SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(B) OR (G) OF THE
SECURITIES EXCHANGE ACT OF 1934
UBS AG UBS PREFERRED FUNDING UBS PREFERRED FUNDING
COMPANY LLC IV TRUST IV
(Exact name of Registrant as (Exact name of Registrant as (Exact name of Registrant
Specified in its Charter) Specified in its Charter) as Specified in its Charter)
SWITZERLAND 98-0186363 DELAWARE APPLIED FOR DELAWARE APPLIED FOR
(State or Other (I.R.S. Employer (State or Other (I.R.S. Employer (State or Other (I.R.S. Employer
Jurisdiction of Identification Jurisdiction of Identification Jurisdiction of Identification
Incorporation or Number) Incorporation or Number) Incorporation or Number)
Organization) Organization) Organization)
BAHNHOFSTRASSE 45, ZURICH, C/O WILMINGTON TRUST COMPANY THE CORPORATION TRUST COMPANY
SWITZERLAND, 011 41-1-234 11 11 AND 1100 NORTH MARKET STREET 1209 ORANGE STREET
AESCHENVORSTADT 1, BASEL, WILMINGTON, DELAWARE 19890 WILMINGTON, DELAWARE 19801
SWITZERLAND, 011 41-61-288 20 20 302-651-118 302-658-7581
(Address and Telephone Number of (Address and Telephone Number of (Address and Telephone Number of
Registrant's Principal Executive Offices) Registrant's Principal Executive Offices) Registrant's Principal Executive Offices)
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. [X]
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 file number to which this form relates: 333-62448
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class Name of Each Exchange on
to be so Registered Which Each Class is to be Registered
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Trust Preferred Securities of UBS Funding Trust IV New York Stock Exchange, Inc.
Company Preferred Securities of UBS Preferred Funding LLC IV New York Stock Exchange, Inc.*
Subordinated Guarantee of UBS AG with respect to the New York Stock Exchange, Inc.*
Noncumulative Company Preferred Securities.
Securities to be registered pursuant to Section 12(g) of the Act:
None
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* Not for trading, but only in connection with the registration of the Trust
Preferred Securities.
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. DESCRIPTION OF REGISTRANTS' SECURITIES TO BE REGISTERED.
The description of the securities to be registered hereby is
incorporated by reference to the description that appears under the captions
"Description of Trust Preferred Securities", "Description of Company Preferred
Securities" and "Description of UBS AG Subordinated Guarantee" in the Prospectus
relating to the Registrants' Registration Statement on Form F-3 (the "Form F-3")
under the Securities Act of 1933, as amended, as filed with the Securities and
Exchange Commission (the "SEC") on December 19, 2002, as amended (File No.
333-64844).
Item 2. EXHIBITS
The following exhibits have been incorporated by reference into this
registration statement filed with the SEC.
Exhibit No. Description
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4.1 Form of Amended and Restated Trust Agreement of UBS Preferred Funding
Trust IV of the Trust (incorporated herein by reference to Exhibit 4.5
to the Form F-3).
4.2 Form of Amended and Restated Limited Liability Agreement of UBS
Preferred Funding Company LLC IV (incorporated herein by reference to
Exhibit 4.7 to the Form F-3).
4.3 Form of Subordinated Guarantee Agreement for UBS Preferred Funding
Company LLC IV (incorporated by reference to Exhibit 4.9 to the Form
F-3).
25.2 Statement of Eligibility on Form T-1 of Wilmington Trust Company, as
Trustee for UBS Preferred Funding Trust IV (incorporated herein by
reference to Exhibit 25.2 to the Form F-3)
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities
Exchange Act of 1934, the Registrants have duly caused this registration
statement thereto to be signed on its behalf by the undersigned, thereto duly
authorized.
Date: May 22, 2003
UBS AG
By: /S/ Robert Mills
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Name: Robert Mills
Title: Managing Director
By: /S/ Mark Ritter
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Name: Mark Ritter
Title: Managing Director
UBS Preferred Funding Company LLC IV
By: /S/ Robert Mills
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Name: Robert Mills
Title: President and Managing
Director
By: /S/ Mark Ritter
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Name: Mark Ritter
Title: Vice President
UBS Preferred Funding Trust IV
By: UBS Preferred Funding Company LLC
IV, as Grantor
By: /S/ Robert Mills
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Name: Robert Mills
Title: President and Manging
Director
By: /S/ Mark Ritter
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Name: Mark Ritter
Title: Vice President