UBS AG Files 6-K, Incorporates into F-3 Registration
Ticker: IWFL · Form: 6-K · Filed: Oct 23, 2024 · CIK: 1114446
| Field | Detail |
|---|---|
| Company | Ubs Ag (IWFL) |
| Form Type | 6-K |
| Filed Date | Oct 23, 2024 |
| Risk Level | low |
| Pages | 1 |
| Reading Time | 1 min |
| Sentiment | neutral |
Sentiment: neutral
Topics: regulatory-filing, foreign-issuer, registration
Related Tickers: UBS
TL;DR
UBS AG filed a 6-K on 10/23/24, linking it to their F-3 registration. Standard procedure.
AI Summary
On October 23, 2024, UBS AG filed a Form 6-K, incorporating it into their existing Form F-3 registration statement (Registration Number 333-278934). The filing indicates UBS AG is a foreign private issuer and will file annual reports under Form 20-F. The principal executive offices are located in Zurich and Basel, Switzerland.
Why It Matters
This filing serves as an update and incorporation by reference for UBS AG's ongoing registration statements, providing transparency to investors regarding their regulatory filings.
Risk Assessment
Risk Level: low — This is a routine filing for a foreign private issuer and does not appear to contain new material information or significant changes.
Key Numbers
- 333-278934 — Registration Number (Form F-3 registration statement number)
Key Players & Entities
- UBS AG (company) — Registrant
- 333-278934 (registration_number) — Form F-3 Registration Number
- October 23, 2024 (date) — Filing Date
FAQ
What is the purpose of a Form 6-K filing?
A Form 6-K is a report of foreign private issuers that is required to be filed with the SEC on a current basis, containing information which the issuer makes or is required to make public pursuant to the laws of the issuer's home country or a foreign stock exchange, or that is distributed or is required to be distributed to its security holders.
What does it mean for this 6-K to be incorporated by reference into a Form F-3?
Incorporation by reference means that the information contained in this 6-K filing is considered part of UBS AG's existing Form F-3 registration statement, as if it were filed directly with the F-3.
What is the significance of UBS AG being a 'foreign private issuer'?
As a foreign private issuer, UBS AG is subject to different reporting and regulatory requirements under U.S. securities laws compared to domestic U.S. companies, including filing annual reports on Form 20-F.
Where are UBS AG's principal executive offices located?
UBS AG's principal executive offices are located at Bahnhofstrasse 45, Zurich, Switzerland, and Aeschenvorstadt 1, Basel, Switzerland.
What is the SEC file number for UBS AG?
The SEC file number for UBS AG is 001-33434.
Filing Stats: 230 words · 1 min read · ~1 pages · Grade level 15.7 · Accepted 2024-10-23 10:52:48
Filing Documents
- d839132d6k.htm (6-K) — 12KB
- d839132dex51.htm (EX-5.1) — 12KB
- d839132dex52.htm (EX-5.2) — 53KB
- g839132g0611214312532.jpg (GRAPHIC) — 1KB
- g839132g07u20.jpg (GRAPHIC) — 1KB
- g839132g1022231400473.jpg (GRAPHIC) — 1KB
- 0001193125-24-241566.txt ( ) — 83KB
SIGNATURES
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. Date: October 23, 2024 UBS AG By: /s/ Chris Cook Name: Chris Cook Title: Managing Director By: /s/ Erica Yeu Name: Erica Yeu Title: Managing Director EXHIBIT INDEX Exhibit Description of Exhibit 5.1 Opinion of Sullivan & Cromwell LLP, dated October 22, 2024 5.2 Opinion of Homburger AG, dated October 22, 2024