Report of Foreign Issuer (6-k)
July 28 2017 - 7:28AM
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: July 28, 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 offices)
Indicate by check mark whether the registrant
files or will file annual reports under cover of Form 20‑F or Form 40-F.
This Form 6-K consists of the 2Q17 UBS Group AG
(consolidated) capital instruments and TLAC-eligible senior unsecured debt
information, published today by the registrants, which appears immediately
following this page.
UBS
Group AG consolidated capital instruments and TLAC-eligible senior unsecured
debt
Second quarter 2017
This document provides information about the treatment
of capital instruments and other instruments contributing to the total
loss-absorbing capacity (TLAC) of UBS Group AG consolidated under the Swiss SRB
framework as of 30 June 2017.
Information on the Swiss SRB capital framework and on Swiss
SRB going and gone concern requirements that are being phased in until the end
of 2019 is provided in the “Capital management” section of our Annual Report
2016, which is available under “Annual reporting” at
www.ubs.com/investors
.
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Capital instruments and TLAC-eligible senior unsecured debt¹
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|
|
|
|
|
|
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CHF million, except where indicated
|
|
|
|
Swiss SRB, incl. transitional arrangements
(phase-in)
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Swiss SRB as of 1.1.20 (fully applied)
|
|
|
|
|
|
|
|
|
Going concern
|
Gone concern
|
Going concern
|
Gone concern
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|
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No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 30.6.17
|
Amount recognized
in regulatory capital
as of 30.6.17
|
Amount eligible for
the gone concern requirement
as of 30.6.17
|
Amount recognized
in regulatory capital
as of 30.6.17
|
Amount eligible for
the gone concern requirement
as of 30.6.17
|
Maturity date
|
Optional call date
|
|
Additional tier 1 capital
|
|
|
|
|
|
|
|
|
|
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1
|
UBS Group AG, Switzerland
|
CH0271428317
|
19.02.15
|
USD 1,250
|
1,197
|
|
1,197
|
|
Perpetual
|
19.02.20
|
|
2
|
UBS Group AG, Switzerland, or employing subsidiaries²
|
|
31.12.14
|
CHF 443
|
443
|
|
443
|
|
Perpetual
|
01.03.20
|
|
3
|
UBS Group AG, Switzerland, or employing subsidiaries²
|
|
31.12.15
|
CHF 490
|
490
|
|
490
|
|
Perpetual
|
01.03.21
|
|
4
|
UBS Group AG, Switzerland
|
CH0317921697
|
21.03.16
|
USD 1,500
|
1,413
|
|
1,413
|
|
Perpetual
|
22.03.21
|
|
5
|
UBS Group AG, Switzerland
|
CH0331455318
|
10.08.16
|
USD 1,100
|
1,021
|
|
1,021
|
|
Perpetual
|
10.08.21
|
|
6
|
UBS Group AG, Switzerland, or employing subsidiaries²
|
|
31.12.16
|
CHF 399
|
399
|
|
399
|
|
Perpetual
|
01.03.22
|
|
7
|
UBS Group AG, Switzerland
|
CH0286864027
|
07.08.15
|
USD 1,575
|
1,521
|
|
1,521
|
|
Perpetual
|
07.08.25
|
|
Total high-trigger loss-absorbing additional tier 1 capital
|
|
|
|
6,485
|
|
6,485
|
|
|
|
|
1
|
UBS Group AG, Switzerland
|
CH0271428309
|
19.02.15
|
EUR 1,000
|
1,106
|
|
1,106
|
|
Perpetual
|
19.02.22
|
|
2
|
UBS Group AG, Switzerland
|
CH0271428333
|
19.02.15
|
USD 1,250
|
1,189
|
|
1,189
|
|
Perpetual
|
19.02.25
|
|
Total low-trigger loss-absorbing additional tier 1 capital³
|
|
|
|
2,295
|
|
2,295
|
|
|
|
|
Total additional tier 1 capital
|
|
|
|
8,780
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|
8,780
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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Non-Basel III-compliant tier 1 capital⁴
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|
|
|
|
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1
|
UBS Capital Securities (Jersey) Ltd
|
XS0336744650
|
21.12.07
|
EUR 600
|
|
657
|
|
657
|
Perpetual
|
21.12.17
|
|
Total non-Basel III-compliant tier 1 capital
|
|
|
|
|
657
|
|
657
|
|
|
|
|
|
|
|
|
|
|
|
|
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Tier 2 capital
|
|
|
|
|
|
|
|
|
|
|
1
|
UBS Group AG, Switzerland, or employing subsidiaries²
|
|
31.12.12
|
CHF 408
|
408
|
|
|
0
|
01.03.18
|
|
|
2
|
UBS Group AG, Switzerland, or employing subsidiaries²
|
|
31.12.13
|
CHF 448
|
448
|
|
|
224
|
01.03.19
|
|
|
Total high-trigger loss-absorbing tier 2 capital⁵
|
|
|
|
856
|
|
|
224
|
|
|
|
1
|
UBS AG, Switzerland, Stamford branch
|
US90261AAB89
|
17.08.12
|
USD 2,000
|
1,885
|
|
|
1,885
|
17.08.22
|
|
|
2
|
UBS AG, Switzerland
|
CH0214139930
|
22.05.13
|
USD 1,500
|
1,431
|
|
|
1,431
|
22.05.23
|
22.05.18
|
|
3
|
UBS AG, Switzerland
|
CH0244100266
|
15.05.14
|
USD 2,500
|
2,479
|
|
|
2,479
|
15.05.24
|
|
|
4
|
UBS AG, Switzerland
|
CH0236733827
|
13.02.14
|
EUR 2,000
|
2,285
|
|
|
2,285
|
12.02.26
|
12.02.21
|
|
Total low-trigger loss-absorbing tier 2 capital⁵
|
|
|
|
8,080
|
|
|
8,080
|
|
|
|
1
|
UBS AG, Switzerland
|
CH0035789210
|
27.12.07
|
CHF 192
|
|
0
|
|
0
|
27.12.17
|
|
|
2
|
UBS AG, Switzerland, Jersey branch
|
XS0331313055
|
19.11.07
|
GBP 130
|
|
162
|
|
162
|
19.11.24
|
19.11.19
|
|
3
|
UBS AG, Switzerland, New York branch
|
US870836AC77
|
21.07.95
|
USD 251
|
|
240
|
|
240
|
15.07.25
|
|
|
4
|
UBS AG, Switzerland, Jersey branch
|
XS0062270581
|
18.12.95
|
GBP 61
|
|
76
|
|
76
|
18.12.25
|
|
|
5
|
UBS AG, Switzerland, New York branch
|
US870845AC84
|
03.09.96
|
USD 218
|
|
190
|
|
190
|
01.09.26
|
|
|
Total non-Basel III-compliant tier 2 capital⁴
|
|
|
|
|
669
|
|
669
|
|
|
|
Total tier 2 capital
|
|
|
|
8,936
|
669
|
|
8,973
|
|
|
|
Capital instruments
and TLAC-eligible senior unsecured debt (continued)¹
|
|
|
|
|
|
|
|
CHF million, except where indicated
|
|
|
|
Swiss SRB, incl. transitional arrangements
(phase-in)
|
Swiss SRB as of 1.1.20 (fully applied)
|
|
|
|
|
|
|
|
|
Going concern
|
Gone concern
|
Going concern
|
Gone concern
|
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 30.6.17
|
Amount recognized
in regulatory capital
as of 30.6.17
|
Amount eligible for
the gone concern requirement
as of 30.6.17
|
Amount recognized
in regulatory capital
as of 30.6.17
|
Amount eligible for
the gone concern requirement
as of 30.6.17
|
Maturity date
|
Optional call date
|
|
TLAC-eligible senior unsecured debt
|
|
|
|
|
|
|
|
|
|
|
1
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAA54
RegS: USG91703AA90
|
24.09.15
|
USD 1,500
|
|
1,428
|
|
1,428
|
24.09.20
|
|
|
2
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAC11
RegS: USG91703AC56
|
24.09.15
|
USD 300
|
|
287
|
|
287
|
24.09.20
|
|
|
3
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAE76
RegS: USG91703AJ00
|
05.04.16
|
USD 1,000
|
|
931
|
|
931
|
14.04.21
|
|
|
4
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAD93
RegS: USG91703AH44
|
05.04.16
|
USD 2,000
|
|
1,880
|
|
1,880
|
15.04.21
|
|
|
5
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAG25
RegS: USG91703AL55
|
10.08.16
|
USD 500
|
|
454
|
|
454
|
01.02.22
|
|
|
6
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAH08
RegS: USG91703AM39
|
10.08.16
|
USD 2,000
|
|
1,852
|
|
1,852
|
01.02.22
|
|
|
7
|
UBS Group Funding (Switzerland) AG⁶
|
CH0310451841
|
22.02.16
|
CHF 300
|
|
299
|
|
299
|
22.02.22
|
|
|
8
|
UBS Group Funding (Switzerland) AG
|
CH0359915425
|
20.03.17
|
EUR 1,750
|
|
1,915
|
|
1,915
|
20.09.22
|
20.09.21
|
|
9
|
UBS Group Funding (Switzerland) AG⁶
|
CH0302790123
|
16.11.15
|
EUR 1,250
|
|
1,382
|
|
1,382
|
16.11.22
|
|
|
10
|
UBS Group Funding (Switzerland) AG
|
144A: US90352JAA16
RegS: USH4209UAA46
|
23.03.17
|
USD 2,000
|
|
1,937
|
|
1,937
|
23.05.23
|
23.05.22
|
|
11
|
UBS Group Funding (Switzerland) AG
|
144A: US90352JAB98
RegS: USH4209UAB29
|
23.03.17
|
USD 1,000
|
|
952
|
|
952
|
23.05.23
|
23.05.22
|
|
12
|
UBS Group Funding (Switzerland) AG⁶
|
CH0314209351
|
04.03.16
|
EUR 750
|
|
810
|
|
810
|
04.03.24
|
|
|
13
|
UBS Group Funding (Switzerland) AG
|
CH0365501516
|
18.05.17
|
CHF 400
|
|
398
|
|
398
|
18.05.24
|
18.05.23
|
|
14
|
UBS Group Funding (Switzerland) AG⁶
|
CH0341440334
|
30.11.16
|
EUR 1,250
|
|
1,353
|
|
1,353
|
30.11.24
|
30.11.23
|
|
15
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAB38
RegS: USG91703AB73
|
24.09.15
|
USD 2,500
|
|
2,402
|
|
2,402
|
24.09.25
|
|
|
16
|
UBS Group Funding (Switzerland) AG⁶
|
CH0310451858
|
22.02.16
|
CHF 150
|
|
148
|
|
148
|
23.02.26
|
|
|
17
|
UBS Group Funding (Switzerland) AG⁶
|
144A: US90351DAF42
RegS: USG91703AK72
|
05.04.16
|
USD 2,000
|
|
1,839
|
|
1,839
|
15.04.26
|
|
|
18
|
UBS Group Funding (Switzerland) AG⁶
|
CH0336602930
|
01.09.16
|
EUR 1,250
|
|
1,296
|
|
1,296
|
01.09.26
|
01.06.26
|
|
19
|
UBS Group Funding (Switzerland) AG
|
144A: US90352JAC71
RegS: USH4209UAC02
|
23.03.17
|
USD 2,000
|
|
1,959
|
|
1,959
|
23.03.28
|
23.03.27
|
|
Total TLAC-eligible senior unsecured debt
|
|
|
|
|
23,521
|
|
23,521
|
|
|
|
1 Refer to "Capital
instruments" under "Bondholder information" at
www.ubs.com/investors for more information on the key features and the terms
and conditions of the capital instruments included in the above table as of
30 June 2017. Instruments are listed according to their maturity or optional
call date. 2 Relates to deferred contingent capital plan (DCCP)
awards. 3 Outstanding low-trigger loss-absorbing additional tier 1 capital
instruments will remain available to meet the going concern requirements under
the transitional rules of the Swiss SRB framework until their first call
date, even if the first call date is after 31 December 2019. From their first
call date, they may be used to meet the gone concern requirements. 4
Non-Basel III-compliant tier 1 and tier 2 capital instruments qualify as gone
concern instruments. Under the Swiss SRB rules, these instruments are no
longer subject to phase-out. Instruments with a maturity date are eligible to
meet the gone concern requirements until one year prior to maturity, with a
haircut of 50% applied in the last year of eligibility. 5 Outstanding
high- and low-trigger loss-absorbing tier 2 capital instruments will remain
available to meet the going concern requirements under the transitional rules
of the Swiss SRB framework until the earlier of (i) their maturity or first
call date or (ii) 31 December 2019. As of 1 January 2020, these instruments
may be used to meet the gone concern requirements until one year before
maturity, with a haircut of 50% applied in the last year of eligibility. 6
Originally issued by UBS Group Funding (Jersey) Limited and transferred in
May 2017 to UBS Group Funding (Switzerland) AG as issuer.
|
Notice
to investors |
This document and the information contained herein are
provided solely for information purposes, and are not to be construed as
solicitation of an offer to buy or sell any securities or other financial
instruments in Switzerland, the United States or any other jurisdiction. No
investment decision relating to securities of or relating to UBS Group AG, UBS
AG or their affiliates should be made on the basis of this document. Refer to
UBS’s second quarter 2017 report and its Annual Report 2016 for additional information.
These reports are available at www.ubs.com/investors.
Rounding
|
Numbers presented throughout this document may not add up precisely to
the totals provided in the tables and text. Percentages, percent changes and
absolute variances are calculated on the basis of rounded figures displayed in
the tables and text and may not precisely reflect the percentages, percent
changes and absolute variances that would be derived based on figures that are
not rounded.
Tables |
Within tables, blank fields generally indicate that the field is not applicable
or not meaningful, or that information is not available as of the relevant date
or for the relevant period. Zero values generally indicate that the respective
figure is zero on an actual or rounded basis. Percentage changes are presented
as a mathematical calculation of the change between periods.
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/ 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: July 28,
2017
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