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Form 6-K UBS AG For: May 14

May 14, 2015 11:57 AM EDT

 

 

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: May 14, 2015

Commission File Number: 1-15060

 

 

UBS AG

(Registrant’s Name)

 

 

Bahnhofstrasse 45, Zurich, Switzerland, and

Aeschenvorstadt 1, Basel, Switzerland

(Address of principal executive office)

 

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.

Form 20-F  x                    Form 40-F  ¨

This Form 6-K is hereby incorporated by reference into the registration statement of UBS AG on Form F-3 (Registration Number 333-200212).

 

 

 


This Form 6-K consists of the legal opinion which appears below.

Homburger AG

Prime Tower

Hardstrasse 201 | CH–8005 Zurich

P.O. Box 314 | CH–8037 Zurich

T +41 43 222 10 00

F +41 43 222 15 00

[email protected]

UBS AG

Bahnhofstrasse 45

CH-8098 Zurich

Switzerland

May 14, 2015 HAD| DUE

313423 | 3556148_1.DOCX

UBS AG - Registration Statement for Debt Securities and Warrants

(Issue Dates: May 4, 2015 to May 8, 2015)

Ladies and Gentlemen:

We, Homburger AG, have acted as special Swiss counsel to UBS AG, a corporation organized under the laws of Switzerland (the Company), in connection with the issuance by the Company, acting through its London branch (the Issuing Branch), of the securities specified in Annex 1 (collectively, the Securities) pursuant to the Company’s registration statement on Form F-3 (File Nos. 333-46930, 333-64844, 333-156695 and 333-178960) and filed with the U.S. Securities and Exchange Commission on November 14, 2014 (the Registration Statement). As such special Swiss counsel, we have been requested to give our opinion as to certain matters of Swiss law relating to the Securities.

Capitalized terms used but not defined herein shall have the meanings assigned to such terms in the Registration Statement.

 

I. Basis of Opinion

This opinion is confined to and given on the basis of the laws of Switzerland in force at the date hereof. Such laws and the interpretation thereof are subject to change. In the absence of explicit statutory law, we base our opinion solely on our independent professional judgment. This opinion is also confined to the matters stated herein and the Documents (as defined below), and is not to be read as extending, by implication or otherwise, to any agreement or document referred to in any of the Documents or any other matter.

For purposes of this opinion we have not conducted any due diligence or similar investigation as to factual circumstances, which are or may be referred to in the Documents, and we express no opinion as to the accuracy of representations and warranties of facts set out in the Documents or the factual background assumed therein.

For the purpose of giving this opinion, we have only examined originals or copies of the following documents (collectively, the Documents):

 

  (i) an electronic copy of the Registration Statement;

 

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  (ii) an electronic copy of each of (i) the Debt Indenture dated as of November 21, 2000, between UBS AG and U.S. Bank Trust National Association, as Trustee, as amended and supplemented by the First Supplemental Indenture dated as of February 28, 2006, between UBS AG and U.S. Bank Trust National Association, as Trustee and (ii) the Warrant Indenture dated as of July 22, 2004, between UBS AG and U.S. Bank Trust National Association, as Trustee (the Indenture);

 

  (iii) an electronic copy of the Amended and Restated Distribution Agreement dated November 17, 2006, among UBS AG and UBS Securities LLC and UBS Financial Services Inc., as Agents (the Distribution Agreement);

 

  (iv) electronic copies of the articles of association (Statuten) of the Company, in the version dated as of February 10, 2015 (the Articles);

 

  (v) an electronic copy of the resolutions of the Group Treasurer of the Company, dated as of November 14, 2014 (the Resolutions);

 

  (vi) electronic copies of the organizational regulations (Organisationsreglement) of the Company, including Annex B “Responsibilities and Authorities” thereto, in the version dated as of October 1, 2014 (the October 2014 Organizational Regulations), and the version dated as of November 26, 2014 (the November 2014 Organizational Regulations);

 

  (vii) an electronic copy of the “Business Regulations Corporate Center” in the version effective as of March 26, 2014 (the Business Regulations and, together with the November 2014 Organizational Regulations, the Internal Regulations);

 

  (viii) electronic copies of the “Delegations of Authorities for Corporate Center” valid from March 26, 2014 (the Delegation);

 

  (ix) an electronic copy of the Group Policy on Signing Authority 1-P-000052, Category: Legal, Compliance, Governance and Ethics, valid from July 17, 2007 / version approved August 28, 2012 / version of September 17, 2012 (the Signing Authority Policy);

 

  (x) an electronic copy of (A) the email dated November 1, 2011, from Gordon Kiesling to Chul Chung, IB General Counsel, attaching the memo dated November 1, 2011 (the Memo), from Gordon Kiesling to Chul Chung, IB General Counsel, regarding the request for use of digital signatures in global securities, and (B) the email from Chul Chung, IB General Counsel, to Gordon Kiesling approving the Memo (collectively, the Digital Signature Approval);

 

  (xi) an electronic copy of an Officers’ Certificate, executed and delivered pursuant to section 301 of the Indenture, dated November 14, 2014, including Annex A and Annex B thereto, establishing the terms of UBS’ Medium-Term Notes, Series A (the Authorized Officers’ Certificate);

 

  (xii) an electronic copy of

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated May 4, 2015,

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated May 5, 2015,

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated May 6, 2015,

 

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  - an Authorized Officer’s Certificate in Support of Legal Opinions dated May 7, 2015, and

 

  - an Authorized Officer’s Certificate in Support of Legal Opinions dated May 8, 2015,

(collectively, the Opinion Backup Certificates);

 

  (xiii) an electronic copy of

 

  - (a) a Determination of an Authorized Person dated May 4, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due November 7, 2016 (Linked to the common stock of TripAdvisor, Inc.) CUSIP 90273C203, (b) a Determination of an Authorized Person dated May 4, 2015, including Annex A, setting forth the terms of the USD 570,000.00 Trigger Phoenix Autocallable Optimization Securities due May 6, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C161, (c) a Determination of an Authorized Person dated May 4, 2015, including Annex A, setting forth the terms of the USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due May 6, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C195, (d) a Determination of an Authorized Person dated May 4, 2015, including Annex A, setting forth the terms of the USD 174,995.10 Trigger Yield Optimization Notes due May 5, 2016 (Linked to the common stock of Chicago Bridge & Iron Company N.V.) CUSIP 90273C187 and (e) a Determination of an Authorized Person dated May 4, 2015, including Annex A, setting forth the terms of the USD 154,290.00 Trigger Yield Optimization Notes due May 4, 2016 (Linked to the common stock of LinkedIn Corporation) CUSIP 90273C179,

 

  - (a) a Determination of an Authorized Person dated May 5, 2015, including Annex A, setting forth the terms of the USD 350,000.00 Trigger Phoenix Autocallable Optimization Securities due November 7, 2016 (Linked to the common stock of FireEye, Inc.) CUSIP 90273C252, (b) a Determination of an Authorized Person dated May 5, 2015, including Annex A, setting forth the terms of the USD 225,000.00 Trigger Phoenix Autocallable Optimization Securities due November 7, 2016 (Linked to the common stock of Wynn Resorts, Limited) CUSIP 90273C237, (c) a Determination of an Authorized Person dated May 5, 2015, including Annex A, setting forth the terms of the USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due May 6, 2016 (Linked to the common stock of Wynn Resorts, Limited) CUSIP 90273C245, (d) a Determination of an Authorized Person dated May 5, 2015, including Annex A, setting forth the terms of the USD 124,985.95 Trigger Yield Optimization Notes due May 5, 2016 (Linked to the common stock of Chicago Bridge & Iron Company N.V.) CUSIP 90273C211 and (e) a Determination of an Authorized Person dated May 5, 2015, including Annex A, setting forth the terms of the USD 144,982.32 Trigger Yield Optimization Notes due May 5, 2016 (Linked to the common stock of Cornerstone OnDemand, Inc.) CUSIP 90273C229,

 

  - (a) a Determination of an Authorized Person dated May 6, 2015, including Annex A, setting forth the terms of the USD 207,000.00 Trigger Phoenix Autocallable Optimization Securities due November 8, 2016 (Linked to the common stock of Apple Inc.) CUSIP 90273C286, (b) a Determination of an Authorized Person dated May 6, 2015, including Annex A, setting forth the terms of the USD 222,000.00 Trigger Phoenix Autocallable Optimization Securities due May 9, 2016 (Linked to the common stock of LinkedIn Corporation) CUSIP 90273C260, (c) a Determination of an Authorized Person dated May 6, 2015, including Annex A, setting forth the terms of the USD 135,000.00 Trigger Phoenix Autocallable Optimization Securities due November 8, 2016 (Linked to the common stock of Tesla Motors, Inc.) CUSIP 90273C294, (d) a Determination of an Authorized Person dated May 6, 2015, including Annex A, setting forth the terms of the USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due May 9, 2016 (Linked to the common stock of Yelp Inc.) CUSIP 90273C278 and (e) a Written Statement and Instructions of Authorized Persons dated May 6, 2015, including Annex A, setting forth the terms of the USD 2,492,800 Contingent Income Auto-Callable Securities due May 4, 2018 (Linked to the American depositary receipts of Alibaba Group Holding Limited) CUSIP 90274T254,

 

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  - (a) a Written Statement and Instructions of Authorized Persons dated May 7, 2015, including Annex A, setting forth the terms of the USD 5,305,000 Capped Leveraged Buffered MSCI EAFE® Index-Linked Notes due October 5, 2016 CUSIP 90270KER6, (b) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 215,000.00 Trigger Autocallable Optimization Securities due November 14, 2016 (Linked to the shares of iShares® MSCI Brazil Index Fund) CUSIP 90273C336, (c) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 163,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2017 (Linked to the American depositary shares of CEMEX, S.A.B. de C.V.) CUSIP 90273C351, (d) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 138,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2017 (Linked to the common stock of Halliburton Company) CUSIP 90273C369, (e) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2017 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C344, (f) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 220,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2016 (Linked to the common stock of Weatherford International Ltd.) CUSIP 90273C328, (g) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 119,965.96 Trigger Yield Optimization Notes due May 9, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C302 and (h) a Determination of an Authorized Person dated May 7, 2015, including Annex A, setting forth the terms of the USD 99,614.12 Trigger Yield Optimization Notes due May 10, 2016 (Linked to the common stock of United Rentals, Inc.) CUSIP 90273C310, and

 

  - (a) a Determination of an Authorized Person dated May 8, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due May 12, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C393, (b) a Determination of an Authorized Person dated May 8, 2015, including Annex A, setting forth the terms of the USD 170,000.00 Return Optimization Securities due May 12, 2016 (Linked to the common stock of Rite Aid Corporation) CUSIP 90273C385, (c) a Determination of an Authorized Person dated May 8, 2015, including Annex A, setting forth the terms of the USD 351,000.00 Trigger Phoenix Autocallable Optimization Securities due November 15, 2016 (Linked to the common stock of Chicago Bridge & Iron Company N.V.) CUSIP 90273C401, (d) a Determination of an Authorized Person dated May 8, 2015, including Annex A, setting forth the terms of the USD 100,000.00 Trigger Phoenix Autocallable Optimization Securities due November 15, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C419 and (e) a Determination of an Authorized Person dated May 8, 2015, including Annex A, setting forth the terms of the USD 99,971.24 Trigger Yield Optimization Notes due November 10, 2016 (Linked to the common stock of Halliburton Company) CUSIP 90273C377,

 

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(each, a Determination and collectively, the Determinations and, together with the Opinion Backup Certificates and the Authorized Officer’s Certificates, the Officers’ Certificates);

 

  (xiv) electronic excerpts of the “Global directory of UBS authorized signatories”

 

  - as provided per e-mail from Faizah Fatema dated May 1, 2015 regarding signature authority of Hina Mehta, Sara Starkweather, Gordon S. Kiesling and Timothy Geller,

 

  - as provided per e-mails from Faizah Fatema dated May 5, 2015 regarding signature authority of Hina Mehta, Sara Starkweather, Gordon S. Kiesling and Timothy Geller, and

 

  - as provided per e-mails from Faizah Fatema dated May 7, 2015 regarding signature authority of Hina Mehta, Sara Starkweather, Gordon S. Kiesling and Timothy Geller; and

 

  (xv) an electronic excerpt from the Register of Commerce for the Company dated as of May 13, 2015 (the Excerpt).

No documents have been reviewed by us in connection with this opinion other than the Documents. Accordingly, we shall limit our opinion to the Documents and their legal implications under Swiss law.

In this opinion, Swiss legal concepts are expressed in English terms and not in their original language. These concepts may not be identical to the concepts described by the same English terms as they exist under the laws of other jurisdictions. With respect to Documents governed by laws other than the laws of Switzerland, for purposes of this opinion we have relied on the plain meaning of the words and expressions contained therein without regard to any import they may have under the relevant governing law.

 

II. Assumptions

For the purpose of this opinion, we have assumed the following:

 

  (a) all documents produced to us as originals are authentic and complete, and all documents produced to us as copies (including, without limitation, fax and electronic copies) conform to the original;

 

  (b) all documents produced to us as originals and the originals of all documents produced to us as copies were duly executed and certified, as applicable, in the manner and by the individuals purported to have executed or certified, as the case may be, such documents;

 

  (c) except as expressly opined upon herein, all information contained in the Documents is, and all material statements made to us in connection with the Documents are, true and accurate;

 

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  (d) the Securities will be issued under the Indenture, and the issuance, offering and sale of the Securities will be conducted in the manner described in the Registration Statement, the Indenture and the Distribution Agreement;

 

  (e) the Securities will neither directly nor indirectly be offered or distributed in and from Switzerland or to Swiss investors having a domicile in Switzerland nor be listed on a Swiss exchange;

 

  (f) (i) the Securities will be executed substantially in the form as set out in the relevant Determination and will be consistent with the form of securities set out in the Authorized Officer’s Certificate and the relevant Indenture, (ii) the Securities and any documents in connection with such Securities will be duly executed in accordance with the relevant Indenture, the Resolutions (including, without limitation, the list of Authorized Officers set out in Schedule I of the Resolutions), the Officers’ Certificates, and the rank requirement and restriction of signing authority to respective Business Area and Jurisdiction set out in the Signing Authority Policy, and (iii) the terms and conditions set out in the Securities correspond and conform to the relevant Determination, Indenture and Authorized Officer’s Certificate;

 

  (g) the inclusion of any alternative or additional terms in any Securities that are not currently specified in the Authorized Officer’s Certificate will not (i) require the Company, acting through the Issuing Branch, to obtain any regulatory consent, authorization or approval or make any regulatory filing in order for the Issuing Branch to issue, sell and deliver such Securities, (ii) require any further corporate approval or consent, or (iii) violate mandatory provisions of Swiss law;

 

  (h) the Excerpt is correct, complete and up-to-date, and the Articles are in full force and effect and have not been amended;

 

  (i) as of the date of the Determinations, the Internal Regulations, the Delegation, the Signing Authority Policy and the Digital Signature Approval were in full force and effect and had not been amended;

 

  (j) as of the date of the Resolutions, the October 2014 Organizational Regulations were in full force and effect and had not been amended;

 

  (k) the Resolutions (including, without limitation, the list of Authorized Officers set out in Schedule I of the Resolutions) (i) have been duly resolved in meetings duly convened and otherwise in the manner set forth therein, and (ii) have not been rescinded or amended and are in full force and effect;

 

  (l) the Officers’ Certificates have not been rescinded or amended and are in full force and effect;

 

  (m) references to the “Resolutions” in the Opinion Backup Certificates are deemed to be references to the Resolutions and references to the “Officer’s Certificate” in the Determinations and the Opinion Backup Certificates are deemed to be references to the Authorized Officer’s Certificate;

 

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  (n) in the case of any Securities and documents in connection with such Securities that have been executed using signatures that were reproduced by machine, (i) each person whose signature was reproduced by machine consented to such reproduction and (ii) such Securities qualify as the structured notes produced for the Equity Investor System for the US structured products business, as described in the Memo;

 

  (o) all required corporate approvals have been obtained if the aggregate initial offering price of all the securities having been issued and sold from time to time pursuant to the Resolutions (including the Securities) exceeds USD 15,000,000,000 (or its equivalent in another currency, currencies or composite currency);

 

  (p) the Registration Statement, the Indenture and the Distribution Agreement have been duly authorized and are in full force and effect and none of the Registration Statement, the Indenture and the Distribution Agreement has been terminated, rescinded, amended or supplemented in any way; and

 

  (q) the choice of the law of the State of New York as the governing law of, and the submission by the parties thereto to the non-exclusive jurisdiction of the federal and state courts in the Borough of Manhattan, The City of New York provided for in, the Indenture is valid and legally binding under the law of the State of New York.

 

III. Opinion

Based on the foregoing and subject to the qualifications set out below, we are of the opinion that:

 

  1. All necessary corporate action by the Company related to the issuance and sale of the Securities was duly authorized in conformity with the Articles, the Internal Regulations and the Delegation as a matter of Swiss law.

 

  2. The choice of the law of the State of New York as the governing law of the Indenture is a valid choice of law among the parties thereto under the laws of Switzerland, and in any action brought before a court of competent jurisdiction in Switzerland, the law of the State of New York would be recognized and applied by such court to all issues for which the proper or governing law of a contract is applicable under the conflict of laws rules of Switzerland; provided, however, that (i) such choice of law may not extend to non-contractual obligations, (ii) the content of the relevant law of the State of New York may need to be proven by the relevant party, and (iii) a Swiss court would apply Swiss procedural rules.

 

  3. The submission by the Company to the non-exclusive jurisdiction of the federal and state courts in the Borough of Manhattan, The City of New York contained in the Indenture is valid and legally binding on it under the laws of Switzerland.

 

IV. Qualifications

The above opinions are subject to the following qualifications:

 

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  (a) The lawyers of our firm are members of the Zurich bar and do not hold themselves to be experts in any laws other than the laws of Switzerland. Accordingly, we are opining herein as to Swiss law only and we express no opinion with respect to the applicability thereto, or the effect thereon, of the laws of any other jurisdiction.

 

  (b) According to article 10 of the Swiss Private International Law Act of December 18, 1987, as amended (the Private International Law Act), and article 31 of the Convention on Jurisdiction and the Recognition and Enforcement of Judgments in Civil and Commercial Matters of October 30, 2007 (the Lugano Convention), Swiss courts may order preliminary measures (such as injunctions) even where they do not have jurisdiction over the substance of the matter.

 

  (c) Contractual submissions to a particular jurisdiction are subject to mandatory provisions on (i) the protection of consumers, insured persons and employees pursuant to the Lugano Convention, the Private International Law Act and such other international treaties by which Switzerland is bound, and (ii) enforcement proceedings that do not qualify as civil actions.

 

  (d) We do not express any opinion as to the validity or enforceability of the Securities, the Indenture or any other agreement or as to the accuracy or completeness of the information set out in the Registration Statement including, without limitation, the representations and warranties contained therein.

 

  (e) Further, we express no opinion as to banking or insurance regulatory matters or as to any commercial, accounting, calculating, auditing or other non-legal matter. Also, we express no opinion as to tax matters.

*        *        *

We have issued this opinion as of the date hereof and we assume no obligation to advise you of any changes in fact or in law that are made or brought to our attention hereafter.

We hereby consent to the filing of this opinion as an exhibit to the Registration Statement. In giving such consent, we do not thereby admit that we are in the category of persons whose consent is required under Section 7 of the Securities Act of 1933, as amended.

This opinion may be relied upon by the Company in connection with the issuance of the Securities. Without our prior written consent, this opinion may not be (i) used or relied upon by any other person, (ii) used or relied upon by you except in relation to the issuance of the Securities, or (iii) transmitted or disclosed to any other person except as provided in the immediately preceding paragraph.

This opinion is governed by and shall be construed in accordance with the laws of Switzerland. We confirm our understanding that all disputes arising out of or in connection with this opinion shall be subject to the exclusive jurisdiction of the courts of the Canton of Zurich, Switzerland, venue being Zurich 1.

Sincerely yours,

Homburger AG

 

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Annex 1 to the Legal Opinion dated May 14, 2015

 

a) Securities with issue date May 4, 2015

 

  1. USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due November 7, 2016 (Linked to the common stock of TripAdvisor, Inc.) CUSIP 90273C203, issued through UBS AG, London Branch

 

  2. USD 570,000.00 Trigger Phoenix Autocallable Optimization Securities due May 6, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C161, issued through UBS AG, London Branch

 

  3. USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due May 6, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C195, issued through UBS AG, London Branch

 

  4. USD 174,995.10 Trigger Yield Optimization Notes due May 5, 2016 (Linked to the common stock of Chicago Bridge & Iron Company N.V.) CUSIP 90273C187, issued through UBS AG, London Branch

 

  5. USD 154,290.00 Trigger Yield Optimization Notes due May 4, 2016 (Linked to the common stock of LinkedIn Corporation) CUSIP 90273C179, issued through UBS AG, London Branch

 

b) Securities with issue date May 5, 2015

 

  6. USD 350,000.00 Trigger Phoenix Autocallable Optimization Securities due November 7, 2016 (Linked to the common stock of FireEye, Inc.) CUSIP 90273C252, issued through UBS AG, London Branch

 

  7. USD 225,000.00 Trigger Phoenix Autocallable Optimization Securities due November 7, 2016 (Linked to the common stock of Wynn Resorts, Limited) CUSIP 90273C237, issued through UBS AG, London Branch

 

  8. USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due May 6, 2016 (Linked to the common stock of Wynn Resorts, Limited) CUSIP 90273C245, issued through UBS AG, London Branch

 

  9. USD 124,985.95 Trigger Yield Optimization Notes due May 5, 2016 (Linked to the common stock of Chicago Bridge & Iron Company N.V.) CUSIP 90273C211, issued through UBS AG, London Branch

 

  10. USD 144,982.32 Trigger Yield Optimization Notes due May 5, 2016 (Linked to the common stock of Cornerstone OnDemand, Inc.) CUSIP 90273C229, issued through UBS AG, London Branch

 

c) Securities with issue date May 6, 2015

 

  11. USD 207,000.00 Trigger Phoenix Autocallable Optimization Securities due November 8, 2016 (Linked to the common stock of Apple Inc.) CUSIP 90273C286, issued through UBS AG, London Branch

 

  12. USD 222,000.00 Trigger Phoenix Autocallable Optimization Securities due May 9, 2016 (Linked to the common stock of LinkedIn Corporation) CUSIP 90273C260, issued through UBS AG, London Branch

 

  13. USD 135,000.00 Trigger Phoenix Autocallable Optimization Securities due November 8, 2016 (Linked to the common stock of Tesla Motors, Inc.) CUSIP 90273C294, issued through UBS AG, London Branch

 

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  14. USD 150,000.00 Trigger Phoenix Autocallable Optimization Securities due May 9, 2016 (Linked to the common stock of Yelp Inc.) CUSIP 90273C278, issued through UBS AG, London Branch

 

  15. USD 2,492,800 Contingent Income Auto-Callable Securities due May 4, 2018 (Linked to the American depositary receipts of Alibaba Group Holding Limited) CUSIP 90274T254, issued through UBS AG, London Branch

 

d) Securities with issue date May 7, 2015

 

  16. USD 5,305,000 Capped Leveraged Buffered MSCI EAFE® Index-Linked Notes due October 5, 2016 CUSIP 90270KER6, issued through UBS AG, London Branch

 

  17. USD 215,000.00 Trigger Autocallable Optimization Securities due November 14, 2016 (Linked to the shares of iShares® MSCI Brazil Index Fund) CUSIP 90273C336, issued through UBS AG, London Branch

 

  18. USD 163,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2017 (Linked to the American depositary shares of CEMEX, S.A.B. de C.V.) CUSIP 90273C351, issued through UBS AG, London Branch

 

  19. USD 138,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2017 (Linked to the common stock of Halliburton Company) CUSIP 90273C369, issued through UBS AG, London Branch

 

  20. USD 100,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2017 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C344, issued through UBS AG, London Branch

 

  21. USD 220,000.00 Trigger Phoenix Autocallable Optimization Securities due May 11, 2016 (Linked to the common stock of Weatherford International Ltd.) CUSIP 90273C328, issued through UBS AG, London Branch

 

  22. USD 119,965.96 Trigger Yield Optimization Notes due May 9, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C302, issued through UBS AG, London Branch

 

  23. USD 99,614.12 Trigger Yield Optimization Notes due May 10, 2016 (Linked to the common stock of United Rentals, Inc.) CUSIP 90273C310, issued through UBS AG, London Branch

 

e) Securities with issue date May 8, 2015

 

  24. USD 100,000.00 Contingent Absolute Return Autocallable Optimization Securities due May 12, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C393, issued through UBS AG, London Branch

 

  25. USD 170,000.00 Return Optimization Securities due May 12, 2016 (Linked to the common stock of Rite Aid Corporation) CUSIP 90273C385, issued through UBS AG, London Branch

 

  26. USD 351,000.00 Trigger Phoenix Autocallable Optimization Securities due November 15, 2016 (Linked to the common stock of Chicago Bridge & Iron Company N.V.) CUSIP 90273C401, issued through UBS AG, London Branch

 

  27. USD 100,000.00 Trigger Phoenix Autocallable Optimization Securities due November 15, 2016 (Linked to the common stock of Twitter, Inc.) CUSIP 90273C419, issued through UBS AG, London Branch

 

  28. USD 99,971.24 Trigger Yield Optimization Notes due November 10, 2016 (Linked to the common stock of Halliburton Company) CUSIP 90273C377, issued through UBS AG, London Branch

 

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

UBS AG
By:

  /s/ Kiye Sakai

Name: Kiye Sakai
Title:   Managing Director
By:

  /s/ Sarah Starkweather            

Name: Sarah Starkweather
Title:   Executive Director

Date: 14th May 2015

 

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