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Capital-Instruments-Key-Features-Table Capital instruments of UBS Group AG (consolidated) and UBS AG (consolidated and standalone) as of 31 March 2016 Key features Ordered by issuance date within each category Based on Swiss SRB Basel III phase-in requirements Issued on 4 May 2016 Share capital Additional Tier 1 capital instruments (Basel III compliant) Additional Tier 1 capital / Tier 2 capital instruments in the form of hybrid instruments and related subordinated notes (non-Basel III compliant) UBS Group AG, Switzerland, or other employing UBS Group AG, Switzerland, or other UBS Preferred Funding Trust IV UBS AG, Switzerland UBS Preferred Funding Trust V UBS AG, Switzerland 1 Issuer (country of incorporation; if applicable, branch) UBS Group AG, Switzerland UBS AG, Switzerland UBS Group AG, Switzerland UBS Group AG, Switzerland UBS Group AG, Switzerland UBS Group AG, Switzerland UBS AG, Switzerland UBS Group AG, Switzerland UBS AG, Switzerland entities of the Group employing entities of the Group Delaware, US Cayman branch Delaware, US Cayman branch 1a Instrument number 001 002 003 004 005 006 007 008 009 010 011 012 013 014 015 2 Unique identifier (e.g. ISIN) ISIN: CH0244767585 ISIN: CH0024899483 - ISIN: CH0271428309 ISIN: CH0271428317 ISIN: CH0271428333 ISIN: CH0286864027 - - ISIN: CH0317921697 - ISIN: US90263W2017 - ISIN: US90264AAA79 - 3 Governing law(s) of the instrument Swiss Swiss Swiss / NY, US Swiss law Swiss law Swiss law Swiss law Swiss law Swiss / NY, US Swiss law Swiss law Delaware, US NY, US Delaware, US NY, US Regulatory treatment 4 Transitional Basel III rules Common Equity Tier 1 Common Equity Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Tier 2 Additional Tier 1 Tier 2 5 Post-transitional Basel III rules Common Equity Tier 1 Common Equity Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Additional Tier 1 Ineligible Ineligible Ineligible Ineligible UBS AG (consolidated), UBS AG UBS Group AG (consolidated) and UBS AG UBS Group AG (consolidated) and UBS AG 6 Eligible at solo/group/group&solo UBS Group AG (consolidated) UBS Group AG (consolidated) UBS Group AG (consolidated) UBS Group AG (consolidated) UBS Group AG (consolidated) UBS Group AG (consolidated) UBS AG (consolidated and standalone) UBS Group AG (consolidated) UBS Group AG (consolidated) UBS AG (consolidated and standalone) UBS AG (standalone) UBS AG (standalone) (standalone) (consolidated) (consolidated) Contingent cash payment / security Contingent cash payment / security delivery Trust preferred securities Trust preferred securities 7 Instrument type Ordinary shares Ordinary shares Tier 1 Capital Notes Tier 1 Capital Notes Tier 1 Capital Notes Tier 1 Capital Notes Loan (6) delivery obligation towards employees Tier 1 Capital Notes Loan (6) Subordinated note Subordinated note obligation towards employees (DCCP) (hybrid instruments) (hybrid instruments) (DCCP) Amount recognized in regulatory capital (Currency in mil, 8 CHF 385.0 (2) CHF 385.8 (2) CHF 465.9 CHF 1,110.7 CHF 1,224.4 CHF 1,249.7 CHF 1,594.2 CHF 1,201.5 CHF 494.8 CHF 1,445.7 CHF 1,441.8 CHF 287.9 CHF 287.9 CHF 961.2 CHF 961.2 as of most recent financial reporting date) 9 Outstanding amount (par value, million) CHF 385.0 (3) CHF 385.8 (3) CHF 465.9 (4) EUR 1,000 USD 1,250 USD 1,250 USD 1,575 USD 1,250 CHF 494.8 (4) USD 1,500 USD 1,500 USD 300 USD 300 USD 1,000 USD 1,000 Not part of the consolidation scope of UBS Not part of the consolidation scope of UBS Equity attributable to UBS Group Equity attributable to UBS AG Equity attributable to preferred 10 Accounting classification (1) Other liabilities Debt issued held at amortized cost Debt issued held at amortized cost Debt issued held at amortized cost Debt issued held at amortized cost Due to customers Other liabilities Debt issued held at amortized cost Due to customers Group AG's or UBS AG's financial statements Group AG's or UBS AG's financial statements Equity attributable to preferred noteholders AG shareholders shareholders noteholders under IFRS (8) under IFRS (8) 11 Original date of issuance - - 31 December 2014 (5) 19 February 2015 19 February 2015 19 February 2015 07 August 2015 26 November 2015 (7) 31 December 2015 (5) 21 March 2016 21 March 2016 23 May 2003 23 May 2003 12 May 2006 12 May 2006 12 Perpetual or dated - - Perpetual (4) Perpetual Perpetual Perpetual Perpetual Perpetual Perpetual (4) Perpetual Perpetual Perpetual Perpetual Perpetual Perpetual 13 Original maturity date - - - - - - - - - - - - - - - 14 Issuer call subject to prior supervisory approval - - Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes First redemption date: 15 May 2016 First optional redemption date: 19 February First optional redemption date: 19 February First optional redemption date: 19 February First optional redemption date: 22 March First optional redemption date: 22 March First redemption date: 15 June 2008 First call date: 1 March 2021 2022 2020 First optional redemption date: 19 February 2025 First optional redemption date: 7 August 2025 2020 2021 2021 Subsequent optional redemption dates: on the First call date: 1 March 2020 Subsequent optional redemption dates: on the first business day on or after 15 August, 15 First redemption date: 15 May 2016 At the issuer's sole and absolute First redemption date: 15 June 2008 Subsequent optional redemption dates: Any Subsequent optional redemption dates: Any Subsequent optional redemption dates: Any other Subsequent optional redemption dates: Any other Subsequent optional redemption dates: Any Subsequent optional redemption dates: Any Subsequent optional redemption dates: first business day on or after the 15th of each November, 15 February and 15 May of each At the issuer's sole and absolute discretion, discretion, settlement by means of either other Interest Payment Date after the First Call other Interest Payment Date after the First Call Interest Payment Date after the First Call Date Interest Payment Date after the First Call Date other Interest Payment Date after the First Call other Interest Payment Date after the First Any other Interest Payment Date after the month year Subsequent optional redemption dates: on settlement by means of either (i) payment of a (i) payment of a cash amount equal to the Subsequent optional redemption dates: on Date Date Date Call Date First Call Date the first business day on or after 15 August, Optional call date, subsequent call dates, if applicable, cash amount equal to the value of the Notional value of the Notional Bond, or (ii) transfer the first business day on or after the 15th 15 - - Subject to satisfaction of Conditions for Subject to satisfaction of Conditions for Redemption price: 100% of the liquidation Redemption price: 100% of the liquidation 15 November, 15 February and 15 May of and redemption amount Bond, or (ii) transfer of perpetual AT1 instruments of perpetual AT1 instruments in such of each month Subject to satisfaction of Conditions for Subject to satisfaction of Conditions for Redemption Redemption Subject to satisfaction of Conditions for Subject to satisfaction of Conditions for Subject to satisfaction of Conditions for preference; plus unpaid dividends with respect preference; unpaid dividends with respect to the each year in such amount equivalent to the value of, and on amount equivalent to the value of, and on Redemption Redemption Redemption Redemption Redemption to the current dividend period (whether or not current dividend period (whether or not substantially the same terms and conditions of, substantially the same terms and Redemption price: 100% of principal Redemption amount: Aggregate principal Redemption amount: Aggregate principal declared); and unpaid definitive dividends for declared); and unpaid definitive dividends for Redemption price: 100% of principal the Notional Bond (in both cases, net of conditions of, the Notional Bond (in both amount plus accrued but unpaid interest Redemption amount: Aggregate principal Redemption amount: Aggregate principal amount, together with any accrued and unpaid amount, together with any accrued and unpaid Redemption amount: Aggregate principal Redemption amount: Aggregate principal Redemption amount: Aggregate principal any prior dividend period, without interest and any prior dividend period, without interest and amount plus accrued but unpaid interest applicable taxes and social securities contributions) cases, net of applicable taxes and social amount, together with any accrued and unpaid amount, together with any accrued and unpaid interest thereon interest thereon amount, together with any accrued and amount, together with any accrued and amount, together with any accrued and without accumulation of unpaid nondefinitive without accumulation of unpaid nondefinitive securities contributions) interest thereon interest thereon unpaid interest thereon unpaid interest thereon unpaid interest thereon dividends for any prior dividend period dividends for any prior dividend period Redeemable in case of a Tax Event, an Investment Company Act Event or a Capital Early redemption possible due to a Tax or Early redemption possible due to a Tax or Redeemable in case of a Tax Event, an Redeemable in case of a Tax Event, an Event Regulatory Event. Subject to satisfaction of Regulatory Event. Subject to satisfaction of Investment Company Act Event or a Capital Investment Company Act Event or a Capital Conditions for Redemption. Redemption Conditions for Redemption. Redemption amount: Event Early redemption possible due to a Tax or Early redemption possible due to a Tax or Early redemption possible due to a Tax or Event Redemption price: in case of a Tax Event amount: aggregate principal amount, together aggregate principal amount, together with Redeemable in case of a Tax Event, an Regulatory Event. Subject to satisfaction of Regulatory Event. Subject to satisfaction of Regulatory Event.
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