Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 (6-k)
December 13 2021 - 11:16AM
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: December 13, 2021
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
This
Form 6-K consists of the news release which appear immediately following this
page.
Investor
Relations
Tel. +41-44-234 41 00
Media Relations
Tel. +41-44-234 85 00
13 December 2021
|
Ad hoc announcement pursuant to Article 53 of the SIX Exchange
Regulation Listing Rules
News Release
|
Decision by the French Court of Appeal
|
Zurich, 13 December 2021 – UBS takes note of the
French Court of Appeal’s decision.
UBS AG was found guilty of unlawful solicitation
and aggravated laundering of the proceeds of tax fraud relating to the bank’s
cross-border business activities in France between 2004 and 2012. The court
imposed a fine of EUR 3.75m as opposed to EUR 3.7bn in the first instance.
In addition, the court has ordered the
confiscation of EUR 1bn. The court also awarded civil damages to the French
state of EUR 800m unchanged from first instance. The award of civil damages
will be payable upon request by the French state.
UBS (France) SA was acquitted on charges of
aiding and abetting of laundering the proceeds of tax fraud and was found
guilty of aiding and abetting of unlawful solicitation. The court has ordered a
fine of EUR 1.875m.
The fines imposed on UBS AG and UBS France S.A.
would be suspended if the decision is appealed.
UBS will review the decision and consider all
options, including appeal.
UBS Group AG and UBS AG
Investor contact
Switzerland:
Media contact
|
+41-44-234
41 00
|
Switzerland:
|
+41-44-234
85 00
|
UK:
|
+44-207-567
47 14
|
Americas:
|
+1-212-882
58 58
|
APAC:
|
+852-297-1
82 00
|
www.ubs.com/media
UBS Group AG and UBS AG, News
Release, 13 December 2021 Page
1
of 2
Investor
Relations
Tel. +41-44-234 41 00
Media Relations
Tel. +41-44-234 85 00
Notice to investors
This document and the information contained
herein is provided solely for information purposes, and is not to be construed
as a 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. For
additional information, refer to the documents furnished by or filed with the
United States Securities and Exchange Commission, including the Form 20-F for
the year ended 31 December 2020. These reports are available at
www.ubs.com/investors.
Cautionary statement regarding
forward-looking statements
This document contains statements that
constitute forward-looking statements. While these statements represent UBS’s
judgments and expectations concerning the matters described, a number of risks,
uncertainties and other important factors could cause actual developments and
results to differ materially from UBS’s expectations. Additional information
about those factors is set forth in documents furnished and filings made by UBS
with the US Securities and Exchange Commission, including the second and third
quarter 2021 reports and the Annual Report on Form 20-F for the year ended 31
December 2020. UBS undertakes no obligation to update the information contained
herein.
UBS Group AG and UBS AG, News
Release, 13 December 2021 Page
2
of 2
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 333-253432), and of UBS Group AG on Form S-8 (Registration Numbers
333-200634; 333-200635; 333-200641; 333-200665; 333-215254; 333-215255;
333-228653; 333-230312; and 333-249143), 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/
Ella Campi_______________
Name: Ella Campi
Title:
Executive Director
UBS
AG
By:
_/s/ David Kelly______________
Name:
David Kelly
Title:
Managing Director
By: _/s/ Ella Campi_______________
Name: Ella Campi
Title:
Executive Director
Date: December 13, 2021
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