Report of Foreign Issuer (6-k)
21 Januar 2020 - 1:30PM
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: January 21, 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.
This Form 6-K consists of the 4Q19 UBS
Group AG (consolidated) capital instruments and TLAC-eligible senior unsecured
debt information, published today by the registrants, which appears immediately
following this page.
UBS Group AG consolidated capital instruments and TLAC-eligible
senior unsecured debt
Fourth quarter 2019
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 SRB framework as of 31 December 2019.
Information on the Swiss SRB capital
framework and on Swiss SRB going and gone concern requirements that have been
phased in until the end of 2019 is provided in the “Capital management” section
of our Annual Report 2018, available under “Annual reporting” at www.ubs.com/investors.
|
Capital instruments and TLAC-eligible senior unsecured debt as
of 31 December 20191
|
|
millions, except where
indicated
|
|
|
|
Swiss SRB, incl. transitional arrangements
|
Swiss SRB as of 1.1.20
|
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
Going concern
|
Gone concern2
|
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 31.12.19
|
Amount recognized
in regulatory capital
as of 31.12.19
|
Amount eligible for
the gone concern requirement
as of 31.12.19
|
Amount recognized
in regulatory capital
as of 31.12.19
|
Amount eligible for
the gone concern requirement
as of 31.12.19
|
Maturity date
|
First optional call date
|
|
Additional tier 1 capital
|
|
|
|
|
|
|
|
|
|
|
1
|
UBS Group AG3
|
CH0271428317
|
19.02.15
|
USD 1,250
|
1,249
|
|
1,249
|
|
Perpetual
|
19.02.20
|
|
2
|
UBS Group AG, Switzerland, or employing subsidiaries4
|
|
31.12.14
|
USD 412
|
412
|
|
412
|
|
Perpetual
|
01.03.20
|
|
3
|
UBS Group AG, Switzerland, or employing subsidiaries4
|
|
31.12.15
|
USD 449
|
449
|
|
449
|
|
Perpetual
|
01.03.21
|
|
4
|
UBS Group AG3
|
CH0317921697
|
21.03.16
|
USD 1,500
|
1,488
|
|
1,488
|
|
Perpetual
|
22.03.21
|
|
5
|
UBS Group AG3
|
CH0331455318
|
10.08.16
|
USD 1,100
|
1,088
|
|
1,088
|
|
Perpetual
|
10.08.21
|
|
6
|
UBS Group AG, Switzerland, or employing subsidiaries4
|
|
31.12.16
|
USD 357
|
357
|
|
357
|
|
Perpetual
|
01.03.22
|
|
7
|
UBS Group AG3
|
CH0400441280
|
31.01.18
|
USD 2,000
|
2,041
|
|
2,041
|
|
Perpetual
|
31.01.23
|
|
8
|
UBS Group AG, Switzerland, or employing subsidiaries4
|
|
31.12.17
|
USD 355
|
355
|
|
355
|
|
Perpetual
|
01.03.23
|
|
9
|
UBS Group AG3
|
CH0447353704
|
28.11.18
|
SGD 700
|
535
|
|
535
|
|
Perpetual
|
28.11.23
|
|
10
|
UBS Group AG3
|
144A: US90352JAF03
RegS: USH4209UAT37
|
31.01.19
|
USD 2,500
|
2,587
|
|
2,587
|
|
Perpetual
|
31.01.24
|
|
11
|
UBS Group AG, Switzerland, or employing subsidiaries4
|
|
31.12.18
|
USD 389
|
389
|
|
389
|
|
Perpetual
|
01.03.24
|
|
12
|
UBS Group AG
|
CH0488506673
|
27.08.19
|
AUD 700
|
482
|
|
482
|
|
Perpetual
|
27.08.24
|
|
13
|
UBS Group AG
|
CH0495570928
|
04.09.19
|
SGD 750
|
556
|
|
556
|
|
Perpetual
|
04.09.24
|
|
14
|
UBS Group AG3
|
CH0286864027
|
07.08.15
|
USD 1,575
|
1,622
|
|
1,622
|
|
Perpetual
|
07.08.25
|
|
15
|
UBS Group AG
|
CH0506668869
|
13.11.19
|
CHF 275
|
282
|
|
282
|
|
Perpetual
|
13.11.25
|
|
Total high-trigger
loss-absorbing additional tier 1 capital
|
|
|
|
13,892
|
|
13,892
|
|
|
|
|
1
|
UBS Group AG3
|
CH0271428309
|
19.02.15
|
EUR 1,000
|
1,140
|
|
1,140
|
|
Perpetual
|
19.02.22
|
|
2
|
UBS Group AG3
|
CH0271428333
|
19.02.15
|
USD 1,250
|
1,273
|
|
1,273
|
|
Perpetual
|
19.02.25
|
|
Total low-trigger
loss-absorbing additional tier 1 capital5
|
|
|
|
2,414
|
|
2,414
|
|
|
|
|
Total additional tier 1
capital
|
|
|
|
16,306
|
|
16,306
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Tier 2 capital
|
|
|
|
|
|
|
|
|
|
|
1
|
UBS AG, Stamford branch
|
US90261AAB89
|
17.08.12
|
USD 2,000
|
803
|
1,204
|
|
2,007
|
17.08.22
|
|
|
2
|
UBS AG
|
CH0244100266
|
15.05.14
|
USD 2,500
|
2,077
|
519
|
|
2,597
|
15.05.24
|
|
|
3
|
UBS AG
|
CH0236733827
|
13.02.14
|
EUR 2,000
|
2,288
|
|
|
2,288
|
12.02.26
|
12.02.21
|
|
Total low-trigger
loss-absorbing tier 2 capital6
|
|
|
|
5,168
|
1,724
|
|
6,892
|
|
|
|
1
|
UBS AG, New York branch
|
US870836AC77
|
21.07.95
|
USD 251
|
|
252
|
|
252
|
15.07.25
|
|
|
2
|
UBS AG, Jersey branch
|
XS0062270581
|
18.12.95
|
GBP 61
|
|
81
|
|
81
|
18.12.25
|
|
|
3
|
UBS AG, New York branch
|
US870845AC84
|
03.09.96
|
USD 218
|
|
206
|
|
206
|
01.09.26
|
|
|
Total non-Basel
III-compliant tier 2 capital7
|
|
|
|
|
540
|
|
540
|
|
|
|
Total tier 2 capital
|
|
|
|
5,168
|
2,263
|
|
7,431
|
|
|
|
Capital instruments and TLAC-eligible senior unsecured debt as
of 31 December 20191
|
|
millions, except where
indicated
|
|
|
|
Swiss SRB, incl. transitional arrangements
|
Swiss SRB as of 1.1.20
|
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
Going concern
|
Gone concern2
|
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 31.12.19
|
Amount recognized
in regulatory capital
as of 31.12.19
|
Amount eligible for
the gone concern requirement
as of 31.12.19
|
Amount recognized
in regulatory capital
as of 31.12.19
|
Amount eligible for
the gone concern requirement
as of 31.12.19
|
Maturity date
|
First optional call date
|
|
TLAC-eligible senior
unsecured debt
|
|
|
|
|
|
|
|
|
|
|
1
|
UBS Group AG3
|
144A: US90351DAA54
RegS: USG91703AA90
|
24.09.15
|
USD 1,500
|
|
|
|
|
24.09.20
|
|
|
2
|
UBS Group AG3
|
144A: US90351DAC11
RegS: USG91703AC56
|
24.09.15
|
USD 300
|
|
|
|
|
24.09.20
|
|
|
3
|
UBS Group AG3
|
144A: US90351DAE76
RegS: USG91703AJ00
|
05.04.16
|
USD 1,000
|
|
500
|
|
500
|
14.04.21
|
|
|
4
|
UBS Group AG3
|
144A: US90351DAD93
RegS: USG91703AH44
|
05.04.16
|
USD 2,000
|
|
972
|
|
972
|
15.04.21
|
|
|
5
|
UBS Group AG3
|
144A: US90351DAG25
RegS: USG91703AL55
|
10.08.16
|
USD 500
|
|
500
|
|
500
|
01.02.22
|
|
|
6
|
UBS Group AG3
|
144A: US90351DAH08
RegS: USG91703AM39
|
10.08.16
|
USD 2,000
|
|
1,976
|
|
1,976
|
01.02.22
|
|
|
7
|
UBS Group AG3
|
CH0310451841
|
22.02.16
|
CHF 300
|
|
312
|
|
312
|
22.02.22
|
|
|
8
|
UBS Group AG3
|
CH0359915425
|
20.03.17
|
EUR 1,750
|
|
1,962
|
|
1,962
|
20.09.22
|
20.09.21
|
|
9
|
UBS Group AG3
|
CH0302790123
|
16.11.15
|
EUR 1,250
|
|
1,432
|
|
1,432
|
16.11.22
|
|
|
10
|
UBS Group AG3
|
144A: US90352JAA16
RegS: USH4209UAA46
|
23.03.17
|
USD 2,000
|
|
1,999
|
|
1,999
|
23.05.23
|
23.05.22
|
|
11
|
UBS Group AG3
|
144A: US90352JAB98
RegS: USH4209UAB29
|
23.03.17
|
USD 1,000
|
|
1,001
|
|
1,001
|
23.05.23
|
23.05.22
|
|
12
|
UBS Group AG3
|
144A: US90352JAE38
RegS: USH4209UAG16
|
15.08.17
|
USD 2,000
|
|
2,009
|
|
2,009
|
15.08.23
|
15.08.22
|
|
13
|
UBS Group AG3
|
144A: US90352JAD54
RegS: USH4209UAF33
|
15.08.17
|
USD 1,250
|
|
1,248
|
|
1,248
|
15.08.23
|
15.08.22
|
|
14
|
UBS Group AG3
|
CH0314209351
|
04.03.16
|
EUR 750
|
|
843
|
|
843
|
04.03.24
|
|
|
15
|
UBS Group AG3
|
CH0365501516
|
18.05.17
|
CHF 400
|
|
420
|
|
420
|
18.05.24
|
18.05.23
|
|
16
|
UBS Group AG3
|
CH0445624981
|
09.11.18
|
JPY 130,000
|
|
1,199
|
|
1,199
|
08.11.24
|
08.11.23
|
|
17
|
UBS Group AG3
|
CH0341440334
|
30.11.16
|
EUR 1,250
|
|
1,427
|
|
1,427
|
30.11.24
|
30.11.23
|
|
18
|
UBS Group AG3
|
CH0459297435
|
30.01.19
|
CHF 400
|
|
410
|
|
410
|
30.01.25
|
30.01.24
|
|
19
|
UBS Group AG3
|
CH0409606354
|
17.04.18
|
EUR 1,750
|
|
2,017
|
|
2,017
|
17.04.25
|
17.04.24
|
|
20
|
UBS Group AG3
|
144A: US90351DAB38
RegS: USG91703AB73
|
24.09.15
|
USD 2,500
|
|
2,563
|
|
2,563
|
24.09.25
|
|
|
21
|
UBS Group AG3
|
CH0310451858
|
22.02.16
|
CHF 150
|
|
155
|
|
155
|
23.02.26
|
|
|
22
|
UBS Group AG3
|
144A: US90351DAF42
RegS: USG91703AK72
|
05.04.16
|
USD 2,000
|
|
1,990
|
|
1,990
|
15.04.26
|
|
|
23
|
UBS Group AG3
|
CH0336602930
|
01.09.16
|
EUR 1,250
|
|
1,420
|
|
1,420
|
01.09.26
|
01.06.26
|
|
24
|
UBS Group AG3
|
144A: US90352JAC71
RegS: USH4209UAC02
|
23.03.17
|
USD 2,000
|
|
2,091
|
|
2,091
|
23.03.28
|
23.03.27
|
|
Capital instruments and TLAC-eligible senior unsecured debt as
of 31 December 20191
|
|
millions, except where
indicated
|
|
|
|
Swiss SRB, incl. transitional arrangements
|
Swiss SRB as of 1.1.20
|
|
|
|
|
|
|
|
|
Going concern
|
Gone concern2
|
Going concern
|
Gone concern2
|
|
|
|
No.
|
Issuer
|
ISIN
|
Issue date
|
Outstanding amount as of 31.12.19
|
Amount recognized
in regulatory capital
as of 31.12.19
|
Amount eligible for
the gone concern requirement
as of 31.12.19
|
Amount recognized
in regulatory capital
as of 31.12.19
|
Amount eligible for
the gone concern requirement
as of 31.12.19
|
Maturity date
|
First optional call date
|
|
25
|
UBS Group AG3
|
CH0445624999
|
09.11.18
|
JPY 20,000
|
|
186
|
|
186
|
09.11.28
|
09.11.27
|
|
26
|
UBS Group AG
|
144A: US902613AA61
RegS: USH42097AZ05
|
13.08.19
|
USD 1,500
|
|
1,471
|
|
1,471
|
13.08.30
|
13.08.29
|
|
27
|
UBS Group AG
|
CH0506668844
|
04.11.19
|
USD 140.88
|
|
146
|
|
146
|
04.11.49
|
04.11.22
|
|
28
|
UBS Group AG
|
CH0508236566
|
18.11.19
|
AUD 100
|
|
71
|
|
71
|
18.11.34
|
18.11.20
|
|
Total TLAC-eligible senior
unsecured debt
|
|
|
|
|
30,322
|
|
30,322
|
|
|
|
1 Refer to “Capital and total loss-absorbing capacity
instruments” under “Bondholder information” at www.ubs.com/investors for more
information on the key features and the terms and conditions of the capital
instruments included in the above table. Instruments are listed according to
their maturity or optional call date. 2 Instruments available to meet
gone concern requirements are eligible until one year before maturity, with a
haircut of 50% applied in the last year of eligibility. Under the revised
Capital Adequacy Ordinance issued in November 2019, the 50% haircut is no
longer applied; refer to “Regulatory and legal developments” in the “Recent
developments” section of the UBS Group AG fourth quarter 2019 report for more
information. 3 The instruments issued by UBS Group Funding
(Switzerland) AG (including the instruments originally issued by UBS Group
AG, Switzerland and transferred in May 2018 to UBS Group Funding
(Switzerland) AG) as well as the TLAC issued by UBS Group Funding
(Switzerland) AG were transferred to UBS Group AG as the issuer on 11 October
2019. 4 Relates to deferred contingent capital plan (DCCP) awards.
5 Outstanding low-trigger loss-absorbing additional tier 1 capital
instruments are available under the transitional rules of the Swiss SRB
framework to meet the going concern requirements until their first call date,
even if the first call date is after 31 December 2019. As of their first call
date, these instruments are eligible to meet the gone concern
requirements. 6 Outstanding low-trigger loss-absorbing tier 2 capital
instruments are available under the transitional rules of the Swiss SRB
framework to meet the going concern requirements until the earlier of (i) their
maturity or first call date or (ii) 31 December 2019, and to meet gone
concern requirements thereafter. Outstanding low-trigger loss-absorbing tier
2 capital instruments are subject to amortization starting five years prior
to their maturity, with the amortized portion qualifying as gone concern
loss-absorbing capacity. 7 Non-Basel III-compliant tier 2 capital
instruments qualify as gone concern instruments. 8 Information corresponds
to the amortized face amount as of 31 December 2019, and therefore includes
the applicable accrual yield.
|
Notice to investors | This document
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 document. Refer to UBS’s fourth quarter 2019 report and its
Annual Report 2018 for additional information. These reports are available at
www.ubs.com/investors.
Rounding | Numbers presented
throughout this report may not add up precisely to the totals provided in the
tables and text. Percentages, percent changes, and adjusted results are
calculated on the basis of unrounded figures. Information about absolute
changes between reporting periods, which is provided in text and which can be
derived from figures displayed in the tables, is calculated on a rounded basis.
Tables | Within tables, blank fields
generally indicate that the field is not applicable or not 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. Percentage changes are presented as a mathematical
calculation of the change between periods.
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: January 21, 2020
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