Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 (6-k)
October 23 2020 - 7:55AM
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 23, 2020
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
2019 of UBS Group AG and UBS AG, filed with the SEC on 03 March 2020, as well
as UBS AG's first quarter 2020 report, submitted to the SEC on Form 6-K on 4
May 2020, UBS AG's second quarter 2020 report, submitted to the SEC on Form 6-K
on 24 July 2020, and UBS AG's third quarter 2020 report, submitted to the SEC
on Form 6-K on 23 October 2020.
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
|
|
30.9.20
|
|
30.6.20
|
Debt:
|
|
|
|
|
Short term debt issued 1
|
|
76,220
|
|
76,856
|
Long term debt issued 2
|
|
114,470
|
|
108,894
|
Total debt issued
|
|
190,690
|
|
185,750
|
of which: Funding from UBS
Group AG 3
|
|
53,114
|
|
50,921
|
Equity attributable to UBS AG shareholders 4
|
|
57,461
|
|
55,384
|
Equity attributable to non-controlling interests
|
|
293
|
|
173
|
Total capitalization3,
4
|
|
248,443
|
|
241,307
|
1 Short-term debt issued is comprised 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
comprised 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. 3
The presentation of the capitalization table has been amended to include
Funding from UBS Group AG within “Short term debt issued” and “Long term debt
issued.” Comparative information has been revised to reflect this new
presentation. 4 Comparative information has been restated. Refer to the
"Consolidated financial statements" section of the UBS AG third
quarter 2020 report for more information.
|
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 333-225551), 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: October 23, 2020
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