| 20-F | 2019-12-31 |
Filed 2020-03-03
|
| 20-F | 2018-12-31 |
Filed 2019-03-15
|
| 20-F | 2017-12-31 |
Filed 2018-03-09
|
| 20-F | 2016-12-31 |
Filed 2017-03-10
|
| 20-F | 2015-12-31 |
Filed 2016-03-18
|
| 20-F | 2014-12-31 |
Filed 2015-03-13
|
| Item 17 O Item 18 O |
| Item 4. Information on The Company |
| Item 4.B.2. Geographic Breakdown of Revenues |
| Item 10. Additional Information. |
| Item 19. Exhibits. |
| Note 1 Summary of Significant Accounting Policies |
| Note 2A Segment Reporting |
| Note 2B Segment Reporting By Geographic Location |
| Note 3 Net Interest Income and Other Net Income From Fair Value Changes on Financial Instruments |
| Note 4 Net Fee and Commission Income1 |
| Note 5 Other Income |
| Note 6 Personnel Expenses |
| Note 7 General and Administrative Expenses |
| Note 8 Income Taxes |
| Note 9 Earnings per Share (Eps) and Shares Outstanding |
| Note 10 Financial Assets At Amortized Cost and Other Positions in Scope of Expected Credit Loss Measurement |
| Note 11 Derivative Instruments |
| Note 12 Financial Assets and Liabilities At Fair Value Held for Trading |
| Note 13 Financial Assets At Fair Value Not Held for Trading |
| Note 14 Financial Assets Measured At Fair Value Through Other Comprehensive Income |
| Note 15 Property, Equipment and Software |
| Note 16 Goodwill and Intangible Assets |
| Note 17 Other Assets |
| Note 19 Debt Issued Designated At Fair Value |
| Note 20 Debt Issued Measured At Amortized Cost |
| Note 21 Provisions and Contingent Liabilities |
| Note 22 Other Liabilities |
| Note 23 Expected Credit Loss Measurement |
| Note 24 Fair Value Measurement |
| Note 25 Offsetting Financial Assets and Financial Liabilities |
| Note 26 Restricted and Transferred Financial Assets |
| Note 27 Maturity Analysis of Financial Liabilities |
| Note 28 Hedge Accounting |
| Note 29 Pension and Other Post-Employment Benefit Plans |
| Note 30 Employee Benefits: Variable Compensation |
| Note 31 Interests in Subsidiaries and Other Entities |
| Note 32 Changes in Organization and Acquisitions and Disposals of Subsidiaries and Businesses |
| Note 33 Operating Leases and Finance Leases |
| Note 34 Guarantees, Commitments and Forward Starting Transactions |
| Note 35 Related Parties |
| Note 36 Invested Assets and Net New Money |
| Note 37 Currency Translation Rates |
| Note 38 Events After The Reporting Period |
| Note 39 Main Differences Between Ifrs and Swiss Gaap |
| Note 1 Summary of Significant Accounting Policies |
| Note 2A Segment Reporting |
| Note 2B Segment Reporting By Geographic Location |
| Note 3 Net Interest Income and Other Net Income From Fair Value Changes on Financial Instruments |
| Note 4 Net Fee and Commission Income1 |
| Note 5 Other Income |
| Note 6 Personnel Expenses |
| Note 7 General and Administrative Expenses |
| Note 8 Income Taxes |
| Note 9 Earnings per Share (Eps) and Shares Outstanding |
| Note 10 Financial Assets At Amortized Cost and Other Positions in Scope of Expected Credit Loss Measurement |
| Note 11 Derivative Instruments |
| Note 12 Financial Assets and Liabilities At Fair Value Held for Trading |
| Note 13 Financial Assets At Fair Value Not Held for Trading |
| Note 14 Financial Assets Measured At Fair Value Through Other Comprehensive Income |
| Note 15 Property, Equipment and Software |
| Note 16 Goodwill and Intangible Assets |
| Note 17 Other Assets |
| Note 18 Amounts Due To Banks, Customer Deposits, and Funding From Ubs Group Ag and Its Subsidiaries |
| Note 19 Debt Issued Designated At Fair Value |
| Note 20 Debt Issued Measured At Amortized Cost |
| Note 21 Provisions and Contingent Liabilities |
| Note 22 Other Liabilities |
| Note 23 Expected Credit Loss Measurement |
| Note 24 Fair Value Measurement |
| Note 25 Offsetting Financial Assets and Financial Liabilities |
| Note 26 Restricted and Transferred Financial Assets |
| Note 27 Maturity Analysis of Financial Liabilities |
| Note 28 Hedge Accounting |
| Note 29 Pension and Other Post-Employment Benefit Plans |
| Note 30 Employee Benefits: Variable Compensation |
| Note 31 Interests in Subsidiaries and Other Entities |
| Note 32 Changes in Organization and Acquisitions and Disposals of Subsidiaries and Businesses |
| Note 33 Operating Leases and Finance Leases |
| Note 34 Guarantees, Commitments and Forward Starting Transactions |
| Note 35 Related Parties |
| Note 36 Invested Assets and Net New Money |
| Note 37 Currency Translation Rates |
| Note 38 Events After The Reporting Period |
| Note 39 Main Differences Between Ifrs and Swiss Gaap |
| Note 40 Supplemental Guarantor Information Required Under Sec Regulations |
| EX-1 | exhibit0101.htm |
| EX-1 | exhibit0102.htm |
| EX-4 | exhibit0417.htm |
| EX-4 | exhibit0418.htm |
| EX-4 | exhibit0419.htm |
| EX-12 | exhibit1200.htm |
| EX-13 | exhibit1300.htm |
| EX-15 | exhibit1510.htm |
| EX-15 | exhibit1520.htm |
| Balance Sheet | Income Statement | Cash Flow |
|---|---|---|
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 20-F
(Mark One)
|
|
|
|
| ☐ |
| REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 |
OR
|
|
|
|
| ☑ |
| ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2018
OR
|
|
|
|
| ☐ |
| TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to .
OR
|
|
|
|
| ☐ |
| SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
UBS Group AG
Commission file number: 1-36764
UBS AG
Commission file number: 1-15060
(Exact Name of Registrants as Specified in Their Respective Charters)
Switzerland
(Jurisdiction of Incorporation or Organization)
UBS Group AG
Bahnhofstrasse 45, CH-8001 Zurich, Switzerland
(Address of Principal Executive Office)
UBS AG
Bahnhofstrasse 45, CH-8001 Zurich, Switzerland and
Aeschenvorstadt 1, CH-4051 Basel, Switzerland
(Address of Principal Executive Offices)
David Kelly
600 Washington Boulevard
Stamford, CT 06901
Telephone: (203) 719-3000
(Name, Telephone, E-mail and/or Facsimile number and Address of Company Contact Person)
Securities registered or to be registered pursuant to Section 12(b) of the Act:
Please see page 4-5.
Securities registered or to be registered pursuant to Section 12(g) of the Act:
Please see page 5.
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act:
Please see page 5.
1
Indicate the number of outstanding shares of each of each issuer’s classes of capital or common stock as of 31 December 2018:
UBS Group AG
Ordinary shares, par value CHF 0.10 per share:
3,855,634,749 ordinary shares
(including 166,204,274 treasury shares)
UBS AG
Ordinary shares, par value CHF 0.10 per share: 3,858,408,466 ordinary shares
(none of which are treasury shares)
|
|
|
|
Indicate by check mark if the registrants are well-known seasoned issuers, as defined in Rule 405 of the Securities Act.
|
UBS Group AG | ||
| Yes o |
| No ☑ |
|
| ||
|
|
|
|
| UBS AG | ||
| Yes ☐ |
| No ☑ |
2
If this report is an annual or transition report, indicate by check mark if the registrants are not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.
|
|
|
|
| Yes o |
| No ☑ |
Note — Checking the box above will not relieve any registrant required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 from their obligations under those Sections.
Indicate by check mark whether the Registrants (1) have filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrants were required to file such reports) and (2) have been subject to such filing requirements for the past 90 days.
|
|
|
|
| Yes ☑ |
| No o |
Indicate by check mark whether the registrants have submitted electronically and posted on their corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrants were required to submit and post such files).
| Yes ☑ |
| No o |
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer or an emerging growth company. See definition of “accelerated filer and large accelerated filer” and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check One):
|
|
| UBS Group AG |
|
|