6-K 1 edgar3q23kubsagctr.htm edgar3q23kubsagctr
 
 
 
 
 
 
 
 
 
 
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
Indicate by check mark whether the registrant files or will file annual
 
reports under cover of
Form 20-F or Form 40-F.
Form 20-F
 
☒
 
Form 40-F
 
☐
UBS AG produces regular annual and quarterly reports, which are submitted to the SEC under
Forms 20-F
 
and 6-K,
 
respectively. These reports
 
are prepared
 
in accordance
 
with International
 
Financial
Reporting Standards
 
(IFRS). SEC
 
regulations require
 
certain additional
 
disclosures to
 
be included
 
in
registration statements relating to offerings of securities.
 
Certain of these additional disclosures follow
herein, and
 
should be
 
read in
 
conjunction with the
 
annual report
 
on Form
 
20-F for
 
the year
 
ended 31
December 2022
 
of UBS
 
Group AG
 
and UBS
 
AG, filed
 
with the
 
SEC on
 
March 06,
 
2023, as
 
well as
UBS AG's first
 
quarter 2023 report, submitted to
 
the SEC on Form
 
6-K on April 27,
 
2023, UBS AG's
second quarter 2023
 
report, submitted
 
to the SEC
 
on Form
 
6-K on
 
August 31, 2023,
 
and UBS
 
AG's third
quarter 2023 report, submitted to the SEC on Form 6-K on November 7, 2023.
 
 
 
 
 
 
 
 
 
 
 
 
Capitalization of UBS AG
The
 
table
 
below
 
presents
 
the
 
consolidated
 
capitalization
 
of
 
UBS
 
AG
 
in
 
accordance
 
with
 
International
Financial Reporting Standards (IFRS) in US dollars,
 
the presentation currency of
 
UBS AG.
As of
USD m
30.9.23
30.6.23
Debt:
Short-term debt issued
1
 
81,099
 
76,916
Long-term debt issued
2
 
133,390
 
128,130
Total debt issued
 
214,489
 
205,046
of which: Funding from UBS Group AG
 
65,603
 
63,744
Equity attributable to UBS AG shareholders
 
52,836
 
52,922
Equity attributable to non-controlling interests
 
345
 
352
Total capitalization
 
267,670
 
258,320
1 Short-term debt
 
issued consists of
 
debt issued (reflected
 
on the balance
 
sheet lines Debt
 
issued measured at
 
amortized cost and
 
Debt issued designated
 
at fair value)
 
by UBS AG
 
and its
subsidiaries and Funding from UBS
 
Group AG (measured at
 
amortized cost and designated at
 
fair value) with a
 
remaining contractual maturity of
 
less than one year without
 
considering any
early redemption features.
 
2 Long-term debt issued consists of
 
debt issued (reflected on the balance
 
sheet lines Debt issued measured at
 
amortized cost and Debt issued
 
designated at fair
value) by UBS AG and its subsidiaries and Funding from UBS Group AG (measured at amortized cost and designated at fair value) with a remaining
 
contractual maturity of more than one year
without considering any early redemption features.
 
 
This Form 6-K is hereby incorporated
 
by reference into (1) each of
 
the registration statements of UBS
AG on Form
 
F-3 (Registration Number
 
333-263376), and into
 
each prospectus outstanding under
 
any
of the
 
foregoing registration
 
statements, (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).
 
 
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
 
registrant has duly
caused this report to be signed on its 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:
 
November 7, 2023