-efforts basis and likely at prices below the issue price once the short-term market-making premium amortises.
Principal risks include market risk on CEG, loss of up to 100% of principal below the 50-55% barrier, non-payment of coupons, credit risk of UBS, limited liquidity, conflicts of interest, and uncertain U.S. tax treatment. The high coupon signals elevated expected volatility and risk.
FAQ
What is the current stock price of ETRACS Whitney US Critical Techs ETN (WUCT)?
