Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 (6-k)
October 26 2021 - 06:57AM
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: October 26, 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.
This Form 6-K
consists of the UBS Group AG consolidated capital instruments and TLAC-eligible
senior unsecured debt information for the third quarter of 2021, published
today by the registrants, which appears immediately following this page.
UBS Group AG consolidated capital instruments and TLAC-eligible
senior unsecured debt
Third quarter of 2021
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 systemically relevant bank (SRB) framework as of 30 September
2021.
Information about the Swiss SRB capital
framework and on Swiss SRB going and gone concern requirements is provided in
the “Capital management” section of our Annual Report 2020, which is available
under “Annual reporting” at ubs.com/investors.
Capital
instruments and TLAC-eligible senior unsecured debt as of 30 September
20211
|
USD million, except where
indicated
|
|
|
|
Swiss SRB
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 30.9.21
(million)
|
Amount recognized
in regulatory capital
as of 30.9.21
|
Amount eligible for
the gone concern requirement
as of 30.9.21
|
Maturity date
|
First optional call date
|
Additional tier 1 capital
|
|
|
|
|
|
|
|
1
|
UBS Group AG
|
CH0286864027
|
07.8.15
|
USD 1,575
|
1,663
|
|
Perpetual
|
07.8.25
|
2
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
31.12.16
|
USD 333
|
333
|
|
Perpetual
|
01.3.22
|
3
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
31.12.17
|
USD 329
|
329
|
|
Perpetual
|
01.3.23
|
4
|
UBS Group AG
|
CH0400441280
|
31.1.18
|
USD 2,000
|
2,058
|
|
Perpetual
|
31.1.23
|
5
|
UBS Group AG
|
CH0447353704
|
28.11.18
|
SGD 700
|
534
|
|
Perpetual
|
28.11.23
|
6
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
31.12.18
|
USD 358
|
358
|
|
Perpetual
|
01.3.24
|
7
|
UBS Group AG
|
144A: US90352JAF03
RegS: USH4209UAT37
|
31.1.19
|
USD 2,500
|
2,623
|
|
Perpetual
|
31.1.24
|
8
|
UBS Group AG
|
CH0488506673
|
27.8.19
|
AUD 700
|
509
|
|
Perpetual
|
27.8.24
|
9
|
UBS Group AG
|
CH0495570928
|
04.9.19
|
SGD 750
|
562
|
|
Perpetual
|
04.9.24
|
10
|
UBS Group AG
|
CH0506668869
|
13.11.19
|
CHF 275
|
287
|
|
Perpetual
|
13.11.25
|
11
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
21.2.20
|
USD 292
|
292
|
|
Perpetual
|
01.3.25
|
12
|
UBS Group AG
|
CH0558521263
|
29.7.20
|
USD 750
|
725
|
|
Perpetual
|
29.7.26
|
13
|
UBS Group AG
|
144A: US902613AD01
RegS: USH42097CB19
|
10.2.21
|
USD 1,500
|
1,445
|
|
Perpetual
|
10.2.31
|
14
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
21.2.21
|
USD 413
|
413
|
|
Perpetual
|
01.3.26
|
15
|
UBS Group AG
|
144A: US902613AG32
RegS: USH42097CL90
|
02.6.21
|
USD 750
|
743
|
|
Perpetual
|
02.6.26
|
Total high-trigger
loss-absorbing additional tier 1 capital
|
|
|
|
12,874
|
|
|
|
1
|
UBS Group AG
|
CH0271428309
|
19.2.15
|
EUR 1,000
|
1,164
|
|
Perpetual
|
19.2.22
|
2
|
UBS Group AG
|
CH0271428333
|
19.2.15
|
USD 1,250
|
1,309
|
|
Perpetual
|
19.2.25
|
Total low-trigger
loss-absorbing additional tier 1 capital4
|
|
|
|
2,473
|
|
|
|
Total additional tier 1
capital
|
|
|
|
15,347
|
|
|
|
|
|
|
|
|
|
|
|
|
Tier 2 capital
|
|
|
|
|
|
|
|
1
|
UBS AG, Stamford branch
|
US90261AAB89
|
17.8.12
|
USD 2,000
|
|
|
17.8.22
|
|
2
|
UBS AG
|
CH0244100266
|
15.5.14
|
USD 2,500
|
|
2,638
|
15.5.24
|
|
Total low-trigger
loss-absorbing tier 2 capital
|
|
|
|
|
2,638
|
|
|
1
|
UBS AG, Stamford branch
|
US870836AC77
|
21.7.95
|
USD 251
|
|
254
|
15.7.25
|
|
2
|
UBS AG, Jersey branch
|
XS0062270581
|
18.12.95
|
GBP 61
|
|
83
|
18.12.25
|
|
3
|
UBS AG, Stamford branch
|
US870845AC84
|
03.9.96
|
USD 218
|
|
211
|
01.9.26
|
|
Total non-Basel III-compliant
tier 2 capital5
|
|
|
|
|
548
|
|
|
Total tier 2 capital
|
|
|
|
|
3,185
|
|
|
Capital
instruments and TLAC-eligible senior unsecured debt as of 30 September
20211
|
USD million, except where
indicated
|
|
|
|
Swiss SRB
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 30.9.21
(million)
|
Amount recognized
in regulatory capital
as of 30.9.21
|
Amount eligible for
the gone concern requirement
as of 30.9.21
|
Maturity date
|
First optional call date
|
TLAC-eligible senior unsecured
debt
|
|
|
|
|
|
|
|
1
|
UBS Group AG
|
144A: US90351DAB38
RegS: USG91703AB73
|
24.9.15
|
USD 2,500
|
|
2,636
|
24.9.25
|
|
2
|
UBS Group AG
|
CH0302790123
|
16.11.15
|
EUR 1,250
|
|
1,466
|
16.11.22
|
|
3
|
UBS Group AG
|
CH0310451841
|
22.2.16
|
CHF 300
|
|
|
22.2.22
|
|
4
|
UBS Group AG
|
CH0310451858
|
22.2.16
|
CHF 150
|
|
161
|
23.2.26
|
|
5
|
UBS Group AG
|
CH0314209351
|
04.3.16
|
EUR 750
|
|
885
|
04.3.24
|
|
6
|
UBS Group AG
|
144A: US90351DAF42
RegS: USG91703AK72
|
05.4.16
|
USD 2,000
|
|
2,066
|
15.4.26
|
|
7
|
UBS Group AG
|
144A: US90351DAH08
RegS: USG91703AM39
|
10.8.16
|
USD 2,000
|
|
|
01.2.22
|
|
8
|
UBS Group AG
|
144A: US90351DAG25
RegS: USG91703AL55
|
10.8.16
|
USD 500
|
|
|
01.2.22
|
|
9
|
UBS Group AG
|
CH0336602930
|
01.9.16
|
EUR 1,250
|
|
1,475
|
01.9.26
|
01.6.26
|
10
|
UBS Group AG
|
CH0341440334
|
30.11.16
|
EUR 1,250
|
|
1,467
|
30.11.24
|
30.11.23
|
11
|
UBS Group AG
|
144A: US90352JAA16
RegS: USH4209UAA46
|
23.3.17
|
USD 2,000
|
|
2,001
|
23.5.23
|
23.5.22
|
12
|
UBS Group AG
|
144A: US90352JAB98
RegS: USH4209UAB29
|
23.3.17
|
USD 1,000
|
|
992
|
23.5.23
|
23.5.22
|
13
|
UBS Group AG
|
144A: US90352JAC71
RegS: USH4209UAC02
|
23.3.17
|
USD 2,000
|
|
2,143
|
23.3.28
|
23.3.27
|
14
|
UBS Group AG
|
CH0365501516
|
18.5.17
|
CHF 400
|
|
433
|
18.5.24
|
18.5.23
|
15
|
UBS Group AG
|
144A: US90352JAD54
RegS: USH4209UAF33
|
15.8.17
|
USD 1,250
|
|
1,250
|
15.8.23
|
15.8.22
|
16
|
UBS Group AG
|
144A: US90352JAE38
RegS: USH4209UAG16
|
15.8.17
|
USD 2,000
|
|
2,031
|
15.8.23
|
15.8.22
|
17
|
UBS Group AG
|
CH0409606354
|
17.4.18
|
EUR 1,750
|
|
2,072
|
17.4.25
|
17.4.24
|
18
|
UBS Group AG
|
CH0445624999
|
09.11.18
|
JPY 20,000
|
|
182
|
09.11.28
|
09.11.27
|
19
|
UBS Group AG
|
CH0445624981
|
09.11.18
|
JPY 130,000
|
|
1,169
|
08.11.24
|
08.11.23
|
20
|
UBS Group AG
|
CH0459297435
|
30.1.19
|
CHF 400
|
|
428
|
30.1.25
|
30.1.24
|
21
|
UBS Group AG
|
144A: US902613AA61
RegS: USH42097AZ05
|
13.8.19
|
USD 1,500
|
|
1,526
|
13.8.30
|
13.8.29
|
22
|
UBS Group AG
|
CH0506668844
|
04.11.19
|
USD 150.36
|
|
149 7
|
04.11.49
|
04.11.22
|
Capital
instruments and TLAC-eligible senior unsecured debt as of 30 September
20211
|
USD million, except where
indicated
|
|
|
|
Swiss SRB
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 30.9.21
(million)
|
Amount recognized
in regulatory capital
as of 30.9.21
|
Amount eligible for
the gone concern requirement
as of 30.9.21
|
Maturity date
|
First optional call date
|
23
|
UBS Group AG
|
CH0520042489
|
29.1.20
|
EUR 1,500
|
|
1,732
|
29.1.26
|
29.1.25
|
24
|
UBS Group AG
|
CH0521617321
|
04.3.20
|
USD 126.96
|
|
127 7
|
04.3.50
|
04.3.25
|
25
|
UBS Group AG
|
CH0535271214
|
14.4.20
|
USD 211.86
|
|
176 7
|
14.4.50
|
14.4.25
|
26
|
UBS Group AG
|
CH0547243250
|
22.5.20
|
USD 104.86
|
|
85 7
|
22.5.50
|
22.5.25
|
27
|
UBS Group AG
|
CH0543827189
|
27.5.20
|
USD 523.76
|
|
433 7
|
27.5.50
|
27.5.25
|
28
|
UBS Group AG
|
144A: US902613AB45
RegS: USH42097BS52
|
30.7.20
|
USD 1,300
|
|
1,293
|
30.7.24
|
30.7.23
|
29
|
UBS Group AG
|
144A: US902613AC28
RegS: USH42097BT36
|
30.7.20
|
USD 1,300
|
|
1,267
|
30.1.27
|
30.1.26
|
30
|
UBS Group AG
|
CH0558521271
|
18.8.20
|
AUD 37.06
|
|
23 7
|
18.8.35
|
18.8.30
|
31
|
UBS Group AG
|
CH0561923860
|
22.9.20
|
USD 56.66
|
|
48 7
|
22.9.50
|
22.9.23
|
32
|
UBS Group AG
|
CH0576402181
|
05.11.20
|
EUR 1,500
|
|
1,693
|
05.11.28
|
05.11.27
|
33
|
UBS Group AG
|
CH0579132942
|
24.11.20
|
USD 40
|
|
39 7
|
24.11.35
|
24.11.23
|
34
|
UBS Group AG
|
CH0581183594
|
03.12.20
|
AUD 45
|
|
30 7
|
03.12.35
|
03.12.23
|
35
|
UBS Group AG
|
CH0587372951
|
12.1.21
|
USD 101.96
|
|
92 7
|
12.1.51
|
12.1.26
|
36
|
UBS Group AG
|
CH0588488863
|
29.1.21
|
USD 336.16
|
|
312 7
|
29.1.51
|
29.1.26
|
37
|
UBS Group AG
|
144A: US902613AE83
RegS: USH42097CC91
|
11.2.21
|
USD 2,000
|
|
1,922
|
11.2.32
|
11.2.31
|
38
|
UBS Group AG
|
CH0595205524
|
24.2.21
|
EUR 1,000
|
|
1,140
|
24.2.28
|
|
39
|
UBS Group AG
|
CH0595205532
|
24.2.21
|
EUR 1,250
|
|
1,402
|
24.2.33
|
|
40
|
UBS Group AG
|
CH0598928718
|
24.2.21
|
CHF 360
|
|
381
|
24.8.29
|
24.8.28
|
41
|
UBS Group AG
|
US902613AF58
|
25.2.21
|
USD 25
|
|
25 7
|
25.2.36
|
25.2.24
|
42
|
UBS Group AG
|
CH0595205490
|
26.2.21
|
USD 173.06
|
|
167 7
|
26.2.51
|
26.2.26
|
43
|
UBS Group AG
|
CH0595205508
|
26.2.21
|
AUD 91.66
|
|
63 7
|
26.2.51
|
26.2.26
|
44
|
UBS Group AG
|
CH0598928734
|
04.3.21
|
USD 40
|
|
40 7
|
04.3.36
|
04.3.24
|
45
|
UBS Group AG
|
CH1112455774
|
26.5.21
|
USD 268.26
|
|
275 7
|
26.5.51
|
26.5.26
|
46
|
UBS Group AG
|
144A: US902613AH15
RegS: USH42097CM73
|
10.8.21
|
USD 2,000
|
|
1,945
|
10.8.27
|
10.8.26
|
Total TLAC-eligible senior
unsecured debt
|
|
|
|
|
39,242
|
|
|
1 Refer to “Capital and total loss-absorbing capacity
instruments” under “Bondholder information” at ubs.com/investors for more
information about the key features and the terms and conditions of the
capital instruments included in the table above. Instruments are listed
according to their issuance date. 2 Instruments available to meet
gone concern requirements remain eligible until one year before maturity.
3 Relates to deferred contingent capital plan (DCCP) awards.
4 Includes outstanding low-trigger loss-absorbing additional tier 1
(AT1) capital instruments, which are available under the Swiss SRB framework
to meet the going concern requirements until their first call date. As of
their first call date, these instruments are eligible to meet the gone
concern requirements. 5 Non-Basel III-compliant tier 2 capital instruments
qualify as gone concern instruments. 6 Information corresponds to the
amortized face amount as of 30 September 2021, and therefore includes
the applicable accrual yield. 7 The eligible amounts presented are
adjusted for own credit related gains / losses.
|
Cautionary
Statement | This report 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 report. Refer to UBS’s Annual Report 2020 on Form 20-F, quarterly
reports and other information furnished to or filed with the US Securities and Exchange
Commission on Form 6-K, available at ubs.com/investors, for additional
information.
Rounding | Numbers
presented throughout this report may not add up precisely to the totals
provided in the tables and text. Percentages and percent changes disclosed in
text and tables are calculated on the basis of unrounded figures. Absolute
changes between reporting periods disclosed in the text, which can be derived
from numbers presented in related tables, are calculated on a rounded basis.
Tables | Within tables, blank fields
generally indicate non-applicability or that presentation of any content would
not be 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. Values that are zero on a rounded
basis can be either negative or positive on an actual basis.
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 Camp
Title: Executive Director
Date: October 26, 2021
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