Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 (6-k)
April 26 2022 - 7:23AM
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: April 26, 2022
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 first quarter of 2022, published today by
the registrants, which appears immediately following this page.
UBS
Group AG consolidated capital instruments and TLAC-eligible senior unsecured
debt
First quarter of 2022
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 31 March 2022.
Information about the Swiss SRB capital framework and on Swiss
SRB going and gone concern requirements is provided in the “Capital, liquidity and
funding, and balance sheet” section of our Annual Report 2021, which is available
under “Annual reporting” at ubs.com/investors.
Capital
instruments and TLAC-eligible senior unsecured debt as of 31 March 20221
|
USD million, except where indicated
|
|
|
|
Swiss SRB
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 31.3.22
(million)
|
Amount recognized
in regulatory capital
as of 31.3.22
|
Amount eligible for
the gone concern requirement
as of 31.3.22
|
Maturity date
|
First optional call date
|
Additional tier 1 capital
|
|
|
|
|
|
|
|
1
|
UBS Group AG
|
CH0286864027
|
07.8.15
|
USD 1,575
|
1,565
|
|
Perpetual
|
07.8.25
|
2
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
31.12.17
|
USD 327
|
327
|
|
Perpetual
|
01.3.23
|
3
|
UBS Group AG
|
CH0400441280
|
31.1.18
|
USD 2,000
|
2,011
|
|
Perpetual
|
31.1.23
|
4
|
UBS Group AG
|
CH0447353704
|
28.11.18
|
SGD 700
|
527
|
|
Perpetual
|
28.11.23
|
5
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
31.12.18
|
USD 355
|
355
|
|
Perpetual
|
01.3.24
|
6
|
UBS Group AG
|
144A: US90352JAF03
RegS: USH4209UAT37
|
31.1.19
|
USD 2,500
|
2,498
|
|
Perpetual
|
31.1.24
|
7
|
UBS Group AG
|
CH0488506673
|
27.8.19
|
AUD 700
|
503
|
|
Perpetual
|
27.8.24
|
8
|
UBS Group AG
|
CH0495570928
|
04.9.19
|
SGD 750
|
548
|
|
Perpetual
|
04.9.24
|
9
|
UBS Group AG
|
CH0506668869
|
13.11.19
|
CHF 275
|
279
|
|
Perpetual
|
13.11.25
|
10
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
21.2.20
|
USD 290
|
290
|
|
Perpetual
|
01.3.25
|
11
|
UBS Group AG
|
CH0558521263
|
29.7.20
|
USD 750
|
685
|
|
Perpetual
|
29.7.26
|
12
|
UBS Group AG
|
144A: US902613AD01
RegS: USH42097CB19
|
10.2.21
|
USD 1,500
|
1,347
|
|
Perpetual
|
10.2.31
|
13
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
21.2.21
|
USD 409
|
409
|
|
Perpetual
|
01.3.26
|
14
|
UBS Group AG
|
144A: US902613AG32
RegS: USH42097CL90
|
02.6.21
|
USD 750
|
690
|
|
Perpetual
|
02.6.26
|
15
|
UBS Group AG
|
144A: US902613AJ70
RegS: USH42097CS44
|
12.1.22
|
USD 1,500
|
1,436
|
|
Perpetual
|
12.2.27
|
16
|
UBS Group AG
|
CH1160680174
|
16.2.22
|
CHF 265
|
283
|
|
Perpetual
|
16.2.27
|
17
|
UBS Group AG, Switzerland, or employing subsidiaries3
|
|
18.2.22
|
USD 471
|
471
|
|
Perpetual
|
01.3.27
|
Total high-trigger loss-absorbing additional tier 1 capital
|
|
|
|
14,223
|
|
|
|
1
|
UBS Group AG
|
CH0271428333
|
19.2.15
|
USD 1,250
|
1,236
|
|
Perpetual
|
19.2.25
|
Total low-trigger loss-absorbing additional tier 1 capital4
|
|
|
|
1,236
|
|
|
|
Total additional tier 1 capital
|
|
|
|
15,460
|
|
|
|
|
|
|
|
|
|
|
|
|
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
|
|
2,507
|
15.5.24
|
|
Total low-trigger loss-absorbing tier 2 capital
|
|
|
|
|
2,507
|
|
|
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
|
|
79
|
18.12.25
|
|
3
|
UBS AG, Stamford branch
|
US870845AC84
|
03.9.96
|
USD 218
|
|
210
|
01.9.26
|
|
Total non-Basel III-compliant tier 2 capital5
|
|
|
|
|
543
|
|
|
Total tier 2 capital
|
|
|
|
|
3,050
|
|
|
Capital instruments
and TLAC-eligible senior unsecured debt as of 31 March 20221
|
USD million, except where indicated
|
|
|
|
Swiss SRB
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 31.3.22
(million)
|
Amount recognized
in regulatory capital
as of 31.3.22
|
Amount eligible for
the gone concern requirement
as of 31.3.22
|
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
|
|
2,478
|
24.9.25
|
|
2
|
UBS Group AG
|
CH0302790123
|
16.11.15
|
EUR 1,250
|
|
|
16.11.22
|
|
3
|
UBS Group AG
|
CH0310451858
|
22.2.16
|
CHF 150
|
|
158
|
23.2.26
|
|
4
|
UBS Group AG
|
CH0314209351
|
04.3.16
|
EUR 750
|
|
828
|
04.3.24
|
|
5
|
UBS Group AG
|
144A: US90351DAF42
RegS: USG91703AK72
|
05.4.16
|
USD 2,000
|
|
1,940
|
15.4.26
|
|
6
|
UBS Group AG
|
CH0336602930
|
01.9.16
|
EUR 1,250
|
|
1,340
|
01.9.26
|
01.6.26
|
7
|
UBS Group AG
|
CH0341440334
|
30.11.16
|
EUR 1,250
|
|
1,379
|
30.11.24
|
30.11.23
|
8
|
UBS Group AG
|
144A: US90352JAA16
RegS: USH4209UAA46
|
23.3.17
|
USD 2,000
|
|
1,970
|
23.5.23
|
23.5.22
|
9
|
UBS Group AG
|
144A: US90352JAB98
RegS: USH4209UAB29
|
23.3.17
|
USD 1,000
|
|
984
|
23.5.23
|
23.5.22
|
10
|
UBS Group AG
|
144A: US90352JAC71
RegS: USH4209UAC02
|
23.3.17
|
USD 2,000
|
|
1,994
|
23.3.28
|
23.3.27
|
11
|
UBS Group AG
|
CH0365501516
|
18.5.17
|
CHF 400
|
|
418
|
18.5.24
|
18.5.23
|
12
|
UBS Group AG
|
144A: US90352JAD54
RegS: USH4209UAF33
|
15.8.17
|
USD 1,250
|
|
1,193
|
15.8.23
|
15.8.22
|
13
|
UBS Group AG
|
144A: US90352JAE38
RegS: USH4209UAG16
|
15.8.17
|
USD 2,000
|
|
1,988
|
15.8.23
|
15.8.22
|
14
|
UBS Group AG
|
CH0409606354
|
17.4.18
|
EUR 1,750
|
|
1,934
|
17.4.25
|
17.4.24
|
15
|
UBS Group AG
|
CH0445624999
|
09.11.18
|
JPY 20,000
|
|
165
|
09.11.28
|
09.11.27
|
16
|
UBS Group AG
|
CH0445624981
|
09.11.18
|
JPY 130,000
|
|
1,068
|
08.11.24
|
08.11.23
|
17
|
UBS Group AG
|
CH0459297435
|
30.1.19
|
CHF 400
|
|
432
|
30.1.25
|
30.1.24
|
18
|
UBS Group AG
|
144A: US902613AA61
RegS: USH42097AZ05
|
13.8.19
|
USD 1,500
|
|
1,412
|
13.8.30
|
13.8.29
|
19
|
UBS Group AG
|
CH0506668844
|
04.11.19
|
USD 153.16
|
|
136 7
|
04.11.49
|
04.11.22
|
20
|
UBS Group AG
|
CH0520042489
|
29.1.20
|
EUR 1,500
|
|
1,608
|
29.1.26
|
29.1.25
|
21
|
UBS Group AG
|
CH0521617321
|
04.3.20
|
USD 129.16
|
|
115 7
|
04.3.50
|
04.3.25
|
22
|
UBS Group AG
|
CH0535271214
|
14.4.20
|
USD 216.06
|
|
163 7
|
14.4.50
|
14.4.25
|
23
|
UBS Group AG
|
CH0547243250
|
22.5.20
|
USD 106.66
|
|
78 7
|
22.5.50
|
22.5.25
|
24
|
UBS Group AG
|
CH0543827189
|
27.5.20
|
USD 532.76
|
|
396 7
|
27.5.50
|
27.5.25
|
25
|
UBS Group AG
|
144A: US902613AB45
RegS: USH42097BS52
|
30.7.20
|
USD 1,300
|
|
1,258
|
30.7.24
|
30.7.23
|
Capital instruments
and TLAC-eligible senior unsecured debt as of 31 March 20221
|
USD million, except where indicated
|
|
|
|
Swiss SRB
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 31.3.22
(million)
|
Amount recognized
in regulatory capital
as of 31.3.22
|
Amount eligible for
the gone concern requirement
as of 31.3.22
|
Maturity date
|
First optional call date
|
26
|
UBS Group AG
|
144A: US902613AC28
RegS: USH42097BT36
|
30.7.20
|
USD 1,300
|
|
1,199
|
30.1.27
|
30.1.26
|
27
|
UBS Group AG
|
CH0558521271
|
18.8.20
|
AUD 37.56
|
|
21 7
|
18.8.35
|
18.8.30
|
28
|
UBS Group AG
|
CH0561923860
|
22.9.20
|
USD 57.46
|
|
44 7
|
22.9.50
|
22.9.23
|
29
|
UBS Group AG
|
CH0576402181
|
05.11.20
|
EUR 1,500
|
|
1,519
|
05.11.28
|
05.11.27
|
30
|
UBS Group AG
|
CH0579132942
|
24.11.20
|
USD 40
|
|
33 7
|
24.11.35
|
24.11.23
|
31
|
UBS Group AG
|
CH0581183594
|
03.12.20
|
AUD 45
|
|
27 7
|
03.12.35
|
03.12.23
|
32
|
UBS Group AG
|
CH0587372951
|
12.1.21
|
USD 103.36
|
|
84 7
|
12.1.51
|
12.1.26
|
33
|
UBS Group AG
|
CH0588488863
|
29.1.21
|
USD 340.86
|
|
285 7
|
29.1.51
|
29.1.26
|
34
|
UBS Group AG
|
144A: US902613AE83
RegS: USH42097CC91
|
11.2.21
|
USD 2,000
|
|
1,797
|
11.2.32
|
11.2.31
|
35
|
UBS Group AG
|
CH0595205524
|
24.2.21
|
EUR 1,000
|
|
1,020
|
24.2.28
|
|
36
|
UBS Group AG
|
CH0595205532
|
24.2.21
|
EUR 1,250
|
|
1,204
|
24.2.33
|
|
37
|
UBS Group AG
|
CH0598928718
|
24.2.21
|
CHF 360
|
|
364
|
24.8.29
|
24.8.28
|
38
|
UBS Group AG
|
US902613AF58
|
25.2.21
|
USD 25
|
|
22 7
|
25.2.36
|
25.2.24
|
39
|
UBS Group AG
|
CH0595205490
|
26.2.21
|
USD 175.66
|
|
153 7
|
26.2.51
|
26.2.26
|
40
|
UBS Group AG
|
CH0595205508
|
26.2.21
|
AUD 93.06
|
|
55 7
|
26.2.51
|
26.2.26
|
41
|
UBS Group AG
|
CH0598928734
|
04.3.21
|
USD 40
|
|
35 7
|
04.3.36
|
04.3.24
|
42
|
UBS Group AG
|
CH1112455774
|
26.5.21
|
USD 272.86
|
|
251 7
|
26.5.51
|
26.5.26
|
43
|
UBS Group AG
|
144A: US902613AH15
RegS: USH42097CM73
|
10.8.21
|
USD 2,000
|
|
1,852
|
10.8.27
|
10.8.26
|
44
|
UBS Group AG
|
CH1142231682
|
03.11.21
|
EUR 1,250
|
|
1,330
|
03.11.26
|
03.11.25
|
45
|
UBS Group AG
|
CH1142231690
|
03.11.21
|
EUR 1,250
|
|
1,245
|
03.11.31
|
|
46
|
UBS Group AG
|
CH1142231708
|
03.11.21
|
GBP 400
|
|
495
|
03.11.29
|
03.11.28
|
47
|
UBS Group AG
|
CH1145096165
|
09.11.21
|
CHF 440
|
|
476
|
09.11.28
|
09.11.27
|
48
|
UBS Group AG
|
144A: US902613AK44
RegS: USH42097CT27
|
11.1.22
|
USD 1,500
|
|
1,400
|
11.2.33
|
11.2.32
|
49
|
UBS Group AG
|
144A: US902613AL27
RegS: USH42097CU99
|
11.1.22
|
USD 1,500
|
|
1,376
|
11.2.43
|
11.2.42
|
50
|
UBS Group AG
|
CH1168499791
|
21.3.22
|
EUR 1,500
|
|
1,655
|
21.3.25
|
21.3.24
|
51
|
UBS Group AG
|
CH1175016083
|
25.3.22
|
AUD 35.06
|
|
24 7
|
25.3.32
|
25.3.25
|
52
|
UBS Group AG
|
CH1167887269
|
29.3.22
|
USD 80.06
|
|
69 7
|
29.3.47
|
29.3.27
|
Total TLAC-eligible senior unsecured debt
|
|
|
|
|
43,470
|
|
|
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
31 March 2022 and therefore includes the applicable accrual yield, with the
numbers being rounded to one decimal. 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 most recent Annual Report 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: April 26, 2022
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