SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF
THE SECURITIES EXCHANGE ACT OF 1934
UBS AG
(Exact Name of Registrant as Specified in Its Charter)
Switzerland | 90-0186363 | |||||||||
(State of Incorporation or Organization) | (I.R.S. Employer Identification no.) |
Bahnhofstrasse 45,CH-8098 – Zurich, Switzerland Aeschenvorstadt 1,CH-4051 – Basel, Switzerland | N/A | |||||||||
(Address of Principal Executive Offices) | (Zip Code) |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box: ☒ | If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box: ☐ |
Securities Act registration statement file number to which this form relates: | 333-204908 | |
(If applicable) |
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class to be so Registered | Name of Each Exchange on Which Each Class is to be Registered | |
VelocitySharesTM 1X Daily Inverse VSTOXX Futures ETN linked to the VSTOXX Short-Term Futures Inverse Investable Index due May 3, 2047 | The BATS BZX Exchange |
Securities to be registered pursuant to Section 12(g) of the Act:
None
(Title of Class)
Item 1. | Description of Registrant’s Securities to be Registered |
The Registrant filed with the Securities and Exchange Commission (the “Commission”) on June 12, 2015 a Registration Statement on FormF-3ASR (Registration StatementNo. 333-204908) (as amended from time to time, the “Registration Statement”) containing a prospectus, dated June 12, 2015, relating to the Registrant’s Debt Securities and Warrants. That prospectus has been replaced from time to time by a new prospectus, most recently by a prospectus dated April 29, 2016 (the “Prospectus”). The Registration Statement was automatically effective upon filing with the Commission. On the date hereof, the Registrant intends to file with the Commission pursuant to Rule 424(b) under the Securities Act of 1933 a prospectus supplement, dated May 2, 2017 (the “Prospectus Supplement”) relating to the VelocitySharesTM 1X Daily Inverse VSTOXX Futures ETN linked to the VSTOXX Short-Term Futures Inverse Investable Index due May 3, 2047, which is part of the Registrant’s Medium-Term Notes, Series B. The Prospectus Supplement and the Prospectus are incorporated by reference to the extent set forth below.
The material set forth (i) under the headings “Description of Debt Securities We May Offer” on pages 13 to 32, “Considerations Relating to Indexed Securities” on pages 53 to 55, “U.S. Tax Considerations” on pages 59 to 69 and “Tax Considerations Under the Laws of Switzerland” on pages 70 to 71 in the Prospectus and (ii) in the Prospectus Supplement are each incorporated herein by reference. The outstanding principal amount of the securities registered hereby may be increased from time to time in the future due to further issuances of securities having substantially the same terms. If any such additional securities are issued, a prospectus supplement relating to them will be filed with the Securities and Exchange Commission and will be incorporated herein by reference. The securities registered hereby are, and any additional securities registered hereby in the future will be, all part of a single series as described in the documents referenced above.
Item 2. | Exhibits. |
Pursuant to the Instructions as to Exhibits with respect to Form8-A, the following exhibits are being filed with the Commission in connection with this Registration Statement on Form8-A:
1. | Debt Indenture, dated as of June 12, 2015, between the Company and U.S. Bank Trust National Association, as debt trustee (incorporated by reference to Exhibit 4.22 of the Registrant’s registration statement no.333-204908). |
2. | Form of Global Note for VelocitySharesTM 1X Daily Inverse VSTOXX Futures ETN linked to the VSTOXX Short-Term Futures Inverse Investable Index due May 3, 2047. |
3. | Officers’ Certificate of the Registrant pursuant to Section 301 of the Debt Indenture setting forth the terms of the Registrant’s Medium-Term Notes, Series B (incorporated by reference to Exhibit 3 of the Registrant’s registration statement on Form8-A, filed with the Commission on July 14, 2015). |
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereto duly authorized.
UBS AG | ||||||
(Registrant) | ||||||
Dated: May 2, 2017 | ||||||
By: | /s/ Timothy Geller | |||||
Name: | Timothy Geller | |||||
Title: | Director and Counsel, Region Americas Legal | |||||
By: | /s/ Terence J. Filewych | |||||
Name: | Terence J. Filewych | |||||
Title: | Executive Director and Counsel, Region Americas Legal |
Exhibit No. | Description of Exhibit | |
1. | Debt Indenture, dated as of June 12, 2015, between the Company and U.S. Bank Trust National Association, as debt trustee (incorporated by reference to Exhibit 4.22 of the Registrant’s registration statement no.333-204908). | |
2. | Form of Global Note for VelocitySharesTM 1X Daily Inverse VSTOXX Futures ETN linked to the VSTOXX Short-Term Futures Inverse Investable Index due May 3, 2047. | |
3. | Officers’ Certificate of the Registrant pursuant to Section 301 of the Debt Indenture setting forth the terms of the Registrant’s Medium-Term Notes, Series B (incorporated by reference to Exhibit 3 of the Registrant’s registration statement on Form8-A, filed with the Commission on July 14, 2015). |