6-K 1 ubsagproforma6ka20240507.htm ubsagproforma6ka20240507
 
 
 
 
 
 
 
 
 
 
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 Number: 1-15060
 
Indicate by check mark whether the registrants file or will file annual
 
reports under cover of Form
20-F or Form 40-
F.
Form 20-F
 
☒
 
Form 40-F
 
☐
THE INFORMATION
 
IN THIS
 
FORM 6-K
 
(AS AMENDED
 
BY THIS
 
AMENDMENT
 
NO. 1)
 
IS HEREBY
INCORPORATED
 
BY
 
REFERENCE
 
INTO
 
(1)
 
THE
 
REGISTRATION
 
STATEMENT
 
ON
 
FORM
 
F-3
(REGISTRATION
 
NUMBER 333-263376), AND INTO EACH PROSPECTUS OUTSTANDING UNDER THE
FOREGOING
 
REGISTRATION
 
STATEMENT,
 
(2)
 
ANY
 
OUTSTANDING
 
OFFERING
 
CIRCULAR
 
OR
SIMILAR DOCUMENT ISSUED
 
OR AUTHORIZED BY
 
UBS AG
 
THAT INCORPORATES
 
BY REFERENCE
ANY FORMS
 
6-K OF
 
UBS AG THAT
 
ARE INCORPORATED
 
INTO ITS
 
REGISTRATION
 
STATEMENTS
FILED
 
WITH
 
THE
 
SEC,
 
AND
 
(3)
 
THE
 
BASE
 
PROSPECTUS
 
OF
 
CORPORATE
 
ASSET
 
BACKED
CORPORATION (“CABCO”) DATED
 
JUNE 23, 2004 (REGISTRATION NUMBER 333-111572), THE FORM
8-K
 
OF
 
CABCO
 
FILED
 
AND
 
DATED
 
JUNE
 
23,
 
2004
 
(SEC
 
FILE
 
NUMBER
 
001-13444),
 
AND
 
THE
PROSPECTUS SUPPLEMENTS
 
RELATING
 
TO THE
 
CABCO SERIES 2004-101
 
TRUST DATED
 
MAY
 
10,
2004
 
AND
 
MAY
 
17,
 
2004
 
(REGISTRATION
 
NUMBER
 
033-91744
 
AND
 
033-91744-05).
 
THIS
 
REPORT
SHALL BE A PART THEREOF FROM THE DATE
 
ON WHICH THIS REPORT IS FILED, TO THE EXTENT
NOT SUPERSEDED BY DOCUMENTS OR REPORTS
 
SUBSEQUENTLY
 
FILED OR FURNISHED.
EXPLANATORY NOTE
This Amendment No. 1 refers to our Form 6-K originally filed with
 
the Securities and Exchange
Commission on March 28, 2024 (the “Original Form 6-K”) which incorporated
 
audited consolidated
financial statements for Credit Suisse AG and included pro forma condensed
 
combined financial
information prepared to reflect the proposed combination of UBS AG
 
and Credit Suisse AG and
incorporated such information into the outstanding registration statements
 
indicated on the cover of
the Original Form 6-K.
 
This Amendment No. 1 is being filed for
 
the purpose of amending Exhibit 99.1 of
 
the Original Form 6-
K to attach
 
the Credit Suisse
 
AG audited consolidated
 
financial statements
 
as of December
 
31, 2023 and
2022
 
and
 
for
 
the
 
three
 
year
 
period
 
ended
 
December
 
31,
 
2023,
 
and
 
the
 
accompanying
 
notes
 
thereto,
pursuant to Exhibit 99.1 hereto.
 
EXHIBIT INDEX
Exhibit No.
99.1
99.2
 
Unaudited pro forma condensed combined financial information as of and
 
for the fiscal year
ended December 31, 2023*
99.3
*Omitted as previously filed with the Original Form 6-K on March 28, 2024.
 
 
 
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
 
registrants have duly
caused this report to be signed on their behalf by the undersigned, thereunto
 
duly authorized.
UBS AG
 
By: _/s/ David Kelly
 
___
Name:
 
David Kelly
Title:
 
Managing Director
 
By: _/s/ Ella Campi______________
Name: Ella Campi
Title: Executive Director
Date:
 
May 7, 2024