Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 (6-k)
October 29 2021 - 6:16AM
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:
October 29, 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.
UBS AG produces regular annual and quarterly
reports, which are submitted to the SEC under Forms 20-F and 6-K, respectively.
These reports are prepared in accordance with International Financial Reporting
Standards (IFRS). SEC regulations require certain additional disclosures to be
included in registration statements relating to offerings of securities.
Certain of these additional disclosures follow herein, and should be read in
conjunction with the annual report on Form 20-F for the year ended 31 December
2020 of UBS Group AG and UBS AG, filed with the SEC on March 05, 2021, as well
as UBS AG's first quarter 2021 report, submitted to the SEC on Form 6-K on
April 30, 2021, UBS AG’s second quarter 2021 report, submitted to the SEC on
Form 6-K on July 23, 2021, and UBS AG’s third quarter 2021 report, submitted to
the SEC on Form 6-K on October 29, 2021.
Capitalization
of UBS AG
The following table presents the consolidated capitalization of
UBS AG in accordance with International Financial Reporting Standards (IFRS) in
US dollars, the presentation currency of UBS AG.
|
|
As of
|
USD million
|
|
30.9.21
|
|
30.6.21
|
Debt:
|
|
|
|
|
Short-term debt issued1
|
|
75,298
|
|
85,273
|
Long-term debt issued2
|
|
130,754
|
|
130,190
|
Total debt issued
|
|
206,052
|
|
215,462
|
of which: Funding from UBS Group AG
|
|
56,411
|
|
58,173
|
Equity attributable to UBS AG shareholders
|
|
57,085
|
|
55,361
|
Equity attributable to non-controlling interests
|
|
333
|
|
284
|
Total capitalization
|
|
263,470
|
|
271,107
|
1 Short-term debt
issued is composed of debt issued (reflected on the balance sheet lines Debt
issued measured at amortized cost and Debt issued designated at fair value)
by UBS AG and its subsidiaries and Funding from UBS Group AG (measured at
amortized cost and designated at fair value) with a remaining contractual
maturity of less than one year without considering any early redemption
features. 2 Long-term debt issued is composed of debt issued (reflected on
the balance sheet lines Debt issued measured at amortized cost and Debt
issued designated at fair value) by UBS AG and its subsidiaries and Funding
from UBS Group AG (measured at amortized cost and designated at fair value)
with a remaining contractual maturity of more than one year without considering
any early redemption features.
|
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 Forms 6-K 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: October 29, 2021
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