Report of Foreign Issuer (6-k)
April 03 2017 - 9:25AM
Edgar (US Regulatory)
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: April 3, 2017
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 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
o
This Form 6-K consists of the new release which appears immediately
following this page.
Investor
Relations
Tel. +41-44-234 41 00
Media Relations
Tel. +41-44-234 85 00
3 April 2017
|
News
Release
|
UBS publishes agenda for the Annual General
Meeting of UBS Group AG on 4 May 2017
|
|
Julie G. Richardson nominated for election
to the Board of Directors at the Annual General Meeting. Joseph Yam decided
not to stand for re-election.
|
|
Zurich, 3 April 2017 – The Board of Directors of
UBS Group AG is proposing Julie G. Richardson for election as a new member of
the Board of Directors for a one-year term. Julie G. Richardson (born 1963) was
a Partner and Head of the New York Office of Providence Equity Partners from
2003 to 2012, a global private equity firm specializing in equity investments
in media, communications, education and information companies. She acted as a
senior advisor to the partnership until 2014. From 1998 to 2003, Julie G.
Richardson served as Vice Chairman of JPMorgan Chase & Co.’s Investment
Banking division and Head of its Global Telecommunications, Media and
Technology group. She started her career with Merrill Lynch in 1986, where she
worked until 1998, in her last position as Managing Director Media and
Communications Investment Banking. Julie G. Richardson graduated with a
bachelor’s degree in business administration from the University of
Wisconsin-Madison.
Chairman of the UBS Board of Directors Axel
Weber: “I am delighted to announce the nomination of Julie G. Richardson for
election to the Board of Directors. We are convinced she has the specialist
knowledge required to strengthen the UBS Board of Directors and – subject to
her election – will provide invaluable skills, experience and expertise.”
Joseph Yam has decided to step down from the
Board of Directors at this year's Annual General Meeting (AGM) for personal
reasons. He has been a member of the Board since 2011 and was a member of the
Corporate Culture and Responsibility Committee and the Risk Committee. Chairman
Axel Weber, said: "Joseph Yam's experience as a former regulator in the
vital Asian market brought important impetus to the Board, where he engaged
actively for a sustainable strategy. The Board thanks him for his valuable
collaboration."
Chairman Axel Weber and the other members of the
Board of Directors will stand for re-election for a further one-year term.
Dividend proposal
The UBS Group AG Board of Directors intends to
propose to shareholders an ordinary dividend of CHF 0.60 per share for the
financial year 2016, unchanged compared with the previous year.
Proposals for compensation of the Board of
Directors and the Group Executive Board
At the AGM 2017, shareholders will be asked to
vote on the variable compensation for the Group Executive Board for 2016, the
fixed compensation for the Group Executive Board for 2018 and the compensation
for the Board of Directors for the period from the AGM 2017 to the AGM 2018.
UBS Group AG, News Release, 3 April 2017
Page
1
Investor
Relations
Tel. +41-44-234 41 00
Media Relations
Tel. +41-44-234 85 00
As in previous years, there will also be an advisory
vote by shareholders on the current compensation report, which outlines UBS’s
compensation strategy and principles, governance and practice.
The advisory vote and the binding votes on
compensation provide the Board of Directors with valuable feedback on the
firm’s compensation policy and reflect its commitment to transparent say-on-pay
for shareholders.
Agenda for the Annual General Meeting 2017 of
UBS Group AG
1. UBS Group AG management report and
consolidated and standalone financial statements for the financial year 2016
1.1. Approval of the UBS Group AG
management report and consolidated and
standalone financial statements
1.2. Advisory vote on the UBS Group AG
Compensation Report 2016
2. Appropriation of retained earnings and
distribution of ordinary dividend out of capital contribution reserve
3. Discharge of the members of the Board of
Directors and the Group Executive Board for the financial year 2016
4. Approval of the aggregate amount of
variable compensation for the members of the Group Executive Board for the
financial year 2016
5. Approval of the maximum aggregate amount
of fixed compensation for the members of the Group Executive Board for the
financial year 2018
6. Elections
6.1. Re-election of members of the Board
of Directors
6.1.1. Axel A. Weber as Chairman of the Board
of Directors
6.1.2. Michel Demaré
6.1.3. David Sidwell
6.1.4. Reto Francioni
6.1.5. Ann F. Godbehere
6.1.6. William G. Parrett
6.1.7. Isabelle Romy
6.1.8. Robert W. Scully
6.1.9. Beatrice Weder di Mauro
6.1.10. Dieter Wemmer
6.2. Election of a new member to the
Board of Directors: Julie G. Richardson
6.3. Re-election of the members of the
Compensation Committee
6.3.1. Ann F. Godbehere
6.3.2. Michel Demaré
6.3.3.
Reto Francioni
6.3.4. William G. Parrett
7. Approval of the maximum aggregate amount
of compensation for the members of the Board of Directors from the Annual
General Meeting 2017 to the Annual General Meeting 2018
UBS Group AG, News Release, 3 April 2017
Page
2
Investor
Relations
Tel. +41-44-234 41 00
Media Relations
Tel. +41-44-234 85 00
8. Re-elections
8.1. Re-election of the independent
proxy, ADB Altorfer Duss & Beilstein AG, Zurich
8.2. Re-election of the auditors, Ernst
& Young Ltd, Basel
The invitation to the AGM as well as explanatory
information on individual agenda items is available on the UBS website via the
following link: www.ubs.com/agm. Voting results will also be uploaded to the
website during the AGM.
The UBS Group AG AGM will take place at the Messe
Basel on 4 May 2017 and begins at 10:30 a.m.
Participation by media representatives
Representatives of the media may register to
attend the UBS Group AG AGM by returning the invitation on page 4 by 24 April
2017 at the latest.
Investor contact
Switzerland: +41-44-234 41 00
Media contact
Switzerland: +41-44-234 85 00
UK: +44-207-567 47 14
Americas: +1-212-882 58 57
APAC: +852-297-1 82 00
UBS Group AG, News Release, 3 April 2017
Page
3
Investor
Relations
Tel. +41-44-234 41 00
Media Relations
Tel. +41-44-234 85 00
To representatives of the media
3 April 2017
Invitation to the UBS Group AG Annual General
Meeting
Dear Sir or Madam
You are invited to attend the UBS Group AG AGM,
which will take place at 10:30 a.m. on 4 May 2017 at the Messe Basel,
Messeplatz, Halle 1.2 Süd in Basel. Doors will open at 9:30 a.m.
For organizational reasons, you are required to
register by
24 April 2017
at the latest. If you wish to attend please
provide us with the information below by e-mail (mediarelations@ubs.com). Once
your registration has been received, we will send you a confirmation that
should be presented at the AGM entrance.
If you have any questions, please contact Sandra
Benedetti or Eveline Mueller-Eichenberger
(+41-44-234 85 00).
Last name/first name:_________________________________________________
Organization: _________________________________________________
Address: _________________________________________________
Telephone: _________________________________________________
Email: _________________________________________________
UBS Group AG
UBS Group AG, News Release, 3 April 2017
Page
4
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 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/ Sarah M. Starkweather______
Name: Sarah M. Starkweather
Title: Executive Director
UBS AG
By:
_/s/ David Kelly______________
Name: David Kelly
Title: Managing Director
By:
_/s/ Sarah M. Starkweather______
Name: Sarah M. Starkweather
Title: Executive Director
Date: April 3,
2017
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