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 20, 2015
Commission File Number: 1-15060
UBS AG
(Registrants Name)
Bahnhofstrasse 45, Zurich, Switzerland, and
Aeschenvorstadt 1, Basel, Switzerland
(Address of principal executive office)
Indicate by check mark whether
the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form
20-F x Form 40-F ¨
This Form 6-K is hereby incorporated by reference into the registration statement of UBS AG on Form F-3 (Registration Number
333-200212).
This Form 6-K consists of the legal opinion which appears below.
[LETTERHEAD OF CADWALADER, WICKERSHAM & TAFT LLP]
January 20, 2015
UBS AG
Bahnhofstrasse 45
CH-8098 Zurich
Switzerland
Ladies and Gentlemen:
We have acted as special counsel to UBS AG (the Company) in connection with the proposed sale by the Company and purchase
by UBS Financial Services, Inc. (the Underwriter) of debt securities being issued on the date hereof identified in Annex A to this letter (the Securities), pursuant to the terms of the Amended and Restated
Distribution Agreement, dated November 17, 2006 (the Agreement), among the Company, UBS Securities LLC and the Underwriter. The Securities are being issued pursuant to the Indenture, dated as of November 21, 2000, as
amended and supplemented from time to time (as amended through the date hereof, the Indenture), between the Company and U.S. Bank Trust National Association.
In rendering the opinions set forth below, we have examined and relied upon the originals, copies or specimens, certified or otherwise
identified to our satisfaction, of the Transaction Documents (as defined below) and such certificates, corporate and public records, agreements and instruments and other documents, including, among other things, the documents delivered on the date
hereof, as we have deemed appropriate as a basis for the opinions expressed below. In such examination we have assumed the genuineness of all signatures, the authenticity of all documents, agreements and instruments submitted to us as originals, the
conformity to original documents, agreements and instruments of all documents, agreements and instruments submitted to us as copies or specimens, the authenticity of the originals of such documents, agreements and instruments submitted to us as
copies or specimens, the conformity of the text of each document filed with the Securities and Exchange Commission (the Commission) through the Commissions Electronic Data Gathering, Analysis and Retrieval System to the
printed document reviewed by us, the accuracy of the matters set forth in the documents, agreements and instruments we reviewed, and that such documents, agreements and instruments evidence the entire understanding between the parties and have not
been amended, modified or supplemented in any manner material to the opinions expressed herein. As to matters of fact relevant to the opinions expressed herein, we have relied upon, and assumed the accuracy of, the representations and warranties
contained in the Agreement and the Indenture and we have relied upon certificates and oral or written statements and other information obtained from the Company, the other parties to the transaction referenced herein, and public officials. Except as
expressly set forth herein, we have not undertaken any independent investigation (including, without limitation, conducting any review, search or investigation of any public files, records or dockets) to determine the existence or absence of the
facts that are material to our opinions, and no inference as to our knowledge concerning such facts should be drawn from our reliance on the representations of the Company and others in connection with the preparation and delivery of this letter.
2
In particular, we have examined and relied upon: (a) the Companys Registration
Statement on Form F-3 (File No. 333-200212) (the Registration Statement), including the Prospectus dated November 14, 2014, the Product Supplement dated November 17, 2014 relating to the Airbag Yield Optimization
Notes, the Prospectus Supplement dated November 17, 2014 relating to the Airbag Yield Optimization Notes, the Product Supplement dated November 17, 2014 relating to the Trigger Phoenix Autocallable Optimization Securities, the Prospectus
Supplement dated November 17, 2014 relating to the Trigger Phoenix Autocallable Optimization Securities, the Final Terms Supplement dated January 14, 2015 relating to the AMZN Securities (as defined in Annex A hereto), the Final Terms
Supplement dated January 14, 2015 relating to the FB Securities (as defined in Annex A hereto), the Final Terms Supplement dated January 14, 2015 relating to the TWTR Securities (as defined in Annex A hereto) and the Final Terms Supplement
dated January 14, 2015 relating to the WFT Securities (as defined in Annex A hereto), each constituting a part thereof, (b) the Indenture, (c) the Global Security dated January 20, 2015 representing the AMZN Securities,
(d) the Global Security dated January 20, 2015 representing the FB Securities, (e) the Global Security dated January 20, 2015 representing the TWTR Securities, (f) the Global Security dated January 20, 2015 representing
the WFT Securities, (g) UBS AG Group Treasurer Resolutions dated (i) December 22, 2008, (ii) August 16, 2011, (iii) December 9, 2011, (iv) May 8, 2014 and (v) November 14, 2014, related to the
establishment of the Companys medium-term note program and (h) the Officers Certificate dated November 14, 2014, delivered pursuant to Section 301 of the Indenture related to the establishment of a series of debt
securities of the Company entitled Medium-Term Notes, Series A.
Items (a) to (h) above are referred to in this
letter as the Transaction Documents.
We have also assumed (x) the legal capacity of all natural persons and
(y) (except to the extent expressly opined on herein) that all documents, agreements and instruments have been duly authorized, executed and delivered by all parties thereto, that all such parties are validly existing and in good standing under
the laws of their respective jurisdictions of organization, that all such parties had the power and legal right to execute and deliver all such documents, agreements and instruments, and that such documents, agreements and instruments are legal,
valid and binding obligations of such parties, enforceable against such parties in accordance with their respective terms. As used herein, to our knowledge, known to us or words of similar import mean the actual knowledge,
without independent investigation, of any lawyer in our firm actively involved in representing the Company with respect to the transactions contemplated by the Agreement.
We express no opinion concerning the laws of any jurisdiction other than the laws of the State of New York and applicable federal laws of the
United States of America.
Based upon and subject to the foregoing, we are of the opinion that assuming the Securities have been duly
authorized and executed by the Company and duly authenticated and delivered by the Trustee in the manner contemplated in the Indenture and paid for by and sold to the Underwriter pursuant to the Agreement, the Securities will be binding obligations
of the Company, enforceable against the Company in accordance with their terms, subject to applicable bankruptcy, insolvency, fraudulent conveyance, reorganization, moratorium, receivership or other laws relating to or affecting creditors
rights generally, and to general principles of equity (regardless of whether enforcement is sought in a proceeding at law or in equity), and subject to the effect of laws that may limit the waiver of rights or benefits under or defenses with respect
to applicable usury laws.
3
We hereby consent to the filing of this letter as an exhibit to a Current Report on Form 6-K to
be incorporated by reference in the Registration Statement as it relates to the Securities. This consent is not to be construed as an admission that we are a person whose consent is required to be filed with the Registration Statement under the
provisions of the Securities Act of 1933, as amended.
In addition, we disclaim any obligation to update this letter or communicate with
or advise you as to any changes in fact or law, or otherwise.
Very truly yours,
/s/ Cadwalader, Wickersham & Taft LLP
4
ANNEX A
|
|
|
|
|
Title of Securities |
|
Aggregate Principal Amount |
|
Airbag Yield Optimization Notes due January 20, 2016 (Linked to the common stock of Amazon.com, Inc.) (the AMZN
Securities) |
|
$ |
175,000.00 |
|
Trigger Phoenix Autocallable Optimization Securities due January 22, 2016 (Linked to the common stock of Facebook, Inc.) (the
FB Securities) |
|
$ |
804,000.00 |
|
Trigger Phoenix Autocallable Optimization Securities due January 22, 2016 (Linked to the common stock of Twitter, Inc.) (the
TWTR Securities) |
|
$ |
1,236,000.00 |
|
Trigger Phoenix Autocallable Optimization Securities due July 21, 2016 (Linked to the common stock of Weatherford International
Ltd.) (the WFT Securities) |
|
$ |
1,105,000.00 |
|
5
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned, thereunto duly authorized.
|
|
|
UBS AG |
|
|
By: |
|
/s/ Kiye Sakai |
|
|
Name: Kiye Sakai |
|
|
Title: Managing Director |
|
|
By: |
|
/s/ Sarah Starkweather |
|
|
Name: Sarah Starkweather |
|
|
Title: Executive Director |
Date: 20 January 2015
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