Statistik Asas
| LEI | BFM8T61CT2L1QCEMIK50 |
| CIK | 1114446 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to UBS AG
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 28, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 5, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 5, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 5, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 5, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 4, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| August 1, 2025 |
Exhibit 5.3 UBS AG Bahnhofstrasse 45 8001 Zurich Switzerland Homburger AG Prime Tower Hardstrasse 201 CH–8005 Zurich homburger.ch T +41 43 222 10 00 Zurich, August 1, 2025 UBS AG, acting through its Jersey branch or its London branch Registration Statement on Form F-3 for Debt Securities and Warrants We, Homburger AG, have acted as special Swiss counsel to UBS AG in connection with offerings by UB |
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| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 1, 2025 Commission File Number: 1-15060 UBS AG (Translation of Registrant’s Name Into English) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of principa |
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| July 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: July 31, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: July 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: July 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: July 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| July 22, 2025 |
Supplemental Response to Question 13A Supplemental Response to Question 13A Ernst & Young acts as our outside auditor and has access to UBS books and records in that capacity. 1 |
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| July 22, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Apollolaan 15 Amsterdam 1076 AB Amsterdam Tel +31 20 674 1000 Fax + 31 20 674 1111 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS AG SEC registration as a non-resident security-based swap dealer 1. |
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| July 22, 2025 |
1 UBS AG Hong Kong Branch 52/F, Two International Finance Centre, 8 Finance Street, Central, Hong Kong Allen & Overy 9th Floor Three Exchange Square Central Hong Kong SAR China Tel +852 2974 7000 Fax +852 2974 6999 Our ref CHLR/WWLL / 0036335 - 0000808 20 October 2021 Dear Sir or Madam UBS AG Hong Kong Branch SEC registration as a non-resident security-based swap dealer 1. |
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| July 22, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Bockenheimer Landstraße 2 60306 Frankfurt am Main Germany Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| July 22, 2025 |
1 UBS AG Australia Branch The Chifley Tower 2 Chifley Square Sydney NSW 2000 Allen & Overy Level 25 85 Castlereagh Street Sydney NSW 2000 Australia PO Box A2498 Sydney South NSW 1235 Australia Tel +61 (0)2 9373 7700 Fax +61 (0)2 9373 7710 One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Janna. |
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| July 22, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy Serrano 73 28006 Madrid Spain Tel + 34 91 782 98 00 Fax + 34 91 782 98 99 Our ref 0036335 - 0000808 25 October 2021 Dear Sir or Madam UBS AG registration as a non-resident security-based swap dealer 1. |
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| July 22, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP 52, avenue Hoche 75379 Paris Cedex 08 Tel +33 (0)1 40 06 54 00 Fax +33 (0)1 40 06 54 54 Our ref 0036335 - 0000808 29 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| July 22, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS London Branch SEC registration as a non-resident security-based swap dealer 1. |
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| July 22, 2025 |
1 Privileged and Confidential MEMORANDUM To: UBS AG From: Daisuke Tanimoto Mina Obu Anderson Mori & Tomotsune Re: Advice on legal issues regarding access to books and records and on - site inspections by the SEC to UBS Securities Japan Co. |
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| July 22, 2025 |
By courier Securities and Exchange Commission 100 F Street, NE Washington, DC 20549- 1090 United States of America With a copy to UBS AG Credit Suisse AG (together the "Addressees" and each an "Addressee") Date October 26, 2021 Reference 210054/SW-06336441/OFA SBSD SEC Registration Ladies and Gentlemen We, Schellenberg Wittmer Ltd, are acting as special Swiss counsel to each of UBS AG and Credit Suisse AG (each a Bank) in connection with their applications for substituted compliance as non-US security-based swap (SBS) dealers (SBSDs) with the United States Securities and Exchange Commission (SEC). |
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| July 22, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy - Studio Legale Associato Via Ansperto 5 20123 Milan Italy Tel +39 02 2904 91 Fax +39 02 2904 9333 Corso Vittorio Emanuele II 284 00186 Rome Italy Tel +39 06 6842 71 Fax +39 06 6842 7333 Our ref 0010023-0022577 EUO2: 2001685421. |
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| July 22, 2025 |
1 Privileged and confidential Roschier Advokatbyrå AB Brunkebergstorg 2 P.O.Box 7358 SE-103 90 Stockholm Sweden Reg. office: Stockholm Business ID 556686-5670 21 October 2021 UBS AG London Branch 5 Broadgate London EC2M 2QS Re: UBS SEC registration as a non-resident security based swap dealer Dear Sir or Madam, 1. BACKGROUND 1.1 We understand that UBS AG, a bank authorised in Switzerland, is seeki |
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| June 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: June 6, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| June 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: June 6, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| May 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 28, 2025 Commission File Number: 1-15060 UBS AG (Translation of Registrant’s Name Into English) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of principal |
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| May 28, 2025 |
Exhibit 5.3 UBS AG Bahnhofstrasse 45 8001 Zurich Switzerland Homburger AG Prime Tower Hardstrasse 201 CH–8005 Zurich homburger.ch T +41 43 222 10 00 Zurich, May 28, 2025 UBS AG, acting through its Jersey branch or its London branch Registration Statement on Form F-3 for Debt Securities and Warrants We, Homburger AG, have acted as special Swiss counsel to UBS AG in connection with offerings by UBS |
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| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: April 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 8, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 Indic |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: April 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 8, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 8, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 Indic |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 8, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| May 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 5, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: April 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: April 30, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 17, 2025 |
Exhibit 2(d) UBS AG DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 1 Table of Contents Page I. |
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| March 17, 2025 |
Annual Report 2024 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 17, 2025 |
Exhibit 17 As of December 31, 2024, Credit Suisse (USA) LLC, a Delaware limited liability company and an indirect wholly owned subsidiary of UBS AG, is the issuer of the 7⅛% Notes due 2032, which are fully and unconditionally guaranteed by UBS Group AG and UBS AG on a several basis. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 17, 2025 | ||
| March 17, 2025 | ||
| March 17, 2025 |
CERTIFICATION UNDER SECTION 302 OF THE Exhibit 12 CERTIFICATION UNDER SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Sergio Ermotti, certify that: 1. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 17, 2025 |
Exhibit 15 Basel, 17 March 2025 Consent of Independent Registered Public Accounting Firm We consent to the incorporation by reference in each of the following registration statements of UBS AG: (1) on Form F-3 (Registration Number 333-283672), and each related prospectus currently outstanding under such registration statement, (2) the base prospectus of Corporate Asset Backed Corporation (CABCO) d |
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| March 17, 2025 |
MERGER BETWEEN UBS AG AND CREDIT SUISSE AG 1 MERGER BETWEEN UBS AG AND CREDIT SUISSE AG Pursuant to the merger agreement dated 7 December 2023 between UBS AG (“UBS Parent Bank”) and Credit Suisse AG (“Credit Suisse Parent Bank”), and in accordance with applicable provisions of Swiss law, on 31 May 2024 Credit Suisse Parent Bank merged with and into UBS Parent Bank. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 17, 2025 |
CERTIFICATION PURSUANT TO SECTION 906 Exhibit 13 CERTIFICATION PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code) Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, Chapter 63 of Title 18, United States Code), the undersigned officer of UBS AG, a Swiss banking corporation (the “Company”), hereby certifies, to such officer’s knowledge, that: The Annual Report on Form 20-F for the year ended December 31, 2024 (the “Report”) of the Company fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 17, 2025 | ||
| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 17, 2025 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 4, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| February 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: February 5, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| February 4, 2025 |
EX-5.6 Exhibit 5.6 Mayer Brown LLP 1221 Avenue of the Americas New York, NY 10020-1001 United States of America T: +1 212 506 2500 F: +1 212 262 1910 mayerbrown.com February 4, 2025 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Re: UBS AG – Medium-Term Notes, Series B Ladies and Gentlemen: We have acted as special U.S. counsel in connection with certain senior debt securities (the “Notes”), |
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| February 4, 2025 |
EX-23.13 Exhibit 23.13 Zürich, 4 February 2025 Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the caption “Experts” in this Pre-Effective Amendment No. 1 to the Registration Statement on Form F-3 (No. 333-283672) and related prospectuses of UBS AG for the registration of debt securities and warrants and to the incorporation by reference there |
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| February 4, 2025 |
As filed with the Securities and Exchange Commission on February 4, 2025 Table of Contents As filed with the Securities and Exchange Commission on February 4, 2025 Registration No. |
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| February 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: February 4, 2025 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| February 4, 2025 |
EX-8.6 EXHIBIT 8.6 Mayer Brown LLP 1221 Avenue of the Americas New York, NY 10020-1001 United States of America T: +1 212 506 2500 F: +1 212 262 1910 mayerbrown.com February 4, 2025 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Re: UBS AG – Medium-Term Notes, Series B Ladies and Gentlemen: UBS AG, a corporation organized under the laws of Switzerland (the “Company”), has filed with the Secur |
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| February 4, 2025 |
EX-5.3 Exhibit 5.3 UBS AG Bahnhofstrasse 45 8001 Zurich Switzerland Homburger AG Prime Tower Hardstrasse 201 CH–8005 Zurich homburger.ch T +41 43 222 10 00 Zurich, February 4, 2025 UBS AG, acting through its Jersey branch or its London branch Registration Statement on Form F-3 for Debt Securities and Warrants We, Homburger AG, have acted as special Swiss counsel to UBS AG in connection with the re |
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| February 4, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-23.14 Exhibit 23.14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Pre-Effective Amendment No.1 to the Registration Statement on Form F-3 of UBS AG of our report dated March 28, 2024, relating to the financial statements of Credit Suisse AG and its subsidiaries (the “Bank”), which appears in UBS AG’s Report on Form 6-K dated |
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| February 4, 2025 |
UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland UBS Switzerland AG Bahnhofstrasse 45, 8001 Zurich, Switzerland February 4, 2025 VIA EDGAR AND E-MAIL U. |
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| February 4, 2025 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) UBS AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1)(3)(4) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(1)(3)(4) Fee Rate Amount |
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| January 31, 2025 |
1 Privileged and Confidential MEMORANDUM To: UBS AG From: Daisuke Tanimoto Mina Obu Anderson Mori & Tomotsune Re: Advice on legal issues regarding access to books and records and on - site inspections by the SEC to UBS Securities Japan Co. |
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| January 31, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Bockenheimer Landstraße 2 60306 Frankfurt am Main Germany Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| January 31, 2025 |
Supplemental Response to Question 13A Supplemental Response to Question 13A Ernst & Young acts as our outside auditor and has access to UBS books and records in that capacity. 1 |
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| January 31, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP 52, avenue Hoche 75379 Paris Cedex 08 Tel +33 (0)1 40 06 54 00 Fax +33 (0)1 40 06 54 54 Our ref 0036335 - 0000808 29 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| January 31, 2025 |
1 UBS AG Australia Branch The Chifley Tower 2 Chifley Square Sydney NSW 2000 Allen & Overy Level 25 85 Castlereagh Street Sydney NSW 2000 Australia PO Box A2498 Sydney South NSW 1235 Australia Tel +61 (0)2 9373 7700 Fax +61 (0)2 9373 7710 One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Janna. |
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| January 31, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy Serrano 73 28006 Madrid Spain Tel + 34 91 782 98 00 Fax + 34 91 782 98 99 Our ref 0036335 - 0000808 25 October 2021 Dear Sir or Madam UBS AG registration as a non-resident security-based swap dealer 1. |
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| January 31, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Apollolaan 15 Amsterdam 1076 AB Amsterdam Tel +31 20 674 1000 Fax + 31 20 674 1111 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS AG SEC registration as a non-resident security-based swap dealer 1. |
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| January 31, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy - Studio Legale Associato Via Ansperto 5 20123 Milan Italy Tel +39 02 2904 91 Fax +39 02 2904 9333 Corso Vittorio Emanuele II 284 00186 Rome Italy Tel +39 06 6842 71 Fax +39 06 6842 7333 Our ref 0010023-0022577 EUO2: 2001685421. |
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| January 31, 2025 |
1 Privileged and confidential Roschier Advokatbyrå AB Brunkebergstorg 2 P.O.Box 7358 SE-103 90 Stockholm Sweden Reg. office: Stockholm Business ID 556686-5670 21 October 2021 UBS AG London Branch 5 Broadgate London EC2M 2QS Re: UBS SEC registration as a non-resident security based swap dealer Dear Sir or Madam, 1. BACKGROUND 1.1 We understand that UBS AG, a bank authorised in Switzerland, is seeki |
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| January 31, 2025 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS London Branch SEC registration as a non-resident security-based swap dealer 1. |
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| January 31, 2025 |
1 UBS AG Hong Kong Branch 52/F, Two International Finance Centre, 8 Finance Street, Central, Hong Kong Allen & Overy 9th Floor Three Exchange Square Central Hong Kong SAR China Tel +852 2974 7000 Fax +852 2974 6999 Our ref CHLR/WWLL / 0036335 - 0000808 20 October 2021 Dear Sir or Madam UBS AG Hong Kong Branch SEC registration as a non-resident security-based swap dealer 1. |
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| January 31, 2025 |
By courier Securities and Exchange Commission 100 F Street, NE Washington, DC 20549- 1090 United States of America With a copy to UBS AG Credit Suisse AG (together the "Addressees" and each an "Addressee") Date October 26, 2021 Reference 210054/SW-06336441/OFA SBSD SEC Registration Ladies and Gentlemen We, Schellenberg Wittmer Ltd, are acting as special Swiss counsel to each of UBS AG and Credit Suisse AG (each a Bank) in connection with their applications for substituted compliance as non-US security-based swap (SBS) dealers (SBSDs) with the United States Securities and Exchange Commission (SEC). |
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| January 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: January 22, 2025 Commission File Number: 001-15060 UBS AG (Name of Registrant) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of principal executive office) Ind |
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| January 22, 2025 |
Exhibit 5.9 Opinion of Ashurst LLP [LETTERHEAD OF ASHURST LLP] Date: January 22, 2025 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: We have acted as special counsel to UBS AG (the “Company”) in connection with the proposed sale by the Company and purchase by UBS Securities LLC (the “Underwriter”) of UBS AG $890,000 Lookback Put Warrants Linked to the S&P 500® Index expi |
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| December 12, 2024 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on December 23, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| December 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-N APPOINTMENT OF AGENT FOR SERVICE OF PROCESS BY FOREIGN BANKS AND FOREIGN INSURANCE COMPANIES AND CERTAIN OF THEIR HOLDING COMPANIES AND FINANCE SUBSIDIARIES MAKING PUBLIC OFFERINGS OF SECURITIES IN THE UNITED STATES A. Name of issuer or person filing (“Filer”): UBS AG B. This is: ☒ an original filing for the Filer ☐ a |
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| December 6, 2024 |
EX-8.6 EXHIBIT 8.6 Mayer Brown LLP 1221 Avenue of the Americas New York, NY 10020-1001 United States of America T: +1 212 506 2500 F: +1 212 262 1910 mayerbrown.com December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Re: UBS AG – Medium-Term Notes, Series B Ladies and Gentlemen: UBS AG, a corporation organized under the laws of Switzerland (the “Company”), has filed with the Sec |
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| December 6, 2024 |
EX-25.3 Exhibit 25.3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York 13-516 |
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| December 6, 2024 |
EX-5.5 Exhibit 5.5 Opinion of Ashurst LLP [LETTERHEAD OF ASHURST LLP] Date: December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: UBS AG (the “Company”) has filed with the Securities and Exchange Commission (the “Commission”) a Registration Statement on Form F-3 (the “Registration Statement”), to which this Opinion is being filed as an Exhibit, for the purpose |
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| December 6, 2024 |
EX-25.2 Exhibit 25.2 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 41-1973763 I.R.S. Em |
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| December 6, 2024 |
EX-24.1 Exhibit 24.1 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each undersigned does hereby make, constitute and appoint David Kelly, Ella Campi, Michael Loftus, Timothy Geller, Jana Kausche, Patrick Shilling and Iris Chiu, and each of them, each with full power to act without the others, as his or her true and lawful attorneys-in-fact and agent, with full power of substitution and re |
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| December 6, 2024 |
As filed with the Securities and Exchange Commission on December 6, 2024 F-3 Table of Contents As filed with the Securities and Exchange Commission on December 6, 2024 Registration No. |
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| December 6, 2024 |
EX-24.2 Exhibit 24.2 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each undersigned does hereby make, constitute and appoint David Kelly, Ella Campi, Michael Loftus, Timothy Geller, Jana Kausche, Patrick Shilling and Iris Chiu, and each of them, each with full power to act without the others, as his or her true and lawful attorneys-in-fact and agent, with full power of substitution and re |
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| December 6, 2024 |
[LETTERHEAD OF FRIED, FRANK, HARRIS, SHRIVER & JACOBSON LLP] EX-8.3 Exhibit 8.3 Opinion of Fried, Frank, Harris, Shriver & Jacobson LLP [LETTERHEAD OF FRIED, FRANK, HARRIS, SHRIVER & JACOBSON LLP] December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: As U.S. tax special counsel to UBS AG (the “Company”) in connection with the registration of an unspecified aggregate initial offering price or number of the debt securities |
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| December 6, 2024 |
EX-5.6 Exhibit 5.6 Mayer Brown LLP 1221 Avenue of the Americas New York, NY 10020-1001 United States of America T: +1 212 506 2500 F: +1 212 262 1910 mayerbrown.com December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Re: UBS AG – Medium-Term Notes, Series B Ladies and Gentlemen: We have acted as special U.S. counsel in connection with certain senior debt securities (the “Notes”), |
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| December 6, 2024 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) UBS AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1)(3)(4) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(1)(3)(4) Fee Rate Amount of |
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| December 6, 2024 |
EX-5.3 Exhibit 5.3 UBS AG Bahnhofstrasse 45 8001 Zurich Switzerland Homburger AG Prime Tower Hardstrasse 201 CH–8005 Zurich homburger.ch T +41 43 222 10 00 Zurich, December 6, 2024 UBS AG, acting through its Jersey branch or its London branch Registration Statement on Form F-3 for Debt Securities and Warrants We, Homburger AG, have acted as special Swiss counsel to UBS AG in connection with the re |
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| December 6, 2024 |
[LETTERHEAD OF CADWALADER, WICKERSHAM & TAFT LLP] EX-8.4 Exhibit 8.4 Opinion of Cadwalader, Wickersham & Taft LLP [LETTERHEAD OF CADWALADER, WICKERSHAM & TAFT LLP] December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: As U.S. tax special counsel to UBS AG (the “Company”) in connection with the registration of an unspecified aggregate initial offering price or number of the debt securities to be issued (on a de |
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| December 6, 2024 |
EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 41-1973763 I.R.S. Em |
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| December 6, 2024 |
EX-25.4 Exhibit 25.4 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 41-1973763 I.R.S. Em |
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| December 6, 2024 |
EX-23.13 Exhibit 23.13 Zurich, 6 December 2024 Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the caption “Experts” in this Registration Statement (Form F-3) and related prospectuses of UBS AG for the registration of debt securities and warrants and to the incorporation by reference therein of our reports dated 27 March 2024, with respect to |
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| December 6, 2024 |
[LETTERHEAD OF FRIED, FRANK, HARRIS, SHRIVER & JACOBSON LLP] EX-5.4 Exhibit 5.4 Opinion of Fried, Frank, Harris, Shriver & Jacobson LLP [LETTERHEAD OF FRIED, FRANK, HARRIS, SHRIVER & JACOBSON LLP] December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: UBS AG (the “Company”) has filed with the Securities and Exchange Commission (the “Commission”) a Registration Statement on Form F-3 (the “Registration Statement”), to which |
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| December 6, 2024 |
EX-25.5 Exhibit 25.5 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 41-1973763 I.R.S. Em |
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| December 6, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-23.14 Exhibit 23.14 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form F-3 of UBS AG of our report dated March 28, 2024, relating to the financial statements of Credit Suisse AG and its subsidiaries (the “Bank”), which appears in UBS AG’s Report on Form 6-K dated May 7, 2024. We also consent to the |
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| December 6, 2024 |
EX-8.5 Exhibit 8.5 Opinion of Ashurst LLP [LETTERHEAD OF ASHURST LLP] Date: December 6, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: As U.S. tax special counsel to UBS AG (the “Company”) in connection with the registration of an unspecified aggregate initial offering price or number of the debt securities or warrants to be issued (on a delayed and continuous basis |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 8, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 8, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 8, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 8, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 1, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 1, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: October 30, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| October 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: October 23, 2024 Commission File Number 001-33434 UBS AG (Translation of Registrant’s Name Into English) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of Princ |
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| September 27, 2024 |
1 Privileged and Confidential MEMORANDUM To: UBS AG From: Daisuke Tanimoto Mina Obu Anderson Mori & Tomotsune Re: Advice on legal issues regarding access to books and records and on - site inspections by the SEC to UBS Securities Japan Co. |
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| September 27, 2024 |
1 Privileged and confidential Roschier Advokatbyrå AB Brunkebergstorg 2 P.O.Box 7358 SE-103 90 Stockholm Sweden Reg. office: Stockholm Business ID 556686-5670 21 October 2021 UBS AG London Branch 5 Broadgate London EC2M 2QS Re: UBS SEC registration as a non-resident security based swap dealer Dear Sir or Madam, 1. BACKGROUND 1.1 We understand that UBS AG, a bank authorised in Switzerland, is seeki |
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| September 27, 2024 |
1 UBS AG Hong Kong Branch 52/F, Two International Finance Centre, 8 Finance Street, Central, Hong Kong Allen & Overy 9th Floor Three Exchange Square Central Hong Kong SAR China Tel +852 2974 7000 Fax +852 2974 6999 Our ref CHLR/WWLL / 0036335 - 0000808 20 October 2021 Dear Sir or Madam UBS AG Hong Kong Branch SEC registration as a non-resident security-based swap dealer 1. |
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| September 27, 2024 |
Supplemental Response to Question 13A Supplemental Response to Question 13A Ernst & Young acts as our outside auditor and has access to UBS books and records in that capacity. 1 |
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| September 27, 2024 |
By courier Securities and Exchange Commission 100 F Street, NE Washington, DC 20549- 1090 United States of America With a copy to UBS AG Credit Suisse AG (together the "Addressees" and each an "Addressee") Date October 26, 2021 Reference 210054/SW-06336441/OFA SBSD SEC Registration Ladies and Gentlemen We, Schellenberg Wittmer Ltd, are acting as special Swiss counsel to each of UBS AG and Credit Suisse AG (each a Bank) in connection with their applications for substituted compliance as non-US security-based swap (SBS) dealers (SBSDs) with the United States Securities and Exchange Commission (SEC). |
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| September 27, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy Serrano 73 28006 Madrid Spain Tel + 34 91 782 98 00 Fax + 34 91 782 98 99 Our ref 0036335 - 0000808 25 October 2021 Dear Sir or Madam UBS AG registration as a non-resident security-based swap dealer 1. |
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| September 27, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS London Branch SEC registration as a non-resident security-based swap dealer 1. |
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| September 27, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy - Studio Legale Associato Via Ansperto 5 20123 Milan Italy Tel +39 02 2904 91 Fax +39 02 2904 9333 Corso Vittorio Emanuele II 284 00186 Rome Italy Tel +39 06 6842 71 Fax +39 06 6842 7333 Our ref 0010023-0022577 EUO2: 2001685421. |
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| September 27, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Apollolaan 15 Amsterdam 1076 AB Amsterdam Tel +31 20 674 1000 Fax + 31 20 674 1111 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS AG SEC registration as a non-resident security-based swap dealer 1. |
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| September 27, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Bockenheimer Landstraße 2 60306 Frankfurt am Main Germany Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| September 27, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP 52, avenue Hoche 75379 Paris Cedex 08 Tel +33 (0)1 40 06 54 00 Fax +33 (0)1 40 06 54 54 Our ref 0036335 - 0000808 29 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| September 27, 2024 |
1 UBS AG Australia Branch The Chifley Tower 2 Chifley Square Sydney NSW 2000 Allen & Overy Level 25 85 Castlereagh Street Sydney NSW 2000 Australia PO Box A2498 Sydney South NSW 1235 Australia Tel +61 (0)2 9373 7700 Fax +61 (0)2 9373 7710 One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Janna. |
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| September 23, 2024 |
[LETTERHEAD OF FRIED, FRANK, HARRIS, SHRIVER & JACOBSON LLP] Exhibit 5.8 Opinion of Fried, Frank, Harris, Shriver & Jacobson LLP [LETTERHEAD OF FRIED, FRANK, HARRIS, SHRIVER & JACOBSON LLP] September 23, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: We have acted as special counsel to UBS AG, a corporation organized under the laws of Switzerland (the “Company”) in connection with the proposed sale by the Company and purchase |
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| September 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: September 23, 2024 Commission File Number: 1-15060 UBS AG (Registrant’s Name) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of principal executive office) Indi |
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| September 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: September 11, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofst |
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| September 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: September 11, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofst |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 23, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 I |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 23, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 23, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 23, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 23, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 I |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 23, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 20, 2024 Commission File Number: 001-15060 UBS AG (Name of Registrant) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of principal executive office) Indi |
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| August 20, 2024 |
Exhibit 5.7 Opinion of Ashurst LLP [LETTERHEAD OF ASHURST LLP] Date: August 20, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: We have acted as special counsel to UBS AG (the “Company”) in connection with the proposed sale by the Company and purchase by UBS Securities LLC (the “Underwriter”) of (i) UBS AG $255,000 Knock-Out Put Warrants with Daily Close Monitoring L |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 15, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 14, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 14, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 14, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 14, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 13, 2024 Commission File Number: 1-15060 UBS AG (Translation of Registrant’s Name Into English) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of princip |
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| August 13, 2024 |
Exhibit 5.3 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Homburger AG Prime Tower Hardstrasse 201 CH–8005 Zurich T +41 43 222 10 00 F +41 43 222 15 00 [email protected] Zurich, August 13, 2024 UBS AG, acting through its Jersey and London Branches / U.S. Registration Statement for Debt Securities and Warrants We, Homburger AG, have acted as special Swiss counsel to UBS AG (UBS), a corpora |
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| June 20, 2024 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 01, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: June 11, 2024 Commission File Number 001-15060 UBS AG (Translation of Registrant’s Name Into English) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of Principa |
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| May 31, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) UBS AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(1) Maximum Aggregate Offering Price(1) Fee Rate(1) Amount of Registration Fee(1) Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid Debt Debt Securities of UBS AG(3) 457(o) $1,500,000,000 — $1,500,000,000— — $221,400 Total Offering Amounts $1,500,000,000 0. |
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| May 31, 2024 |
Exhibit 8 [FACE OF NOTE] Unless this certificate is presented by an authorized representative of The Depository Trust Company (55 Water Street, New York, New York) to the issuer or its agent for registration of transfer, exchange or payment, and any certificate issued is registered in the name of Cede & Co. |
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| May 31, 2024 |
Exhibit 6 Exhibit 6 [FACE OF NOTE] Unless this certificate is presented by an authorized representative of The Depository Trust Company (55 Water Street, New York, New York) to the issuer or its agent for registration of transfer, exchange or payment, and any certificate issued is registered in the name of Cede & Co. |
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| May 31, 2024 |
Exhibit 7 Exhibit 7 [FACE OF NOTE] Unless this certificate is presented by an authorized representative of The Depository Trust Company (55 Water Street, New York, New York) to the issuer or its agent for registration of transfer, exchange or payment, and any certificate issued is registered in the name of Cede & Co. |
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| May 31, 2024 |
8-A12B/A As filed with the Securities and Exchange Commission on May 31, 2024 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A/A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 UBS AG (Exact Name of Registrant as Specified in Its Charter) Switzerland 90-0186363 (State of Incorporation or Organization) (I. |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 31, 2024 Commission File Number 001-15060 UBS AG (Translation of Registrant’s Name Into English) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of Principal |
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| May 31, 2024 |
As filed with the Securities and Exchange Commission on May 31, 2024 Table of Contents As filed with the Securities and Exchange Commission on May 31, 2024 Registration No. |
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| May 31, 2024 |
Exhibit 4.5 EXECUTION VERSION CREDIT SUISSE AG (the existing Company) UBS AG (the successor Company) AND THE BANK OF NEW YORK MELLON (formerly known as The Bank of New York) (the Trustee) FOURTH SUPPLEMENTAL INDENTURE dated as of May 30, 2024 Supplemental to the Senior Indenture, dated as of March 29, 2007 FOURTH SUPPLEMENTAL INDENTURE (this “Fourth Supplemental Indenture”), dated as of May 30, 20 |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 31, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| May 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 30, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse |
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| May 28, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) UBS AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit(1) Maximum Aggregate Offering Price(1) Fee Rate(1) Amount of Registration Fe |
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| May 28, 2024 |
UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland VIA EDGAR AND E-MAIL U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, DC 20549 May 28, 2024 Attention: Christian Windsor Robert Arzonetti Re: UBS AG Registration Statement on Form F-3 File No. 333-278934 Ladies and Gentlemen: In accordance with Rule 461 of Regulation C of the General Rules and Re |
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| May 28, 2024 |
As filed with the Securities and Exchange Commission on May 28, 2024 Table of Contents As filed with the Securities and Exchange Commission on May 28, 2024 Registration No. |
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| May 15, 2024 |
Exhibit 5.6 Opinion of Ashurst LLP [LETTERHEAD OF ASHURST LLP] Date: May 15, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: UBS AG (the “Company”) has filed with the Securities and Exchange Commission (the “Commission”) a Registration Statement on Form F-3 (the “Registration Statement”), to which this Opinion is being incorporated by reference as an Exhibit, for the |
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| May 15, 2024 |
Exhibit 8.4 Opinion of Ashurst LLP [LETTERHEAD OF ASHURST LLP] Date: May 15, 2024 UBS AG Bahnhofstrasse 45 CH-8098 Zurich Switzerland Ladies and Gentlemen: As U.S. tax special counsel to UBS AG (the “Company”) in connection with the registration of an unspecified aggregate initial offering price or number of the debt securities to be issued (on a delayed and continuous basis) by the Company, pursu |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 15, 2024 Commission File Number: 001-15060 UBS AG (Name of Registrant) Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland (Address of principal executive office) Indicat |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 13, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 Indi |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 8, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| May 7, 2024 |
V – Consolidated financial statements – Credit Suisse Report of the Independent Registered Public Accounting Firm Consolidated financial statements Notes to the consolidated financial statements Controls and procedures 103 1 Summary of significant accounting policies 2 Recently issued accounting standards 3 Business developments and subsequent events 4 Segment information 5 Net interest income 6 C |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 7, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A (Amendment No. 1) REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 7, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File N |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 7, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 Indic |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 7, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 7, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 Indic |
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| May 7, 2024 | ||
| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: May 7, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrasse 4 |
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| April 26, 2024 |
UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland and Aeschenvorstadt 1, 4051 Basel, Switzerland April 26, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-N APPOINTMENT OF AGENT FOR SERVICE OF PROCESS BY FOREIGN BANKS AND FOREIGN INSURANCE COMPANIES AND CERTAIN OF THEIR HOLDING COMPANIES AND FINANCE SUBSIDIARIES MAKING PUBLIC OFFERINGS OF SECURITIES IN THE UNITED STATES A. Name of issuer or person filing (“Filer”): UBS AG B. This is: ☒ an original filing for the Filer ☐ a |
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| April 25, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) UBS AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit(1) Maximum Aggregate Offering Price(1) Fee Rate(1) Amount of Registration Fe |
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| April 25, 2024 |
As filed with the Securities and Exchange Commission on April 25, 2024 Table of Contents As filed with the Securities and Exchange Commission on April 25, 2024 Registration No. |
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| April 25, 2024 |
Exhibit 24.1 POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each undersigned does hereby make, constitute and appoint David Kelly, Ella Campi, Gordon Kiesling, Tim Geller, Patrick Shilling and Iris Chiu, and each of them, each with full power to act without the others, as his or her true and lawful attorneys-in-fact and agent, with full power of substitution and resubstitution, in his or h |
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| April 25, 2024 |
Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction |
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| March 28, 2024 |
Merger Agreement / Fusionsvertrag 1 Merger Agreement Fusionsvertrag dated 9 February 2024 vom 9. |
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| March 28, 2024 |
CERTIFICATION UNDER SECTION 302 OF THE Exhibit 12 CERTIFICATION UNDER SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Sergio Ermotti, certify that: 1. |
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| March 28, 2024 |
Annual Report 2023 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 28, 2024 | ||
| March 28, 2024 |
Exhibit 1.01 Articles of Association UBS AG 4 April 2023 2 The present text is a translation of the original German Articles of Association (“Statuten ” ) which constitute the definitive text and are binding in law. In these Articles of Association, references to the generic masculine equally apply to both sexes. 3 Contents Section 1 Name, registered office, business object and duration of the Cor |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 28, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 28, 2024 |
CERTIFICATION PURSUANT TO SECTION 906 Exhibit 13 CERTIFICATION PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 (Subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code) Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, Chapter 63 of Title 18, United States Code), the undersigned officer of UBS AG, a Swiss banking corporation (the “Company”), hereby certifies, to such officer’s knowledge, that: The Annual Report on Form 20-F for the year ended December 31, 2023 (the “Report”) of the Company fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U. |
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| March 28, 2024 |
MERGER BETWEEN UBS AG AND CREDIT SUISSE AG 1 MERGER BETWEEN UBS AG AND CREDIT SUISSE AG On December 7, 2023, UBS AG (“UBS Parent Bank”) and Credit Suisse AG (“Credit Suisse Parent Bank”) entered into a merger agreement that provides for the merger of Credit Suisse Parent Bank into UBS Parent Bank. |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 28, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 28, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 28, 2024 |
1 |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 28, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 28, 2024 |
Exhibit 15 Zurich, 28 March 2024 Consent of Independent Registered Public Accounting Firm We consent to the incorporation by reference in each of the following registration statements of UBS AG: (1) on Form F-3 (Registration Number 333-263376), and each related prospectus currently outstanding under such registration statement, (2) the base prospectus of Corporate Asset Backed Corporation (CABCO) |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 28, 2024 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 In |
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| March 28, 2024 |
Exhibit 2(d) UBS AG DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Table of Contents Page Medium-Term Notes, Series A . |
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| March 28, 2024 |
UBS AG Postfach CH-8098 Zurich Tel +41-44-234 11 11 www.ubs.com 28 March 2024 US Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Notice of Disclosure filed in Exchange Act Annual Report under Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 and Section 13(r) of the Exchange Act Ladies and Gentlemen: Pursuant to Section 219 of the Iran Threat |
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| March 28, 2024 |
Internal Exhibit 1.02 Organization Regulations of UBS AG Valid as of 1 March 2024 2 Contents Abbreviations and definitions 3 Introduction 1 Basis and purpose 5 2 Organization of UBS AG 5 Board of Directors 3 Membership 7 4 Constitution 7 5 Responsibilities and authorities 7 6 Meetings 8 7 Resolutions 9 8 Information rights 10 9 Self-assessment 10 10 Chairman 10 11 Vice Chairmen 11 12 Company Secre |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: March 28, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstrass |
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| March 28, 2024 |
Merger Agreement dated 7 December 2023 / Merger Agreement dated 7 December 2023 / Fusionsvertrag vom 7. Dezember 2023 1 Merger Agreement Fusionsvertrag dated 7 December 2023 vom 7. Dezember 2023 between zwischen UBS AG Bahnhofstrasse 45 8001 Zürich Aeschenvorstadt 1 4051 Basel (hereinafter " UBS AG ") (nachfolgend " UBS AG ") and und Credit Suisse AG Paradeplatz 8 8001 Zürich (hereinafter " Credit Suisse AG ") (nachfolgend " C REDIT S UI |
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| February 22, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Bockenheimer Landstraße 2 60306 Frankfurt am Main Germany Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| February 22, 2024 |
1 UBS AG Hong Kong Branch 52/F, Two International Finance Centre, 8 Finance Street, Central, Hong Kong Allen & Overy 9th Floor Three Exchange Square Central Hong Kong SAR China Tel +852 2974 7000 Fax +852 2974 6999 Our ref CHLR/WWLL / 0036335 - 0000808 20 October 2021 Dear Sir or Madam UBS AG Hong Kong Branch SEC registration as a non-resident security-based swap dealer 1. |
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| February 22, 2024 |
1 |
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| February 22, 2024 |
1 Privileged and confidential Roschier Advokatbyrå AB Brunkebergstorg 2 P.O.Box 7358 SE-103 90 Stockholm Sweden Reg. office: Stockholm Business ID 556686-5670 21 October 2021 UBS AG London Branch 5 Broadgate London EC2M 2QS Re: UBS SEC registration as a non-resident security based swap dealer Dear Sir or Madam, 1. BACKGROUND 1.1 We understand that UBS AG, a bank authorised in Switzerland, is seeki |
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| February 22, 2024 |
1 UBS AG Australia Branch The Chifley Tower 2 Chifley Square Sydney NSW 2000 Allen & Overy Level 25 85 Castlereagh Street Sydney NSW 2000 Australia PO Box A2498 Sydney South NSW 1235 Australia Tel +61 (0)2 9373 7700 Fax +61 (0)2 9373 7710 One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Janna. |
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| February 22, 2024 |
1 Privileged and Confidential MEMORANDUM To: UBS AG From: Daisuke Tanimoto Mina Obu Anderson Mori & Tomotsune Re: Advice on legal issues regarding access to books and records and on - site inspections by the SEC to UBS Securities Japan Co. |
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| February 22, 2024 |
Supplemental Response to Question 13A Supplemental Response to Question 13A Ernst & Young acts as our outside auditor and has access to UBS books and records in that capacity. 1 |
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| February 22, 2024 |
By courier Securities and Exchange Commission 100 F Street, NE Washington, DC 20549- 1090 United States of America With a copy to UBS AG Credit Suisse AG (together the "Addressees" and each an "Addressee") Date October 26, 2021 Reference 210054/SW-06336441/OFA SBSD SEC Registration Ladies and Gentlemen We, Schellenberg Wittmer Ltd, are acting as special Swiss counsel to each of UBS AG and Credit Suisse AG (each a Bank) in connection with their applications for substituted compliance as non-US security-based swap (SBS) dealers (SBSDs) with the United States Securities and Exchange Commission (SEC). |
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| February 22, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS London Branch SEC registration as a non-resident security-based swap dealer 1. |
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| February 22, 2024 |
1 |
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| February 22, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Apollolaan 15 Amsterdam 1076 AB Amsterdam Tel +31 20 674 1000 Fax + 31 20 674 1111 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS AG SEC registration as a non-resident security-based swap dealer 1. |
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| February 22, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy - Studio Legale Associato Via Ansperto 5 20123 Milan Italy Tel +39 02 2904 91 Fax +39 02 2904 9333 Corso Vittorio Emanuele II 284 00186 Rome Italy Tel +39 06 6842 71 Fax +39 06 6842 7333 Our ref 0010023-0022577 EUO2: 2001685421. |
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| February 22, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP 52, avenue Hoche 75379 Paris Cedex 08 Tel +33 (0)1 40 06 54 00 Fax +33 (0)1 40 06 54 54 Our ref 0036335 - 0000808 29 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| February 22, 2024 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy Serrano 73 28006 Madrid Spain Tel + 34 91 782 98 00 Fax + 34 91 782 98 99 Our ref 0036335 - 0000808 25 October 2021 Dear Sir or Madam UBS AG registration as a non-resident security-based swap dealer 1. |
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| February 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: February 7, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| February 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: February 6, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| February 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: February 6, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| January 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: January 24, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| January 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: January 12, 2024 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| December 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: December 07, 2023 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 |
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| December 7, 2023 |
MERGER BETWEEN UBS AG AND CREDIT SUISSE AG 1 MERGER BETWEEN UBS AG AND CREDIT SUISSE AG On December 7, 2023, UBS AG (“UBS Parent Bank”) and Credit Suisse AG (“Credit Suisse Parent Bank”) entered into a merger agreement that provides for the merger of Credit Suisse Parent Bank into UBS Parent Bank. |
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| December 7, 2023 |
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| December 7, 2023 |
Investor Relations Tel. +41-44-234 41 00 Media Relations Tel. +41-44-234 85 00 UBS Group AG, News Release, 7 December 2023 Page 1 7 December 2023 News Release UBS AG and Credit Suisse AG enter into definitive merger agreement ● The Boards of Directors of UBS Group AG, UBS AG and Credit Suisse AG approved execution of a merger of UBS AG and Credit Suisse AG ● Completion of merger expected in 2024, |
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| November 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 15, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstr |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 8, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 7, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 7, 2023 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 7, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 7, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 7, 2023 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: November 7, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstra |
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| October 17, 2023 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Bockenheimer Landstraße 2 60306 Frankfurt am Main Germany Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| October 17, 2023 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS London Branch SEC registration as a non-resident security-based swap dealer 1. |
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| October 17, 2023 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP Apollolaan 15 Amsterdam 1076 AB Amsterdam Tel +31 20 674 1000 Fax + 31 20 674 1111 Our ref 0036335 - 0000808 22 October 2021 Dear Sir or Madam UBS AG SEC registration as a non-resident security-based swap dealer 1. |
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| October 17, 2023 |
1 UBS AG Australia Branch The Chifley Tower 2 Chifley Square Sydney NSW 2000 Allen & Overy Level 25 85 Castlereagh Street Sydney NSW 2000 Australia PO Box A2498 Sydney South NSW 1235 Australia Tel +61 (0)2 9373 7700 Fax +61 (0)2 9373 7710 One Bishops Square London E1 6AD United Kingdom Tel +44 (0)20 3088 0000 Fax +44 (0)20 3088 0088 Janna. |
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| October 17, 2023 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy LLP 52, avenue Hoche 75379 Paris Cedex 08 Tel +33 (0)1 40 06 54 00 Fax +33 (0)1 40 06 54 54 Our ref 0036335 - 0000808 29 October 2021 Dear Sir or Madam UBS SEC registration as a non-resident security-based swap dealer 1. |
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| October 17, 2023 |
1 Privileged and Confidential MEMORANDUM To: UBS AG From: Daisuke Tanimoto Mina Obu Anderson Mori & Tomotsune Re: Advice on legal issues regarding access to books and records and on - site inspections by the SEC to UBS Securities Japan Co. |
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| October 17, 2023 |
1 UBS AG Hong Kong Branch 52/F, Two International Finance Centre, 8 Finance Street, Central, Hong Kong Allen & Overy 9th Floor Three Exchange Square Central Hong Kong SAR China Tel +852 2974 7000 Fax +852 2974 6999 Our ref CHLR/WWLL / 0036335 - 0000808 20 October 2021 Dear Sir or Madam UBS AG Hong Kong Branch SEC registration as a non-resident security-based swap dealer 1. |
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| October 17, 2023 |
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| October 17, 2023 |
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| October 17, 2023 |
1 Privileged and confidential Roschier Advokatbyrå AB Brunkebergstorg 2 P.O.Box 7358 SE-103 90 Stockholm Sweden Reg. office: Stockholm Business ID 556686-5670 21 October 2021 UBS AG London Branch 5 Broadgate London EC2M 2QS Re: UBS SEC registration as a non-resident security based swap dealer Dear Sir or Madam, 1. BACKGROUND 1.1 We understand that UBS AG, a bank authorised in Switzerland, is seeki |
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| October 17, 2023 |
By courier Securities and Exchange Commission 100 F Street, NE Washington, DC 20549- 1090 United States of America With a copy to UBS AG Credit Suisse AG (together the "Addressees" and each an "Addressee") Date October 26, 2021 Reference 210054/SW-06336441/OFA SBSD SEC Registration Ladies and Gentlemen We, Schellenberg Wittmer Ltd, are acting as special Swiss counsel to each of UBS AG and Credit Suisse AG (each a Bank) in connection with their applications for substituted compliance as non-US security-based swap (SBS) dealers (SBSDs) with the United States Securities and Exchange Commission (SEC). |
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| October 17, 2023 |
Supplemental Response to Question 13A Supplemental Response to Question 13A Ernst & Young acts as our outside auditor and has access to UBS books and records in that capacity. 1 |
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| October 17, 2023 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy - Studio Legale Associato Via Ansperto 5 20123 Milan Italy Tel +39 02 2904 91 Fax +39 02 2904 9333 Corso Vittorio Emanuele II 284 00186 Rome Italy Tel +39 06 6842 71 Fax +39 06 6842 7333 Our ref 0010023-0022577 EUO2: 2001685421. |
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| October 17, 2023 |
1 UBS AG London Branch 5 Broadgate London EC2M 2QS Allen & Overy Serrano 73 28006 Madrid Spain Tel + 34 91 782 98 00 Fax + 34 91 782 98 99 Our ref 0036335 - 0000808 25 October 2021 Dear Sir or Madam UBS AG registration as a non-resident security-based swap dealer 1. |
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| October 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934 Date: October 13, 2023 Commission File Number 1-15060 UBS AG (Registrant’s Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. |
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| September 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934 Date: September 14, 2023 Commission File Number 1-15060 UBS AG (Registrant’s Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. |
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| September 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 6-K Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934 Date: September 11, 2023 Commission File Number 1-15060 UBS AG (Registrant’s Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. |
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| September 11, 2023 |
Exhibit 1.1 UBS AG, acting through its London branch $1,000,000,000 5.800% Fixed Rate Senior Notes due 2025 $1,500,000,000 5.650% Fixed Rate Senior Notes due 2028 $500,000,000 Floating Rate Senior Notes due 2025 UNDERWRITING AGREEMENT September 5, 2023 UBS Securities LLC 1285 Avenue of the Americas New York, New York 10019 As Representative of the several Underwriters named in Schedule I hereto De |
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| September 11, 2023 |
Exhibit 4.2 EXECUTION VERSION UBS AG, acting through its London branch and U.S. BANK TRUST NATIONAL ASSOCIATION Trustee SEVENTH SUPPLEMENTAL INDENTURE Dated as of September 11, 2023 To the Indenture, dated as of June 12, 2015, Between UBS AG and U.S. Bank Trust National Association $1,000,000,000 5.800 % Fixed Rate Senior Notes due 2025 Table of Contents Page Article I Definitions and Other Provis |
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| September 11, 2023 |
Exhibit 4.3 EXECUTION VERSION UBS AG, acting through its London branch and U.S. BANK TRUST NATIONAL ASSOCIATION Trustee EIGHTH SUPPLEMENTAL INDENTURE Dated as of September 11, 2023 To the Indenture, dated as of June 12, 2015, Between UBS AG and U.S. Bank Trust National Association $1,500,000,000 5.650 % Fixed Rate Senior Notes due 2028 Table of Contents Page Article I Definitions and Other Provisi |
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| September 11, 2023 |
UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland UBS AG Bahnhofstrasse 45, 8001 Zurich, Switzerland September 11, 2023 Via EDGAR United States Securities and Exchange Commission, Division of Corporation Finance, Office of Manufacturing, 100 F Street N. |
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| September 11, 2023 |
Exhibit 4.4 EXECUTION VERSION UBS AG, acting through its London branch and U.S. BANK TRUST NATIONAL ASSOCIATION Trustee NINTH SUPPLEMENTAL INDENTURE Dated as of September 11, 2023 To the Indenture, dated as of June 12, 2015, Between UBS AG and U.S. Bank Trust National Association $500,000,000 Floating Rate Senior Notes due 2025 Table of Contents Page Article I Definitions and Other Provisions of G |
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| September 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: September 1, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstr |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 31, 2023 UBS AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland Aeschenvorstadt 1, 4051 Basel, Switzerland (Address of principal executive offices) Commission File Number: 1-15060 I |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 31, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 31, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Date: August 31, 2023 UBS Group AG (Registrant's Name) Bahnhofstrasse 45, 8001 Zurich, Switzerland (Address of principal executive office) Commission File Number: 1-36764 UBS AG (Registrant's Name) Bahnhofstras |
