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AMNA Ubs

Filed: 19 Mar 08, 8:00pm
Table of Contents

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 20-F/A
Amendment No. 1
(Mark One)
o REGISTRATION STATEMENT PURSUANT TO SECTION12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934
OR
þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2007
OR
o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from            to .
OR
o SHELL COMPANY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission file number: 1-15060
UBS AG
(Exact Name of Registrant as Specified in Its Charter)
Switzerland
(Jurisdiction of Incorporation or Organization)
Bahnhofstrasse 45
CH-8001 Zurich, Switzerland
and
Aeschenvorstadt 1,
CH-4051 Basel, Switzerland
(Address of Principal Executive Offices)
Securities registered or to be registered pursuant to Section 12(b) of the Act:
Please see page 3.
Securities registered or to be registered pursuant to Section 12(g) of the Act:
Please see page 3.
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act:
Please see page 3.
Indicate the number of outstanding shares of each of the issuer’s classes of
capital or common stock as of 31 December 2007:
Ordinary shares, par value CHF 0.10 per share: 2,073,547,344 ordinary shares
(including 158,105,524 treasury shares)
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of
the Securities Act.
Yesþ               Noo
If this report is an annual or transition report, indicate by check mark if the registrant is not
required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.
Yeso               Noþ
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 Registrant (1) has 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 Registrant was required to file such reports) and (2) has been subject
to such filing requirements for the past 90 days.
Yesþ               Noo
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer,
or a non-accelerated filer. See definition of “accelerated filer and large accelerated filer” in
Rule 12b-2 of the Exchange Act.
(Check One):
Large accelerated filerþ     accelerated filero     Non-accelerated filero
Indicate by check mark which basis of accounting the registrant has used to prepare the financial
statements included in this filing:
(Check One):
U.S. GAAPo     International Financial Reporting Standards     Othero
as issued by the International Accounting
Standards Boardþ
If “Other” has been checked in response to the previous question, indicate by check mark which
financial statement item the registrant has elected to follow.
Item 17o               Item 18o
If this is an annual report, indicate by check mark whether the registrant is a shell company (as
defined in Rule 12b-2 of the Exchange Act)
Yeso               Noþ
 
 

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Securities registered or to be registered pursuant to Section 12(b) of the Act:
   
  Name of each exchange on
Title of each class which registered
Ordinary Shares (par value of CHF 0.10 each) New York Stock Exchange
   
$300,000,000 7.25% Noncumulative Trust Preferred Securities New York Stock Exchange
   
$300,000,000 7.25% Noncumulative Company Preferred Securities New York Stock Exchange*
   
$300,000,000 Floating Rate Noncumulative Trust Preferred Securities New York Stock Exchange
   
$300,000,000 Floating Rate Noncumulative Company Preferred Securities New York Stock Exchange*
   
$1,000,000,000 6.243% Noncumulative Trust Preferred Securities New York Stock Exchange
   
$1,000,000,000 6.243% Noncumulative Company Preferred Securities New York Stock Exchange*
   
Subordinated Guarantee of UBS AG with respect to Company
Preferred Securities
 New York Stock Exchange*
   
$9,000,000 PPNs due April 2009 American Stock Exchange
   
$6,900,000 PPNs due May 2009 American Stock Exchange
   
$5,100,000 PPNs due September 2009 American Stock Exchange
   
$24,223,000 PPNs due Oct 2009 American Stock Exchange
   
$30,000,000 PPNs due April 2010 American Stock Exchange
   
$31,000,000 PPNs due May 2010 American Stock Exchange
   
$23,000,000 PPNs due June 2010 American Stock Exchange
   
$10,000,000 PPNs due July 2010 American Stock Exchange
   
$7,750,000 PPNs due August 2010 American Stock Exchange
   
$12,660,000 PPNs due September 2010 American Stock Exchange
   
$8,000,000 PPNs due November 2010 American Stock Exchange
   
$17,842,000 PPNs due October 2011 American Stock Exchange
Securities registered or to be registered pursuant to Section 12(g) of the Act:
None

Securities for which there is a reporting obligation pursuant to Section 15(d)
of the Act:
None
 
* Not for trading, but solely in connection with the registration of the corresponding Trust Preferred Securities.

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Explanatory Note
          This Form 20-F/A is being filed by UBS AG (the “Company”) as Amendment No.1 to its Annual Report on Form 20-F for the fiscal year ended December 31, 2007, filed with the Securities and Exchange Commission (the “Commission”) on March 18, 2008 (the “2007 20-F”), for the sole purpose of furnishing an amended Report of the Independent Registered Public Accounting Firm, as appearing on pages 16 and 17 of the Financial Statements report under “Report of the group auditors — Independent Registered Public Accounting Firm Consolidated Financial Statements” (the “Report”). The only amendment with respect to the Report is the inclusion of the words “as issued by the International Accounting Standards Board” in the fourth line of the third paragraph of text between the words “in conformity with International Financial Reporting Standards,” and “and they comply with Swiss Law.”
          Other than as expressly set forth above, this Form 20-F/A does not, and does not purport to, amend, update or restate the information in any part of the 2007 20-F or reflect any events that have occurred after the 2007 20-F was filed on March 18, 2008. The filing of this Form 20-F/A, and the inclusion of newly executed certifications, should not be understood to mean that any other statements contained in the 2007 20-F are true and complete as of any date subsequent to March 18, 2008.

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Item 18. Financial Statements.
          The Report of the Independent Registered Public Accounting Firm Ernst & Young to the General Meeting of UBS AG filed herewith is incorporated by reference into the 2007 20-F in lieu of the Report of the Independent Auditors appearing on pages 16 and 17 of the Financial Statements report under the heading “Report of the group auditors — Independent Registered Public Accounting Firm Consolidated Financial Statements.”
Item 19. Exhibits.
   
Exhibit  
Number Description
12. The certifications required by Rule 13(a)-14(a) (17 CFR 240.13a-14(a)).
   
13. The certifications required by Rule 13(a)-14(b) (17 CFR 240.13a-14(b)) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350).
   
15.1 Report of Ernst & Young Ltd.
   
15.2 Consent of Ernst & Young Ltd.

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SIGNATURES
          The registrant hereby certifies that it meets all of the requirements for filing on Form 20-F and that it has duly caused and authorized the undersigned to sign this annual report on its behalf.
    
 UBS AG  
 /s/ Marcel Rohner  
 Name:  Marcel Rohner  
 Title:  Chief Executive Officer 
  
Date: March 20, 2008 /s/ Marco Suter  
 Name:  Marco Suter 
 Title:  Group Chief Financial Officer 

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INDEX TO EXHIBITS
   
Exhibit  
Number Description
12. The certifications required by Rule 13(a)-14(a) (17 CFR 240.13a-14(a)).*
   
13. The certifications required by Rule 13(a)-14(b) (17 CFR 240.13a-14(b)) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350).*
   
15.1 Report of Ernst & Young Ltd.*
   
15.2 Consent of Ernst & Young Ltd.*
* Filed as exhibit herewith.

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