SBSE-A/A 0001114446 XXXXXXXX true false 338960 UBS AG 00-0000000 338960 0001114446 BFM8T61CT2L1QCEMIK50 BAHNHOFSTRASSE 45 ZURICH V8 CH 8001 600 WASHINGTON BLVD. STAMFORD CT 06901 203-719-5241 www.ubs.com Daniel Bucsa 202-942-2893 daniel.bucsa@ubs.com Richard Kennedy 442075684476 richard.kennedy@ubs.com UBS AG 338960 Y N N Y Swiss Financial Markets Supervisory Authority UBS AG will satisfy the conditions the Commission has placed on UBS AG through its Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation, dated October 8, 2021, by complying with the relevant Swiss law provisions in accordance with its established policies and procedures and, to the extent necessary, by updating such policies and procedures. Y Swap Dealer N UBS AG is incorporated and domiciled in Switzerland and operates under art. 620ff. of the Swiss Code of Obligations as an Aktiengesellschaft, a corporation limited by shares. According to article 2 of the articles of association of UBS AG dated April 26, 2018, the purpose of UBS AG is the operation of a bank. Its scope of operations extends to all types of banking, financial, advisory, trading and service activities in Switzerland and abroad. UBS AG may establish branches and representative offices as well as banks, finance companies and other enterprises of any kind in Switzerland and abroad, hold equity interests in these companies, and conduct their management. UBS AG is authorized to acquire, mortgage and sell real estate and building rights in Switzerland and abroad. UBS AG may borrow and invest money on the capital markets. UBS AG is part of the group of companies controlled by the group parent company UBS Group AG. Y The Federal Reserve Board N N Y Y UBS AG 338960 Y Y Y Y N Y 22 N UBS AG 338960 GEORGE ATHANASOPOULOS Co-President of the Investment Bank 07/2024 07/2010 N 451077 Jason Barron Head of Global Market 07/2024 10/1993 N 523561 Beatriz Martin Jimenez Group Chief Operating Officer 01/2026 11/2012 N 486000 Robert Brooks Karofsky Co-President GWM and President UBS Americas 07/2024 12/2014 N 259774 Darryll Hendricks Americas COO 09/2005 09/2005 N 523559 Richard Saint John Kennedy Head C&ORC IB & NCL / UK 07/2023 03/2000 N 517849 Iqbal Khan Co-President GWM and President UBS Asia-Pacific 09/2024 10/2019 N 532827 David Howe Kelly Head of Group Legal Transactions, Disclosure and Antitrust 07/2024 02/1999 N 540729 Paul Daniel Ritchie Head of Operational Risk and Integrity OO 07/2023 01/1999 N 543433 Imed Souki IB Head of Risk & Resource Management; Head of IB EMEA 10/2025 11/2010 N 548106 Taichi Takahashi Head of Investment Bank Asia Pacific 10/2022 07/1994 Y NA NFA ID 0552140 not yet active; and no prior positions before joining UBS. Sergio Pietro Ermotti Group CEO and President Executive Board of UBS AG 07/2024 04/2023 Y NA 451081 007739882 Marco Valla Co-President of the Investment Bank; Head of Global Banking 10/2025 07/2023 Y NA 558279 Elaine Sam Managing Director, Head of Unified Global Markets America 08/2023 08/2023 Y NA 327182 Mirko Davide Georg Bianchi Group Treasurer, Managing Director 07/2023 07/2023 Y NA 558875 Michael John Ebert Head of Investment Bank, AMER 07/2024 09/2017 Y NA 417077 Kristi Renee Brown IB COO 07/2024 02/2006 Y NA 564584 Julie Elisabeth Louise Amiot Global COO Non-Core and Legacy 07/2024 03/2018 Y NA 564754 Patrick Grob Head UGM/ Head GWM Solutions APAC 01/2024 01/1996 Y NA 569987 008061589 Anthony John Sweetman CO-head of the investment bank for APAC 10/2025 02/1997 Y NA 573961 008174802 Rahul Dhumale Chief Risk Officer, Investment Bank & Non-Core Legacy 02/2026 08/2004 Y NA 576137 008221047 John Jacob Vander Zee Chief Operating Officer, Global Wealth Management US 04/2026 11/2023 Y NA 576852 002755124 UBS AG 338960 AMENDED BFM8T61CT2L1QCEMIK50 Commodities Futures Trading Commission UBS AG, is licensed as a bank in Switzerland and operates branches licensed in the United States and other jurisdictions. UBS provides a full range of banking services and is provisionally registered with the Commodities Futures Trading Commission as a swap dealer. Item 13A Ernst & Young AG Aeschengraben 27 Basel V8 CH-4002 01-01-2021 External independent auditor, EY is acting as the Independent Registered Public Accounting Firm for UBS AG Item 13B ICE Clear Credit LLC 353 North Clark Street, Suite 3100 Chicago IL 60654 07-16-2011 clearing credit default swaps Item 13B ICE CLEAR EUROPE LIMITED 5th floor Milton Gate, 60 Chiswell St London X0 EC1Y 4SA 06-27-2012 clearing credit default swaps Item 13B UBS Securities LLC 0223988 1285 Avenue of the Americas New York NY 10019 06-02-2017 affiliate of applicant that employs SBS Associated Persons executing SBS on behalf of the applicant Item 13B UBS Europe SE 0518390 Bockenheimer Landstrasse 2-4 OpernTurm Frankfurt am Main 2M 60306 06-02-2017 affiliate of applicant that employs SBS Associated Persons executing SBS on behalf of the applicant Item 14 UBS Group AG 0001610520 Bahnhofstrasse 45 Zurich V8 8001 06-10-2014 Applicant relies upon a combination of depositor funds, equity financing provided by its parent company, UBS Group AG, public offerings of securities made pursuant to the Securities Act of 1933 or in exempted overseas offerings, and credit extended in the ordinary course of business by banks and others to finance its business Item 14 Sergio Pietro Ermotii 0451081 Bahnhofstrasse 45 Zurich V8 8001 04-01-2023 Mr. Ermotti is the President of the Executive Board and the CEO of the parent company, UBS AG 2020 to 04/2023, final position: Chairman of the Board of Directors at Swiss Re. Item 14 Todd Tuckner Bahnofstrasse 45 Zurich V8 8001 06-01-2023 Mr. Tuckner is the Chief Financial Officer. From June 2023 to present as Group CFO of UBS Group AG and CFO of UBS AG. From May 2023 to present as Member of the Group Executive Board of UBS Group AG and UBS AG. From 2020 to 2023 as CFO for Global Wealth Management. From 2016 to 2021 as Group Controller and Chief Accounting Officer. From 2009 to 2012 as Group Head Tax and Accounting Policy. From 2012 to 2019 as Group Finance Chief Operating Officer. From 2004 to 2009 as Group Head Tax Americas. Item 14 Damian Vogel Bahnofstrasse 45 Zurich V8 8001 07-01-2024 Mr. Vogel is the Chief Risk Officer. From July 2024 to present as Group Chief Risk Officer. From July 2024 to present as Member of the Group Executive Board of UBS Group AG and UBS AG. From June 2023 to June 2024 as Chief Risk Officer, Credit Suisse AG; From May 2023 to June 2024 as Group Risk Control Head Integration. From 2018 to April 2023 as Chief Risk Officer Global Wealth Management. From 2016 to January 2018 as Member of the Executive Board of UBS Switzerland AG. From 2016 to January 2018 as Chief Risk Officer UBS Switzerland AG. From 2016 to January 2018 as Chief Risk Officer Personal and Corporate Banking and Region Switzerland Item 15 UBS Group AG 0001610520 Bahnhofstrasse 45 Zurich V8 8001 06-10-2014 Applicant relies upon a combination of depositor funds, equity financing provided by its parent company, UBS Group AG, public offerings of securities made pursuant to the Securities Act of 1933 or in exempted overseas offerings, and credit extended in the ordinary course of business by banks and others to finance its business UBS AG 338960 Firm UBS AG, Stamford Branch 600 Washington Boulevard Stamford CT 06901 Richard Kennedy Richard Kennedy Chief Compliance Officer 10-29-2021 Australian Securities and Investment Commission AFSL 231087 C3 Cayman Islands Monetary Authority 98020 E9 Dubai Financial Services Authority F000321 C0 Financial Conduct Authority 186958 X0 Financial Sector Conduct Authority T3 Financial Services Agency 1232 2723 605 M0 Hong Kong Monetary Authority 003 K3 Jersey Financial Services Commission DC0182 FSB0866 IB0132 MSB0121 Y9 Monetary Authority Singapore U0 Swiss Financial Market Supervisory Authority V8 Prudential Regulation Authority (PRA) 186958 X0 Australian Prudential Regulation Authority (APRA) ARBN 088 129 613 C3 Bank of Japan (BOJ) M0 Ministry of Finance (Japan) M0 Securities and Futures Commission (Hong Kong) AEP554 K3 Singapore Exchange Derivatives Clearing Limited (SGX-DC) U0 Singapore Exchange Derivatives Trading Limited (SGX-DT) U0 The Financial Futures Association of Japan (FFA) 0412 M0 Japan Securities Dealers Association (JSDA) M0 Financial Supervisory Commission of Taiwan 106013 F5 05-07-2026 UBS AG Marco Valla Marco Valla Co President, UBS Investment Bank