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UBS AG – ‘SC 14D9/A’ on 11/25/14 re: UBS AG

On:  Tuesday, 11/25/14, at 1:16pm ET   ·   Accession #:  1193125-14-424768   ·   File #:  5-84103

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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

Amendment to Tender-Offer Solicitation/Recommendation Statement   —   Schedule 14D-9
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 14D9/A   Amendment to Tender-Offer                           HTML     12K 
                          Solicitation/Recommendation Statement                  


This is an HTML Document rendered as filed.  [ Alternative Formats ]



  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)

 

 

H89231338

(CUSIP Number of Class of Securities)

 

 

David Kelly

UBS AG

677 Washington Boulevard

Stamford, CT 06901

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
No.

 

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:  

/s/ Sarah Starkweather

  Name:   Sarah Starkweather
  Title:   Executive Director
  Date:   November 25, 2014

 

2


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 14D9/A’ Filing    Date    Other Filings
Filed on:11/25/14425,  SC TO-T/A
10/14/14424B2,  425,  6-K,  FWP,  SC 14D9,  SC 14D9/A,  SC TO-T,  SC TO-T/A
 List all Filings
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Filing Submission 0001193125-14-424768   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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