0001610520-23-000173.txt : 20231107 0001610520-23-000173.hdr.sgml : 20231107 20231107065138 ACCESSION NUMBER: 0001610520-23-000173 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231107 DATE AS OF CHANGE: 20231107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS Group AG CENTRAL INDEX KEY: 0001610520 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36764 FILM NUMBER: 231381470 BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 BUSINESS PHONE: 41-44-234-1111 MAIL ADDRESS: STREET 1: BAHNHOFSTRASSE 45 CITY: ZURICH STATE: V8 ZIP: CH-8001 6-K 1 edgar3q23kubsgroupagc.htm edgar3q23kubsgroupagc
 
 
 
 
 
 
 
 
 
 
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
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
 
Group
 
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 Group AG's first
 
quarter 2023 report, submitted
 
to the SEC
 
on Form
6-K on April 25, 2023, UBS Group
AG's second quarter 2023 report, submitted to the SEC on Form 6-
K on August 31, 2023, and UBS
 
Group
AG's third quarter 2023 report, submitted to the SEC
 
on Form
6-K on November 7, 2023.
 
 
 
 
 
 
 
 
 
 
 
Capitalization of UBS Group AG
The table below
 
presents the
 
consolidated capitalization of
 
UBS Group AG
 
in accordance
 
with International Financial
Reporting Standards (IFRS) in US dollars, the presentation currency of UBS Group AG.
As of
USD m
30.9.23
30.6.23
Debt:
Short-term debt issued
 
1
 
104,591
 
105,145
Long-term debt issued
 
2
 
245,568
 
250,762
Total debt issued
 
350,159
 
355,907
Equity attributable to UBS Group AG shareholders
 
3
 
84,856
 
87,116
Equity attributable to non-controlling interests
 
542
 
636
Total capitalization
 
435,557
 
443,659
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 Group AG and
its subsidiaries 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 Group AG and its
 
subsidiaries with a remaining contractual maturity of more
than one
 
year without
 
considering any
 
early redemption
 
features.
 
3 Comparative-period
 
information has
 
been revised.
 
Refer to
 
“Note 2
 
Accounting for
 
the acquisition
 
of Credit
 
Suisse
Group” in the “Consolidated financial statements” section of the UBS Group AG third quarter 2023 report.
 
This
 
Form
 
6-K
 
is
 
hereby
 
incorporated
 
by
 
reference
 
into
 
each
 
of
 
the
 
registration
 
statements
 
of
 
UBS
Group
AG on
 
Form F-3
 
(Registration Number
 
333-272452) and
 
on Form
 
S-8 (Registration
 
Numbers
333-200634;
 
333-200635;
 
333-200641;
 
333-200665;
 
333-215254;
 
333-215255;
 
333-228653;
 
333-
230312;
 
333-249143
 
and
 
333-272975),
 
and
 
into
 
each
 
prospectus
 
outstanding
 
under
 
any
 
of
 
the
foregoing registration statements.
 
 
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 Group 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