Report of Foreign Issuer (6-k)
November 10 2016 - 8:17AM
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: November 10, 2016
UBS Group AG
Commission File Number: 1-36764
UBS AG
Commission File Number: 1-15060
(Registrants' Names)
Bahnhofstrasse 45, Zurich, 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.
This Form 6-K consists of UBS Americas Holding LLC
(consolidated) selected regulatory information for the third quarter of 2016.
UBS Americas Holding LLC (consolidated)
selected regulatory
information
Third quarter 2016
The table below provides the key regulatory capital
components and capital ratios of UBS Americas Holding LLC (consolidated). This
information is prepared in accordance with applicable US Basel III rules and
has not been audited by the external auditors of UBS Americas Holding LLC.
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Regulatory capital components and capital ratios
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USD million, except where indicated
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30.9.16
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Capital
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Common equity tier 1 capital¹
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9,707
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Additional tier 1 capital²
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0
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Tier 1 capital
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9,707
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Tier 2 capital
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696
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Total capital
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10,403
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Risk-weighted assets
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Total risk-weighted assets
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57,375
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Capital ratios (%)³
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Common equity tier 1 capital ratio
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16.9
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Tier 1 capital ratio
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16.9
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Total capital ratio
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18.1
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1 The difference
between total equity of USD 22.6 billion as of 30 September 2016 and CET 1
capital of USD 9.7 billion mainly relates to deductions for goodwill and
intangible assets and deferred tax assets. 2 Additional tier 1 capital is
reduced to zero by deduction of deferred tax assets attributable to net
operating losses. 3 As of 30 September 2016, UBS Americas Holding LLC had
a CET1 capital ratio requirement of 5.125%, a tier 1 capital ratio
requirement of 6.625% and a total capital ratio requirement of 8.625%, which
are the current phase-in requirements according to the applicable US Basel
III rules.
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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 third quarter 2016 report and its Annual
Report 2015 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.
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; and 333-200665), 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 111572), the 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- 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/ Todd Tuckner
___________ _
Name: Todd Tuckner
Title: Group Controller and
Chief Accounting Officer
By:
_/s/ David Kelly_____________
Name: David Kelly
Title: Managing Director
UBS AG
By:
_/s/ Todd Tuckner
___________ _
Name: Todd Tuckner
Title: Group Controller and
Chief Accounting Officer
By:
_/s/ David Kelly_____________
Name: David Kelly
Title: Managing Director
Date: November 10, 2016
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