Securities Registration (section 12(b)) (8-a12b)
June 03 2020 - 6:02AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-A
FOR
REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF
THE SECURITIES EXCHANGE ACT OF 1934
UBS AG
(Exact Name of Registrant as Specified in Its Charter)
|
|
|
Switzerland
|
|
90-0186363
|
(State of Incorporation or Organization)
|
|
(I.R.S. Employer Identification no.)
|
|
|
Bahnhofstrasse 45, CH-8098 Zurich, Switzerland
Aeschenvorstadt 1, CH-4051 Basel, Switzerland
|
|
N/A
|
(Address of Principal Executive Offices)
|
|
(Zip Code)
|
Securities to be registered pursuant to Section 12(b) of the Act:
|
|
|
Title of Each Class
to be so Registered
|
|
Name of Each Exchange on Which
Each Class is to be Registered
|
ETRACS Monthly Pay 1.5x Leveraged Mortgage REIT ETN due June 10, 2050
|
|
NYSE Arca, Inc.
|
ETRACS Monthly Pay 1.5x Leveraged Closed-End Fund Index ETN due June 10, 2050
|
|
NYSE Arca, Inc.
|
ETRACS Quarterly Pay 1.5x Leveraged Wells Fargo BDC Index ETN due June 10, 2050
|
|
NYSE Arca, Inc.
|
ETRACS Quarterly Pay 1.5x Leveraged Alerian MLP Index ETN due June 10, 2050
|
|
NYSE Arca, Inc.
|
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General
Instruction A.(c) or (e), please check the following box: ☒
If this form relates to the registration of a class of securities pursuant
to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), please check the following box: ☐
If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box: ☐
Securities Act registration statement or Regulation A offering statement file number to which this form relates: 333-225551 (if applicable)
Securities to be registered pursuant to
Section 12(g) of the Act:
None
(Title of Class)
Item 1.
|
Description of Registrants Securities to be Registered
|
The Registrant filed with the Securities and Exchange Commission (the Commission) a Registration Statement on Form F-3 (Registration Statement No. 333-225551) (the Registration Statement) containing a prospectus, dated October 31, 2018, relating to the
Registrants Debt Securities and Warrants (the Prospectus). The Registration Statement was declared effective on October 31, 2018. On the date hereof, the Registrant intends to file with the Commission pursuant to Rule 424(b)
under the Securities Act of 1933, four prospectus supplements, each dated June 2, 2020 (the Prospectus Supplements) relating to four series of the Registrants Exchange Traded Access Securities (ETRACS), entitled
(a) ETRACS Monthly Pay 1.5x Leveraged Mortgage REIT ETN due June 10, 2050; (b) ETRACS Monthly Pay 1.5x Leveraged Closed-End Fund Index ETN due June 10, 2050; (c) ETRACS Quarterly Pay 1.5x
Leveraged Wells Fargo BDC Index ETN due June 10, 2050; and (d) ETRACS Quarterly Pay 1.5x Leveraged Alerian MLP Index ETN due June 10, 2050, each of which is part of the Registrants Medium-Term Notes, Series B. The Prospectus
Supplements and the Prospectus are incorporated by reference to the extent set forth below.
The material set forth (i) under the
headings Description of Debt Securities We May Offer on pages 12 to 31, Considerations Relating to Indexed Securities on pages 52 to 54, U.S. Tax Considerations on pages 58 to 68 and Tax Considerations Under
the Laws of Switzerland on pages 69 to 70 in the Prospectus and (ii) in the respective Prospectus Supplements are each incorporated herein by reference, as applicable. The outstanding principal amount of the securities of each series
registered hereby may be increased from time to time in the future due to further issuances of securities having substantially the same terms. If any such additional securities are issued, a prospectus supplement relating to the additional
securities will be filed with the Securities and Exchange Commission and will be incorporated herein by reference. The securities of each series registered hereby are, and any additional securities of such series registered hereby in the future will
be, all part of a single series of the Registrants Medium-Term Notes, Series B, as described in the documents referenced above.
Pursuant to the Instructions as to Exhibits with respect to Form 8-A, the following exhibits are being
filed with the Commission in connection with this Registration Statement on Form 8-A:
|
1.
|
Debt Indenture, dated as of June 12, 2015, between the Company and U.S. Bank Trust National Association, as
debt trustee (incorporated by reference to Exhibit 4.22 of the Registrants registration statement no. 333-204908).
|
|
2.
|
Form of ETRACS Monthly Pay 1.5x Leveraged Mortgage REIT ETN due June 10, 2050.
|
|
3.
|
Form of ETRACS Monthly Pay 1.5x Leveraged Closed-End Fund Index ETN due
June 10, 2050.
|
|
4.
|
Form of ETRACS Quarterly Pay 1.5x Leveraged Wells Fargo BDC Index ETN due June 10, 2050.
|
|
5.
|
Form of ETRACS Quarterly Pay 1.5x Leveraged Alerian MLP Index ETN due June 10, 2050.
|
|
6.
|
Officers Certificate of the Registrant pursuant to Section 301 of the Debt Indenture setting forth
the terms of the Registrants Medium-Term Notes, Series B (incorporated by reference to Exhibit 3 of the Registrants registration statement on Form 8-A, filed with the Commission on July 14,
2015).
|
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration
statement to be signed on its behalf by the undersigned, thereto duly authorized.
|
|
|
|
|
|
|
|
|
|
|
UBS AG
|
|
|
|
|
(Registrant)
|
Dated: June 2, 2020
|
|
|
|
|
|
|
|
|
|
|
By:
|
|
/s/ Timothy Geller
|
|
|
|
|
Name:
|
|
Timothy Geller
|
|
|
|
|
Title:
|
|
Executive Director
|
|
|
|
|
|
|
|
|
By:
|
|
/s/ Shruti Senapati
|
|
|
|
|
Name:
|
|
Shruti Senapati
|
|
|
|
|
Title:
|
|
Director
|
Microsectors Energy 3x L... (AMEX:WTIU)
Historical Stock Chart
From Mar 2024 to Apr 2024
Microsectors Energy 3x L... (AMEX:WTIU)
Historical Stock Chart
From Apr 2023 to Apr 2024