0001610520-18-000022.txt : 20180309 0001610520-18-000022.hdr.sgml : 20180309 20180309093609 ACCESSION NUMBER: 0001610520-18-000022 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180309 DATE AS OF CHANGE: 20180309 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: 18678664 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 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UBS AG CENTRAL INDEX KEY: 0001114446 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: 001-15060 FILM NUMBER: 18678665 BUSINESS ADDRESS: STREET 1: BAHNHOFSTRASSE 45 STREET 2: P O BOX CH 8001 CITY: ZURICH STATE: V8 ZIP: CH 8001 BUSINESS PHONE: 203-719-5241 MAIL ADDRESS: STREET 1: 600 WASHINGTON BLVD. CITY: STAMFORD STATE: CT ZIP: 06901 6-K 1 ubsagcapitalization2017.htm ubsagcapitalization2017

 



 

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: March 9, 2018

 

UBS Group AG

Commission File Number: 1-36764

 

UBS AG  

Commission File Number: 1-15060

 

 

(Registrants' Names)

 

Bahnhofstrasse 45, Zurich, Switzerland and
Aeschenvorstadt 1, Basel, Switzerland

(Address of principal executive offices)

 

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  x                      Form 40-F  o 

 

 

 

 

 

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 2017 of UBS Group AG and UBS AG, filed with the SEC on 9 March 2018.

 

  



 

Capitalization of UBS AG

 

The following table presents the consolidated capitalization of UBS AG in accordance with International Financial Reporting Standards (IFRS) in Swiss francs, the presentation currency of UBS AG, and translated into US dollars.

 

 

 

As of

 

 

31.12.17

 

30.9.17

in million

 

CHF

USD

 

CHF

USD

Debt:

 

 

 

 

 

 

Short term debt issued¹

 

78,219

80,242

 

76,404

78,896

Long term debt issued²

 

76,031

77,998

 

71,999

74,347

Total debt issued

 

154,251

158,240

 

148,404

153,243

Equity attributable to UBS AG shareholders

 

50,718

52,030

 

53,246

54,983

Equity attributable to preferred noteholders

 

0

0

 

687

709

Equity attributable to non-controlling interests

 

57

59

 

56

58

Total capitalization

 

205,026

210,328

 

202,393

208,993

1 Short-term debt issued is comprised of debt issued (held at amortized cost) and financial liabilities designated at fair value issued by UBS 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 is comprised of debt issued (held at amortized cost) and financial liabilities designated at fair value issued by UBS AG and its subsidiaries with a remaining contractual maturity of more than one year without considering any early redemption features.

 

Swiss franc (CHF) amounts as of 31 December 2017 have been translated into US dollars (USD) at the rate of CHF 1 = USD 1.02586 (the exchange rate in effect as of 31 December 2017), and CHF amounts as of 30 September 2017 have been translated into USD at the rate of CHF 1 = USD 1.03261 (the exchange rate in effect as of 30 September 2017).

  



 

 

 

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 333-204908) and of UBS Group AG on Form S-8 (Registration Numbers 333-200634; 333-200635; 333-200641; 333-200665; 333-215254; and 333-215255) 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 Form 6-K’s 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 registrants have duly caused this report to be signed on their behalf by the undersigned, thereunto duly authorized.

 

 

 

 

 

UBS Group AG

 

 

 

By: _/s/ David Kelly_____________

Name:  David Kelly

Title:     Managing Director

 

 

 

By: _/s/ Federica Pisacane Rohde___

Name:  Federica Pisacane Rohde

      Title:    Executive Director

 

 

UBS AG

 

 

 

By: _/s/ David Kelly_____________

Name:  David Kelly

Title:     Managing Director

 

 

 

By: _/s/ Federica Pisacane Rohde___

Name:  Federica Pisacane Rohde

      Title:    Executive Director

 

 

 

 

 

 

 

 

 

 

Date:  March 9, 2018