Investor and Shareholder Contacts

In the meantime, the market for UBS AG shares will be significantly less liquid, and the value of any UBS AG shares you retain may be lower or fluctuate more widely following completion of the exchange offer than before completion of the exchange offer. Your view has been saved. Most publications are available in either print or PDF format. Thus, a company's AGR Score can help investors looking to manage risk or enhance investment performance. If the requirements of the vesting schedule are not met, then the employee forfeits the stock back to the employer. The purpose of this document is to describe the impact of the Exchange on the UBS compensation plans and any awards granted under them. You are responsible for instructing your personal broker or custodian regarding the action you wish to take in respect of any such shares.

Aug 28,  · UBS One Source (Corporate Stock Plans) Equity compensation plan clients can obtain account information by logging into the UBS One Source website that is specific for your company. Follow these instructions to log in.

Benefits Summary

Rule 10b Trading Plan. Specific Plan of Sale. Seller shall deliver all shares of Stock to be sold pursuant to this Trading Plan into the Plan Account prior to the commencement of any sales under this Trading Plan. Seller shall comply with all applicable laws, rules and regulations, and Seller shall make all filings required under Sections 13 and 16 of the Exchange Act in a timely manner.

Seller does not have, and shall not attempt to exercise, any influence over how, when or whether to effect sales of Stock pursuant to this Trading Plan. The Stock is not marginable and may not be used by Seller as collateral for any purpose.

UBSFS may sell Stock on any national securities exchange, in the over-the-counter market, on an automated trading system or otherwise. Until this Trading Plan has been terminated, Seller shall not enter into any agreement with, give any instructions to, or adopt a plan for trading with another Financial Institution with respect to purchase or sale of the Stock or the Options that are referenced in Exhibit A of the plan, for the purpose of establishing a trading plan that complies with Rule 10b UBSFS shall be relieved of its obligation to sell Stock as otherwise required by paragraph 1 above at any time when: Rule and Rule These amounts shall be deducted from the proceeds of sale of the Stock, together with late fees, if applicable.

Sales under this Trading Plan shall be suspended as follows: This Trading Plan will terminate on the earliest to occur of the following: Pursuant to Rule under the Securities Act of Impact on UBS compensation plans for. The purpose of this document is to describe the impact of the Exchange on the UBS compensation plans and any awards granted under them. This document does not constitute or form part of a prospectus and the public offer will be made solely by means of, and on the basis of, a prospectus which is to be published on www.

You are responsible for instructing your personal broker or custodian regarding the action you wish to take in respect of any such shares. Further details are provided below. Purpose of the exchange offer. In addition, the Exchange will not involve any change to our board of directors or senior management.

UBS believes that these changes will substantially enhance the resolvability of the Group in response to evolving global regulatory requirements. This rebate would result in lower overall capital requirements for the Group. Page 1 of 9. Terms of the Exchange.

This period is expected to begin upon the announcement of the definitive results of the initial offer period. Admissions on the SIX Swiss Exchange and the NYSE are expected to be effective upon settlement of the shares validly tendered as of the expiration date of the initial exchange period.

For full information regarding the Exchange please read the offer documents available on www. The key dates of the transaction are:. Initial offer period commencement date. Second offer period commencement date.

The table below provides an overview of the tendering process for US, Puerto Rico, and Virgin Island based participants and whether your shares are vested or restricted. Please note that these different processes are due to the different legal requirements as stated in the US at the time of the Exchange.

Page 2 of 9. Unvested, blocked and restricted UBS shares. Notional shares, unexercised options, stock-settled share appreciation rights and performance shares.

This can be accessed by typing http: Page 3 of 9. During and after the offer period, there may be trading restrictions and impact on any unexecuted orders or transfers, depending on specific circumstances. In order to participate in the exchange offer and tender your UBS AG shares in exchange for UBS Group AG shares, you will need to complete an election by the end of the initial offer period which is expected to be If you do not take any action by the end of any subsequent offer period, you will not have participated in the exchange offer and will retain your UBS AG shares.

Withdrawal rights and partial elections. UBS AG shares tendered during the subsequent offer period, if any, may not be withdrawn. UBS AG shares tendered during the initial offer period will settle shortly after the expiration of that period. Any UBS shares tendered after that time but before the end of the subsequent offer period are expected to settle shortly after the expiration of the end of the subsequent offer period.

This timing will change if the initial offer period is extended. Taxation of Share to Share Exchange. The Exchange does not constitute a taxable event in the US or Puerto Rico for the exchange on Unvested, blocked and restricted UBS shares, notional shares, options, stock-settled share appreciation rights and performance shares.

UBS does not provide tax advice, you should consult your own tax advisor if you have any questions regarding the exchange.

As a matter of principle, UBS does not, apart from tax-equalisation arrangements applicable to International Assignees, provide indemnities to employees on the tax effects of compensation matters, and the information provided in this document is based on the assumption that you were resident in your jurisdiction from the date of grant to the date of vesting or exercise, as applicable. More detailed information about the exchange offer can found at www. Page 4 of 9.

Page 5 of 9. Accordingly, copies of any Exchange Offer Document will not be, and must not be, directly or indirectly, mailed, distributed or otherwise sent to anyone or from anyone in or into or from any Excluded Territory. In those instances, any such Exchange Offer Document is sent for information purposes only.

Separate documentation related to the exchange offer will be made available in the United States. Securities Act of , as amended. It is the responsibility of the Excluded Shareholders wishing to accept the exchange offer to inform themselves of and ensure compliance with the laws of their respective jurisdictions in relation to the exchange offer. If you are an Excluded Shareholder and have any doubts as to your status, you should consult with your professional advisor in the relevant jurisdiction.

None of these documents and other materials filed or to be filed with the SEC in connection the U. Page 6 of 9. If you are in the EEA and you are in any doubt about the exchange offer, the contents of this letter or what action you should take, you are recommended to seek your own personal financial advice immediately from your stockbroker, bank manager, solicitor, accountant, fund manager or other appropriate independent financial adviser being, in the case of residents in Ireland, an organisation or firm authorized or exempted pursuant to the European Communities Markets in Financial Instruments Regulations Nos.

If you are in the EEA, nothing contained in this letter shall form the basis of any contract or commitment whatsoever. If you are in the EEA, nothing in this letter shall be relied upon as a promise or representation whether as to the past or the future. There is no obligation on any person to update this document, correct any inaccuracies which may become apparent or to publicly announce the result of any revision to the statements made herein except to the extent that they would be required to do so under applicable law or regulation.

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How do I exercise my stock options through your firm? UBS Financial Services Inc., one of the country’s leading wealth managers, is the designated broker for your stock. UBS One Source (INTC). UBS One Source, our primary, online point of contact for plan participants, offers consolidated account information and transactions, modeling tools, company stock quotes and plan information, 24 hours a day, 7 days a week.