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As Of Filer Filing For·On·As Docs:Size Issuer Agent 11/25/14 UBS AG SC 14D9/A 1:16K UBS AG RR Donnelley/FA |
Document/Exhibit Description Pages Size 1: SC 14D9/A Amendment to Tender-Offer HTML 12K Solicitation/Recommendation Statement
SC 14D9/A |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 9 to
SCHEDULE 14D-9
SOLICITATION/RECOMMENDATION STATEMENT
UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934
UBS AG
(Name of Subject Company)
UBS AG
(Name of Person Filing Statement)
Registered shares, par value CHF 0.10 per share
(Title of Class of Securities)
(CUSIP Number of Class of Securities)
UBS AG
677 Washington Boulevard
Telephone: +1 (203) 719-3000
(Name, address, and telephone numbers of person authorized to receive notices and communications
on behalf of filing person)
Copies to:
David Rockwell, Esq.
Sullivan & Cromwell LLP
1 New Fetter Lane
London EC4A 1AN
United Kingdom
Tel. No.: 011-44-20-7959-8900
¨ | Check box if the filing relates solely to preliminary communications made before the commencement of a tender offer. |
This Amendment No. 9 (the “Amendment”) supplements Item 9 (but no other item) of the Solicitation/Recommendation Statement on Schedule 14D-9 originally filed with the U.S. Securities and Exchange Commission on October 14, 2014 (together with the amendments and supplements thereto, the “Statement”) by UBS AG, a Swiss Aktiengesellschaft/société anonyme (“UBS”). The Statement relates to the offer made by UBS Group AG, a Swiss Aktiengesellschaft/société anonyme (“UBS Group”), to acquire any and all issued ordinary shares (“UBS Shares”) of UBS in exchange for registered shares of UBS Group (the “Exchange Offer”). The Exchange Offer is comprised of the U.S. offer and the Swiss offer.
Item 9. | Exhibits |
Item 9 of the Statement is hereby supplemented to include the following:
Exhibit |
Description | |
(a)(5)(v) | CBI Prospectus relating to Additional Acceptance Period (incorporated by reference to the filing made by UBS AG on November 25, 2014, pursuant to Rule 425 under the Securities Act of 1933, as amended) |
1
SIGNATURES
After due inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
UBS AG | ||||
By: | /s/ David Kelly | |||
Name: | David Kelly | |||
Title: | Managing Director | |||
Date: | November 25, 2014 | |||
By: | ||||
Name: | Sarah Starkweather | |||
Title: | Executive Director | |||
Date: | November 25, 2014 |
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This ‘SC 14D9/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 11/25/14 | 425, SC TO-T/A | ||
10/14/14 | 424B2, 425, 6-K, FWP, SC 14D9, SC 14D9/A, SC TO-T, SC TO-T/A | |||
List all Filings |