SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-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 98-0186363
--------------------------------------- -------------------
(State of Incorporation or Organization) (I.R.S. Employer
Identification no.)
Bahnhofstrasse 45, Zurich and
Aeschenvorstadt 1, Basel
--------------------------------------- -------------------
(Address or Principal Executive Offices) (Zip Code)
If this form relates to the If this form relates to the
registration of a class of securities registration of a class of
pursuant to Section 12(b) of the securities pursuant to Section 12(g)
Exchange Act and is effective of the Exchange Act and is effective
pursuant to General Instruction pursuant to General Instruction
A.(c), please check the following A.(d), please check the following
box: [X] box: [ ]
Securities Act registration statement file number to which this form
relates: 333-64844
---------------
(If applicable)
Securities to be registered pursuant to Section 12(b) of the Act:
Title of Each Class Name of Each Exchange on Which
To be so Registered Each Class is to be Registered
---------------------------------- ------------------------------
Principal Protected Notes due American Stock Exchange
August [ ], 2010 (Linked to the
performance of the S&P 500(R) Index)
---------------------------------- ------------------------------
Securities to be registered pursuant to Section 12(g) of the Act:
None
-----------------------------------
(Title of Class)
INFORMATION REQUIRED IN REGISTRATION STATEMENT
ITEM 1. DESCRIPTION OF REGISTRANT'S SECURITIES TO BE REGISTERED
UBS AG (the "Company") hereby incorporates by reference the description
of its securities to be registered hereunder contained in the Preliminary
Prospectus Supplement filed with the Commission on July 8, 2003 under Rule
424(b)(2) and in the Prospectus dated February 27, 2003 under "Description of
Debt Securities We May Offer" pursuant to an effective Registration Statement on
Form F-3 (File No. 333-64844) (the "Additional Registration Statement") under
the Securities Act of 1933, as amended, filed with the Commission on December
19, 2002; the Additional Registration Statement, filed pursuant to Rule 429
under the Securities Act, constitutes Post-Effective Amendment No. 4 to the
Company's Registration Statement on Form F-1 (File No. 333-46930) (the "Prior
Registration Statement") filed with the Commission on September 29, 2000, as
previously amended by Post-Effective Amendment No. 1 thereto on Form F-1 filed
with the Commission on March 23, 2001, by Post-Effective Amendment No. 2 thereto
on Form F-1 filed with the Commission on March 29, 2001 and by Post-Effective
Amendment No. 3 thereto on Form F-3 filed with the Commission on May 15, 2001.
ITEM 2. EXHIBITS.
1. Debt Indenture, dated as of November 21, 2000, between the
Company and U.S. Bank Trust National Association, as debt
trustee, including form of debt securities (included as
Exhibit 4.1 to the Prior Registration Statement)
2. Form of Principal Protected Notes due August [ ], 2010 (Linked
to the performance of the S&P 500(R) Index)
3. 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)
Date: July 24, 2003 By: /s/ Jeff Sparks
---------------------------
Jeff Sparks
Managing Director - Equities
By: /s/ Michael Mahaffy
---------------------------
Michael Mahaffy
Managing Director - Equities