<PAGE> 1
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON 2 OCTOBER 2000
REGISTRATION NO. 333-46216
333-46216-01
333-46216-02
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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM F-1
AMENDMENT NO. 2 TO
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
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<TABLE>
<CAPTION>
UBS AG UBS PREFERRED FUNDING TRUST I
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
<S> <C> <C> <C> <C> <C>
SWITZERLAND 6021 98-0186363 DELAWARE 6712 51-6518252
(STATE OR OTHER (PRIMARY (I.R.S. (STATE OR OTHER (PRIMARY (I.R.S. EMPLOYER
JURISDICTION OF STANDARD EMPLOYER JURISDICTION OF STANDARD IDENTIFICATION
INCORPORATION OR INDUSTRIAL IDENTIFICATION INCORPORATION OR INDUSTRIAL NUMBER)
ORGANIZATION) CLASSIFICATION NUMBER) ORGANIZATION) CLASSIFICATION
CODE NUMBER) CODE NUMBER)
<CAPTION>
UBS PREFERRED FUNDING
COMPANY LLC I
(EXACT NAME OF REGISTRA (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
<S> <C> <C> <C>
SWITZERLAND DELAWARE 6712 51-04802885
(STATE OR OTHER (STATE OR OTHER (PRIMARY (I.R.S. EMPLOYER
JURISDICTION OF JURISDICTION OF STANDARD IDENTIFICATION
INCORPORATION OR INCORPORATION OR INDUSTRIAL NUMBER)
ORGANIZATION) ORGANIZATION) CLASSIFICATION
CODE NUMBER)
</TABLE>
<TABLE>
<S> <C> <C>
BAHNHOFSTRASSE 45, ZURICH, C/O WILMINGTON TRUST COMPANY THE CORPORATION TRUST COMPANY
SWITZERLAND, 011 41-1-234 11 11 AND 1100 NORTH MARKET STREET 1209 ORANGE STREET
AESCHENVORSTADT 1, BASEL, WILMINGTON, DELAWARE 19890 WILMINGTON, DELAWARE 19801
SWITZERLAND, 011 41-61-288 20 20 302-651-1118 302-658-7581
(ADDRESS AND TELEPHONE NUMBER OF (ADDRESS AND TELEPHONE NUMBER OF (ADDRESS AND TELEPHONE NUMBER OF
REGISTRANT'S PRINCIPAL EXECUTIVE REGISTRANT'S PRINCIPAL EXECUTIVE REGISTRANT'S PRINCIPAL EXECUTIVE
OFFICES) OFFICES) OFFICES)
</TABLE>
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ROBERT C. DINERSTEIN, ESQ.
UBS AG
299 PARK AVENUE
NEW YORK, NEW YORK 10171
TELEPHONE: 212-821-3000
(NAME, ADDRESS AND TELEPHONE NUMBER OF AGENT FOR SERVICE)
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COPIES TO:
<TABLE>
<S> <C>
MARK J. WELSHIMER, ESQ. JEFFREY D. BERMAN, ESQ.
SULLIVAN & CROMWELL DAVIS POLK & WARDWELL
125 BROAD STREET 450 LEXINGTON AVENUE
NEW YORK, NY 10004-2498 NEW YORK, NY 10017
212-558-4000 212-450-4000
</TABLE>
APPROXIMATE DATE OF COMMENCEMENT OF PROPOSED SALE TO THE PUBLIC: As soon as
practicable after this Registration Statement becomes effective.
If any of the securities being registered on this Form are to be offered on
a delayed or continuous basis pursuant to Rule 415 under the Securities Act,
check the following box. [ ]
If this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, check the following box and
list the Securities Act registration statement number of the earlier effective
registration statement for the same offering. [ ] ____________
If this Form is a post-effective amendment filed pursuant to Rule 462(c)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. [ ] ____________
If this Form is a post-effective amendment filed pursuant to Rule 462(d)
under the Securities Act, check the following box and list the Securities Act
registration statement number of the earlier effective registration statement
for the same offering. [X] 333-46216, 333-46216-01 and 333-46216-02
If delivery of the prospectus is expected to be made pursuant to Rule 434,
please check the following box. [ ]
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CALCULATION OF REGISTRATION FEE
<TABLE>
<CAPTION>
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PROPOSED MAXIMUM PROPOSED
TITLE OF EACH CLASS OF AMOUNT TO BE OFFERING PRICE MAXIMUM AGGREGATE AMOUNT OF
SECURITIES TO BE REGISTERED REGISTERED(1)(2) PER UNIT(1)(2) OFFERING PRICE(1)(2) REGISTRATION FEE(2)
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<S> <C> <C> <C> <C>
8.622% Noncumulative Trust Preferred
Securities issued by UBS Preferred
Funding Trust I...................... 1,500,000 $1,000 $1,500,000,000 (3)
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8.622% Noncumulative Company
Preferred Securities issued by UBS
Preferred Funding Company LLC I...... 1,500,000 $1,000 $1,500,000,000 0
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Subordinated Guarantee of UBS AG with
respect to the Company Preferred
Securities........................... 0
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</TABLE>
(1) Estimated solely for the purpose of computing the registration fee.
(2) No separate consideration will be received for the company preferred
securities of UBS Preferred Funding Company LLC I or the subordinated
guarantee of UBS AG. Pursuant to Rule 457(n) under the Securities Act of
1933, no separate fee is payable with respect to these securities.
(3) The total amount of the registration fee is $396,000, of which $330,000 was
paid upon the initial filing of the registration statement and $66,000 was
paid upon the filing of Amendment No. 1 to the registration statement.
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This registration statement contains a prospectus relating to both of the
following: the offering of newly issued trust preferred securities and company
preferred securities; and market-making transactions that may occur on an
ongoing basis in trust preferred securities and company preferred securities
that have been previously issued in the offering described above.
When the prospectus is delivered to an investor in the initial offering
described above, the investor will be informed of that fact in the confirmation
of sale. When the prospectus is delivered to an investor who is not so informed,
it is delivered in a market-making transaction.
THE REGISTRANTS HEREBY AMEND THIS REGISTRATION STATEMENT ON SUCH DATE OR
DATES AS MAY BE NECESSARY TO DELAY ITS EFFECTIVE DATE UNTIL THE REGISTRANTS
SHALL FILE A FURTHER AMENDMENT WHICH SPECIFICALLY STATES THAT THIS REGISTRATION
STATEMENT SHALL THEREAFTER BECOME EFFECTIVE IN ACCORDANCE WITH SECTION 8(a) OF
THE SECURITIES ACT OF 1933 OR UNTIL THIS REGISTRATION STATEMENT SHALL BECOME
EFFECTIVE ON SUCH DATE AS THE COMMISSION, ACTING PURSUANT TO SAID SECTION 8(a),
MAY DETERMINE.
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<PAGE> 2
EXPLANATORY NOTE
The sole purpose of this post-effective Amendment No. 2 is to file Exhibit 25.2
to the Registration Statement. No changes have been made to the Registration
Statement other than to Item 16 (Exhibits and Financial Statement Schedules) of
Part II.
Part II
INFORMATION NOT REQUIRED IN PROSPECTUS
The Registrant hereby modifies Item 16 of Part II of the Registration Statement
for the purpose of adding the following exhibit:
25.2 Statement of Eligibility of Guarantee Trustee.
<PAGE> 3
PART II
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, UBS AG certifies
that it has reasonable grounds to believe that it meets all of the requirements
for filing on Form F-1 and has duly caused this registration statement or
amendment to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of New York, in the State of New York, on 2 October
2000.
UBS AG
By: /s/ ROBERT MILLS
------------------------------------
Name: Robert Mills
Title: Chief Financial
Officer -- Americas
and Regional Chief
Operating Officer
Pursuant to the requirements of the Securities Act of 1933, as amended, this
registration statement or amendment has been signed below by the following
persons in the capacities and on the dates indicated.
<TABLE>
<CAPTION>
NAME TITLE DATE
------------------------------------------------------------------------------------------------------
<C> <S> <C>
* President and Group Chief 2 October 2000
--------------------------------------------------- Executive Officer
Marcel Ospel
* Chief Financial Officer 2 October 2000
---------------------------------------------------
Luqman Arnold
* Group Controller and Member of 2 October 2000
--------------------------------------------------- Group Managing Board
Hugo Schaub
* Chairman and Member of Board of 2 October 2000
--------------------------------------------------- Directors
Alex Krauer
* First Vice Chairman and Member of 2 October 2000
--------------------------------------------------- Board of Directors
Alberto Togni
* Second Vice Chairman and Member 2 October 2000
--------------------------------------------------- of Board of Directors
Markus Kundig
* Member of Board of Directors 2 October 2000
---------------------------------------------------
Peter Bockli
* Member of Board of Directors 2 October 2000
---------------------------------------------------
Rolf A. Meyer
* Member of Board of Directors 2 October 2000
---------------------------------------------------
Hans Peter Ming
* Member of Board of Directors 2 October 2000
---------------------------------------------------
Andreas Reinhart
* Member of Board of Directors 2 October 2000
---------------------------------------------------
Eric Honegger
/s/ ROBERT MILLS 2 October 2000
---------------------------------------------------
*By Robert Mills as attorney-in-fact
</TABLE>
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<PAGE> 4
PART II
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Pursuant to the requirements of Section 6(a) of the Securities Act of 1933, the
Authorized Representative has duly caused this registration statement or
amendment to be signed on its behalf by the undersigned, solely in its capacity
as the duly authorized representative of UBS AG, in the United States, in The
City of New York, State of New York, on 2 October 2000.
By: /s/ ROBERT MILLS
------------------------------------
Name: Robert Mills
Title: Chief Financial
Officer -- Americas
and Regional Chief
Operating Officer
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<PAGE> 5
PART II
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, UBS Preferred
Funding Trust I certifies that it has reasonable grounds to believe that it
meets all of the requirements for filing on Form F-1 and has duly caused this
registration statement or amendment to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of New York, State of New
York, on 2 October 2000.
UBS Preferred Funding Trust I
By: UBS Preferred Funding Company LLC
I
By: /s/ ROBERT MILLS
----------------------------------
Name: Robert Mills
Title: President and Managing
Director
Pursuant to the requirements of the Securities Act of 1933, this registration
statement or amendment has been signed by the following persons in the
capacities and on the dates indicated.
<TABLE>
<CAPTION>
NAME TITLE DATE
------------------------------------------------------------------------------------------------------
<S> <C> <C>
UBS Preferred Funding Grantor 2 October 2000
Company LLC I
By: /s/ ROBERT MILLS 2 October 2000
----------------------------------------------
Name: Robert Mills
Title: President and Managing Director
</TABLE>
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<PAGE> 6
PART II
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, UBS Preferred
Funding Company LLC I certifies that it has reasonable grounds to believe that
it meets all of the requirements for filing on Form F-1 and has duly caused this
registration statement or amendment to be signed on its behalf by the
undersigned, thereunto duly authorized, in the City of New York, State of New
York, on 2 October 2000.
UBS Preferred Funding Company LLC I
By: /s/ ROBERT MILLS
------------------------------------
Name: Robert Mills
Title: President and Managing
Director
Pursuant to the requirements of the Securities Act of 1933, as amended, this
registration statement or amendment has been signed below by the following
persons in the capacities and on the dates indicated.
<TABLE>
<CAPTION>
NAME TITLE DATE
------------------------------------------------------------------------------------------------------
<C> <S> <C>
/s/ ROBERT MILLS President and Managing Director 2 October 2000
---------------------------------------------------
Robert Mills
* Treasurer and Director 2 October 2000
---------------------------------------------------
Per Dyrvik
* Secretary and Director 2 October 2000
---------------------------------------------------
Robert Dinerstein
/s/ ROBERT MILLS 2 October 2000
---------------------------------------------------
* By Robert Mills as attorney-in-fact
</TABLE>
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