6-K 1 d856372d6k.htm 6-K 6-K

 

 

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, 2015

Commission File Number: 1-15060

 

 

UBS AG

(Registrant’s Name)

 

 

Bahnhofstrasse 45, Zurich, Switzerland, and

Aeschenvorstadt 1, Basel, Switzerland

(Address of principal executive office)

 

 

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  x            Form 40-F ¨

This Form 6-K is hereby incorporated by reference into the registration statement of UBS AG on Form F-3 (Registration Number 333-200212).

 

 

 

This Form 6-K consists of the legal opinion which appears below.

Homburger AG

Prime Tower

Hardstrasse 201 | CH–8005 Zurich

P.O. Box 314 | CH–8037 Zurich

T +41 43 222 10 00

F +41 43 222 15 00

lawyers@homburger.ch

UBS AG

Bahnhofstrasse 45

CH-8098 Zurich

Switzerland

January 22, 2015 HAD | DUE

313423 | 3290321_2.DOCX

UBS AG - Registration Statement for Debt Securities and Warrants

(Issue Dates: January 5, 2015 to January 9, 2015)

Ladies and Gentlemen:

We, Homburger AG, have acted as special Swiss counsel to UBS AG, a corporation organized under the laws of Switzerland (the Company), in connection with the issuance by the Company, acting through its London branch (the Issuing Branch), of the securities specified in Annex 1 (collectively, the Securities) pursuant to the Company’s registration statement on Form F-3 (File Nos. 333-46930, 333-64844, 333-156695 and 333-178960) and filed with the U.S. Securities and Exchange Commission on November 14, 2014 (the Registration Statement). As such special Swiss counsel, we have been requested to give our opinion as to certain matters of Swiss law relating to the Securities.

Capitalized terms used but not defined herein shall have the meanings assigned to such terms in the Registration Statement.

 

I. Basis of Opinion

This opinion is confined to and given on the basis of the laws of Switzerland in force at the date hereof. Such laws and the interpretation thereof are subject to change. In the absence of explicit statutory law, we base our opinion solely on our independent professional judgment. This opinion is also confined to the matters stated herein and the Documents (as defined below), and is not to be read as extending, by implication or otherwise, to any agreement or document referred to in any of the Documents or any other matter.

For purposes of this opinion we have not conducted any due diligence or similar investigation as to factual circumstances, which are or may be referred to in the Documents, and we express no opinion as to the accuracy of representations and warranties of facts set out in the Documents or the factual background assumed therein.

For the purpose of giving this opinion, we have only examined originals or copies of the following documents (collectively, the Documents):

 

  (i) an electronic copy of the Registration Statement;

 

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  (ii) an electronic copy of each of (i) the Debt Indenture dated as of November 21, 2000, between UBS AG and U.S. Bank Trust National Association, as Trustee, as amended and supplemented by the First Supplemental Indenture dated as of February 28, 2006, between UBS AG and U.S. Bank Trust National Association, as Trustee and (ii) the Warrant Indenture dated as of July 22, 2004, between UBS AG and U.S. Bank Trust National Association, as Trustee (the Indenture);

 

  (iii) an electronic copy of the Amended and Restated Distribution Agreement dated November 17, 2006, among UBS AG and UBS Securities LLC and UBS Financial Services Inc., as Agents (the Distribution Agreement);

 

  (iv) electronic copies of the articles of association (Statuten) of the Company, in the version dated as of May 7, 2014 (the Articles);

 

  (v) an electronic copy of the resolutions of the Group Treasurer of the Company, dated as of November 14, 2014 (the Resolutions);

 

  (vi) electronic copies of the organizational regulations (Organisationsreglement) of the Company, including Annex B “Responsibilities and Authorities” thereto, in the version dated as of October 1, 2014 (the October 2014 Organizational Regulations), and the version dated as of November 26, 2014 (the November 2014 Organizational Regulations);

 

  (vii) an electronic copy of the “Business Regulations Corporate Center” in the version effective as of March 26, 2014 (the Business Regulations and, together with the November 2014 Organizational Regulations, the Internal Regulations);

 

  (viii) electronic copies of the “Delegations of Authorities for Corporate Center” valid from March 26, 2014 (the Delegation);

 

  (ix) an electronic copy of the Group Policy on Signing Authority 1-P-000052, Category: Legal, Compliance, Governance and Ethics, valid from July 17, 2007 / version approved August 28, 2012 / version of September 17, 2012 (the Signing Authority Policy);

 

  (x) an electronic copy of (A) the email dated November 1, 2011, from Gordon Kiesling to Chul Chung, IB General Counsel, attaching the memo dated November 1, 2011 (the Memo), from Gordon Kiesling to Chul Chung, IB General Counsel, regarding the request for use of digital signatures in global securities, and (B) the email from Chul Chung, IB General Counsel, to Gordon Kiesling approving the Memo (collectively, the Digital Signature Approval);

 

  (xi) an electronic copy of an Officers’ Certificate, executed and delivered pursuant to section 301 of the Indenture, dated November 14, 2014, including Annex A and Annex B thereto, establishing the terms of UBS’ Medium-Term Notes, Series A (the Authorized Officers’ Certificate);

 

  (xii) an electronic copy of

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated January 5, 2015,

 

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  - an Authorized Officer’s Certificate in Support of Legal Opinions dated January 6, 2015,

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated January 7, 2015,

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated January 8, 2015 and

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated January 9, 2015

 

  (collectively, the Opinion Backup Certificates);

 

  (xiii) an electronic copy of

 

  - (a) a Determination of an Authorized Person dated January 5, 2015, including Annex A, setting forth the terms of the USD 350,000.00 Trigger Phoenix Autocallable Optimization Securities due January 9, 2017 (Linked to the common stock of Apple Inc.) CUSIP 90274H565, (b) a Determination of an Authorized Person dated January 5, 2015, including Annex A, setting forth the terms of the USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due January 9, 2017 (Linked to the common stock of Ford Motor Company) CUSIP 90274H540 and (c) a Determination of an Authorized Person dated January 5, 2015, including Annex A, setting forth the terms of the USD 125,000.00 Trigger Phoenix Autocallable Optimization Securities due January 9, 2017 (Linked to the common stock of Ford Motor Company) CUSIP 90274H557,

 

  - (a) a Determination of an Authorized Person dated January 6, 2015, including Annex A, setting forth the terms of the USD 200,000.00 Trigger Phoenix Autocallable Optimization Securities due January 8, 2016 (Linked to the common stock of Celgene Corporation) CUSIP 90274H581 and (b) a Determination of an Authorized Person dated January 6, 2015, including Annex A, setting forth the terms of the USD 247,000.00 Trigger Phoenix Autocallable Optimization Securities due July 8, 2016 (Linked to the common stock of Micron Technology, Inc.) CUSIP 90274H573,

 

  - (a) a Written Statement and Instructions of Authorized Persons dated January 7, 2015, including Annex A, setting forth the terms of the USD 21,724,000 Capped Leveraged Buffered S&P 500® Index-Linked Notes due April 6, 2016 CUSIP 90270KFB0, (b) a Determination of an Authorized Person dated January 7, 2015, including Annex A, setting fort the terms of the USD 308,000.00 Trigger Phoenix Autocallable Optimization Securities due January 11, 2016 (Linked to the common stock of Celgene Corporation) CUSIP 90274H599 and (c) a Written Statement and Instructions of Authorized Persons dated January 7, 2015, including Annex A, setting forth the terms of the USD 2,000,000 Dual Directional Review Notes due January 19, 2016 (Linked to the S&P GSCITM Crude Oil Excess Return Index) CUSIP 90270KFC8,

 

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  - (a) a Determination of an Authorized Person dated January 8, 2015, including Annex A, setting forth the terms of the USD 468,920.00 Trigger Autocallable Optimization Securities due January 12, 2017 (Linked to the shares of SPDR® EURO STOXX 50® ETF) CUSIP 90274H623 and (b) a Determination of an Authorized Person dated January 8, 2015, including Annex A, setting forth the terms of the USD 449,932.95 Trigger Yield Optimization Notes due January 8, 2016 (Linked to the common stock of Freeport-McMoRan Copper & Gold Inc.) CUSIP 90274H615, and

 

  - (a) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Buffered Return Optimization Securities due January 13, 2016 (Linked to the common stock of Apple Inc.) CUSIP 90274H631, (b) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Expedia Inc.) CUSIP 90274H763, (c) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Facebook, Inc.) CUSIP 90274H748, (d) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 102,600.00 Trigger Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Apple Inc.) CUSIP 90274H706, (e) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 593,400.00 Trigger Autocallable Optimization Securities due January 13, 2017 (Linked to the shares of SPDR® S&P 500® ETF Trust) CUSIP 90274H649, (f) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 140,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Apple Inc.) CUSIP 90274H771, (g) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 231,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Celgene Corporation) CUSIP 90274H680, (h) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 250,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of CSX Corporation) CUSIP 90274H839, (i) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 169,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the common stock of Facebook, Inc.) CUSIP 90274H797, (j) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 125,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Ford Motor Company) CUSIP 90274H813, (k) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 232,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the common stock of Genworth Financial, Inc.) CUSIP 90274H698, (l) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 275,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Intel Corporation) CUSIP 90274H821, (m) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 375,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the shares of iShares® Nasdaq Biotechnology ETF) CUSIP 90274H789, (n) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 250,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2017 (Linked to the shares of iShares® Russell 2000 Index Fund) CUSIP 90274H805, (o) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 275,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the common stock of LinkedIn Corporation) CUSIP 90274H722, (p) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 520,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the shares of Market Vectors® Oil Services ETF) CUSIP 90274H656, (q) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 525,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the shares of Market Vectors® Oil Services ETF) CUSIP 90274H664, (r) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 175,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the American depositary shares of Tata Motors Limited) CUSIP 90274H755, (s) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 375,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of The Dow Chemical Company) CUSIP 90274H730, (t) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Yahoo! Inc.) CUSIP 90274H714 and (u) a Determination of an Authorized Person dated January 9, 2015, including Annex A, setting forth the terms of the USD 174,966.80 Trigger Yield Optimization Notes due January 12, 2016 (Linked to the common stock of Silver Wheaton Corp.) CUSIP 90274H672,

 

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(each, a Determination and collectively, the Determinations and, together with the Opinion Backup Certificates and the Authorized Officer’s Certificates, the Officers’ Certificates);

 

  (xiv) electronic excerpts of the “Global directory of UBS authorized signatories”

 

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  - as provided per e-mail from Faizah Fatema dated December 31, 2014 regarding signature authority of Hina Mehta, Sarah Starkweather, Gordon S. Kiesling and Timothy Geller;

 

  - as provided per e-mails from Faizah Fatema dated January 6, 2015 regarding signature authority of Hina Mehta, Sarah Starkweather, Gordon S. Kiesling and Timothy Geller; and

 

  - as provided per e-mails from Faizah Fatema dated January 8, 2015 regarding signature authority of Hina Mehta, Sarah Starkweather, Gordon S. Kiesling and Timothy Geller, and

 

  (xv) an electronic excerpt from the Register of Commerce for the Company dated as of January 14, 2015 (the Excerpt).

No documents have been reviewed by us in connection with this opinion other than the Documents. Accordingly, we shall limit our opinion to the Documents and their legal implications under Swiss law.

In this opinion, Swiss legal concepts are expressed in English terms and not in their original language. These concepts may not be identical to the concepts described by the same English terms as they exist under the laws of other jurisdictions. With respect to Documents governed by laws other than the laws of Switzerland, for purposes of this opinion we have relied on the plain meaning of the words and expressions contained therein without regard to any import they may have under the relevant governing law.

 

II. Assumptions

For the purpose of this opinion, we have assumed the following:

 

  (a) all documents produced to us as originals are authentic and complete, and all documents produced to us as copies (including, without limitation, fax and electronic copies) conform to the original;

 

  (b) all documents produced to us as originals and the originals of all documents produced to us as copies were duly executed and certified, as applicable, in the manner and by the individuals purported to have executed or certified, as the case may be, such documents;

 

  (c) except as expressly opined upon herein, all information contained in the Documents is, and all material statements made to us in connection with the Documents are, true and accurate;

 

  (d) the Securities will be issued under the Indenture, and the issuance, offering and sale of the Securities will be conducted in the manner described in the Registration Statement, the Indenture and the Distribution Agreement;

 

  (e) the Securities will neither directly nor indirectly be offered or distributed in and from Switzerland or to Swiss investors having a domicile in Switzerland nor be listed on a Swiss exchange;

 

  (f) (i) the Securities will be executed substantially in the form as set out in the relevant Determination and will be consistent with the form of securities set out in the Authorized Officer’s Certificate and the relevant Indenture, (ii) the Securities and any documents in connection with such Securities will be duly executed in accordance with the relevant Indenture, the Resolutions (including, without limitation, the list of Authorized Officers set out in Schedule I of the Resolutions), the Officers’ Certificates, and the rank requirement and restriction of signing authority to respective Business Area and Jurisdiction set out in the Signing Authority Policy, and (iii) the terms and conditions set out in the Securities correspond and conform to the relevant Determination, Indenture and Authorized Officer’s Certificate;

 

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  (g) the inclusion of any alternative or additional terms in any Securities that are not currently specified in the Authorized Officer’s Certificate will not (i) require the Company, acting through the Issuing Branch, to obtain any regulatory consent, authorization or approval or make any regulatory filing in order for the Issuing Branch to issue, sell and deliver such Securities, (ii) require any further corporate approval or consent, or (iii) violate mandatory provisions of Swiss law;

 

  (h) the Excerpt is correct, complete and up-to-date, and the Articles are in full force and effect and have not been amended;

 

  (i) as of the date of the Determinations, the Internal Regulations, the Delegation, the Signing Authority Policy and the Digital Signature Approval were in full force and effect and had not been amended;

 

  (j) as of the date of the Resolutions, the October 2014 Organizational Regulations were in full force and effect and had not been amended;

 

  (k) the Resolutions (including, without limitation, the list of Authorized Officers set out in Schedule I of the Resolutions) (i) have been duly resolved in meetings duly convened and otherwise in the manner set forth therein, and (ii) have not been rescinded or amended and are in full force and effect;

 

  (l) the Officers’ Certificates have not been rescinded or amended and are in full force and effect;

 

  (m) references to the “Resolutions” in the Opinion Backup Certificates are deemed to be references to the Resolutions and references to the “Officer’s Certificate” in the Determinations and the Opinion Backup Certificates are deemed to be references to the Authorized Officer’s Certificate;

 

  (n) in the case of any Securities and documents in connection with such Securities that have been executed using signatures that were reproduced by machine, (i) each person whose signature was reproduced by machine consented to such reproduction and (ii) such Securities qualify as the structured notes produced for the Equity Investor System for the US structured products business, as described in the Memo;

 

  (o) all required corporate approvals have been obtained if the aggregate initial offering price of all the securities having been issued and sold from time to time pursuant to the Resolutions (including the Securities) exceeds USD 15,000,000,000 (or its equivalent in another currency, currencies or composite currency);

 

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  (p) the Registration Statement, the Indenture and the Distribution Agreement have been duly authorized and are in full force and effect and none of the Registration Statement, the Indenture and the Distribution Agreement has been terminated, rescinded, amended or supplemented in any way; and

 

  (q) the choice of the law of the State of New York as the governing law of, and the submission by the parties thereto to the non-exclusive jurisdiction of the federal and state courts in the Borough of Manhattan, The City of New York provided for in, the Indenture is valid and legally binding under the law of the State of New York.

 

III. Opinion

Based on the foregoing and subject to the qualifications set out below, we are of the opinion that:

 

  1. All necessary corporate action by the Company related to the issuance and sale of the Securities was duly authorized in conformity with the Articles, the Internal Regulations and the Delegation as a matter of Swiss law.

 

  2. The choice of the law of the State of New York as the governing law of the Indenture is a valid choice of law among the parties thereto under the laws of Switzerland, and in any action brought before a court of competent jurisdiction in Switzerland, the law of the State of New York would be recognized and applied by such court to all issues for which the proper or governing law of a contract is applicable under the conflict of laws rules of Switzerland; provided, however, that (i) such choice of law may not extend to non-contractual obligations, (ii) the content of the relevant law of the State of New York may need to be proven by the relevant party, and (iii) a Swiss court would apply Swiss procedural rules.

 

  3. The submission by the Company to the non-exclusive jurisdiction of the federal and state courts in the Borough of Manhattan, The City of New York contained in the Indenture is valid and legally binding on it under the laws of Switzerland.

 

IV. Qualifications

The above opinions are subject to the following qualifications:

 

  (a) The lawyers of our firm are members of the Zurich bar and do not hold themselves to be experts in any laws other than the laws of Switzerland. Accordingly, we are opining herein as to Swiss law only and we express no opinion with respect to the applicability thereto, or the effect thereon, of the laws of any other jurisdiction.

 

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  (b) According to article 10 of the Swiss Private International Law Act of December 18, 1987, as amended (the Private International Law Act), and article 31 of the Convention on Jurisdiction and the Recognition and Enforcement of Judgments in Civil and Commercial Matters of October 30, 2007 (the Lugano Convention), Swiss courts may order preliminary measures (such as injunctions) even where they do not have jurisdiction over the substance of the matter.

 

  (c) Contractual submissions to a particular jurisdiction are subject to mandatory provisions on (i) the protection of consumers, insured persons and employees pursuant to the Lugano Convention, the Private International Law Act and such other international treaties by which Switzerland is bound, and (ii) enforcement proceedings that do not qualify as civil actions.

 

  (d) We do not express any opinion as to the validity or enforceability of the Securities, the Indenture or any other agreement or as to the accuracy or completeness of the information set out in the Registration Statement including, without limitation, the representations and warranties contained therein.

 

  (e) Further, we express no opinion as to banking or insurance regulatory matters or as to any commercial, accounting, calculating, auditing or other non-legal matter. Also, we express no opinion as to tax matters.

*    *    *

We have issued this opinion as of the date hereof and we assume no obligation to advise you of any changes in fact or in law that are made or brought to our attention hereafter.

We hereby consent to the filing of this opinion as an exhibit to the Registration Statement. In giving such consent, we do not thereby admit that we are in the category of persons whose consent is required under Section 7 of the Securities Act of 1933, as amended.

This opinion may be relied upon by the Company in connection with the issuance of the Securities. Without our prior written consent, this opinion may not be (i) used or relied upon by any other person, (ii) used or relied upon by you except in relation to the issuance of the Securities, or (iii) transmitted or disclosed to any other person except as provided in the immediately preceding paragraph.

This opinion is governed by and shall be construed in accordance with the laws of Switzerland. We confirm our understanding that all disputes arising out of or in connection with this opinion shall be subject to the exclusive jurisdiction of the courts of the Canton of Zurich, Switzerland, venue being Zurich 1.

Sincerely yours,

Homburger AG

 

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Annex 1 to the Legal Opinion dated January 22, 2015

 

a) Securities with issue date January 5, 2015

 

  1. USD 350,000.00 Trigger Phoenix Autocallable Optimization Securities due January 9, 2017 (Linked to the common stock of Apple Inc.) CUSIP 90274H565, issued through UBS AG, London Branch

 

  2. USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due January 9, 2017 (Linked to the common stock of Ford Motor Company) CUSIP 90274H540, issued through UBS AG, London Branch

 

  3. USD 125,000.00 Trigger Phoenix Autocallable Optimization Securities due January 9, 2017 (Linked to the common stock of Ford Motor Company) CUSIP 90274H557, issued through UBS AG, London Branch

 

b) Securities with issue date January 6, 2015

 

  4. USD 200,000.00 Trigger Phoenix Autocallable Optimization Securities due January 8, 2016 (Linked to the common stock of Celgene Corporation) CUSIP 90274H581, issued through UBS AG, London Branch

 

  5. USD 247,000.00 Trigger Phoenix Autocallable Optimization Securities due July 8, 2016 (Linked to the common stock of Micron Technology, Inc.) CUSIP 90274H573, issued through UBS AG, London Branch

 

c) Securities with issue date January 7, 2015

 

  6. USD 21,724,000 Capped Leveraged Buffered S&P 500® Index-Linked Notes due April 6, 2016 CUSIP 90270KFB0, issued through UBS AG, London Branch

 

  7. USD 308,000.00 Trigger Phoenix Autocallable Optimization Securities due January 11, 2016 (Linked to the common stock of Celgene Corporation) CUSIP 90274H599, issued through UBS AG, London Branch

 

  8. USD 2,000,000 Dual Directional Review Notes due January 19, 2016 (Linked to the S&P GSCITM Crude Oil Excess Return Index) CUSIP 90270KFC8, issued through UBS AG, London Branch

 

d) Securities with issue date January 8, 2015

 

  9. USD 468,920.00 Trigger Autocallable Optimization Securities due January 12, 2017 (Linked to the shares of SPDR® EURO STOXX 50® ETF) CUSIP 90274H623, issued through UBS AG, London Branch

 

  10. USD 449,932.95 Trigger Yield Optimization Notes due January 8, 2016 (Linked to the common stock of Freeport-McMoRan Copper & Gold Inc.) CUSIP 90274H615, issued through UBS AG, London Branch

 

e) Securities with issue date January 9, 2015

 

  11. USD 100,000.00 Buffered Return Optimization Securities due January 13, 2016 (Linked to the common stock of Apple Inc.) CUSIP 90274H631, issued through UBS AG, London Branch

 

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  12. USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Expedia Inc.) CUSIP 90274H763, issued through UBS AG, London Branch

 

  13. USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Facebook, Inc.) CUSIP 90274H748, issued through UBS AG, London Branch

 

  14. USD 102,600.00 Trigger Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Apple Inc.) CUSIP 90274H706, issued through UBS AG, London Branch

 

  15. USD 593,400.00 Trigger Autocallable Optimization Securities due January 13, 2017 (Linked to the shares of SPDR® S&P 500® ETF Trust) CUSIP 90274H649, issued through UBS AG, London Branch

 

  16. USD 140,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Apple Inc.) CUSIP 90274H771, issued through UBS AG, London Branch

 

  17. USD 231,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Celgene Corporation) CUSIP 90274H680, issued through UBS AG, London Branch

 

  18. USD 250,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of CSX Corporation) CUSIP 90274H839, issued through UBS AG, London Branch

 

  19. USD 169,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the common stock of Facebook, Inc.) CUSIP 90274H797, issued through UBS AG, London Branch

 

  20. USD 125,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Ford Motor Company) CUSIP 90274H813, issued through UBS AG, London Branch

 

  21. USD 232,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the common stock of Genworth Financial, Inc.) CUSIP 90274H698, issued through UBS AG, London Branch

 

  22. USD 275,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2017 (Linked to the common stock of Intel Corporation) CUSIP 90274H821, issued through UBS AG, London Branch

 

  23. USD 375,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the shares of iShares® Nasdaq Biotechnology ETF) CUSIP 90274H789, issued through UBS AG, London Branch

 

  24. USD 250,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2017 (Linked to the shares of iShares® Russell 2000 Index Fund) CUSIP 90274H805, issued through UBS AG, London Branch

 

  25. USD 275,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the common stock of LinkedIn Corporation) CUSIP 90274H722, issued through UBS AG, London Branch

 

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  26. USD 520,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the shares of Market Vectors® Oil Services ETF) CUSIP 90274H656, issued through UBS AG, London Branch

 

  27. USD 525,000.00 Trigger Phoenix Autocallable Optimization Securities due January 13, 2016 (Linked to the shares of Market Vectors® Oil Services ETF) CUSIP 90274H664, issued through UBS AG, London Branch

 

  28. USD 175,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the American depositary shares of Tata Motors Limited) CUSIP 90274H755, issued through UBS AG, London Branch

 

  29. USD 375,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of The Dow Chemical Company) CUSIP 90274H730, issued through UBS AG, London Branch

 

  30. USD 100,000.00 Trigger Phoenix Autocallable Optimization Securities due July 13, 2016 (Linked to the common stock of Yahoo! Inc.) CUSIP 90274H714, issued through UBS AG, London Branch

 

  31. USD 174,966.80 Trigger Yield Optimization Notes due January 12, 2016 (Linked to the common stock of Silver Wheaton Corp.) CUSIP 90274H672, issued through UBS AG, London Branch

 

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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/ Kiye Sakai

  Name:   Kiye Sakai
  Title:   Managing Director
By:  

  /s/ Sarah Starkweather

  Name:   Sarah Starkweather
  Title:   Executive Director

Date: 22nd January 2015

 

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