UBS reports all transactions in UBS shares made by the BoD, GEB and persons closely associated with them. Reported transactions also include all types of financial instruments whose price is primarily influenced by UBS shares. Until May 15, 2008, the disclosure did not contain the individuals' names and did not include transcactions executed by closely associated persons.
UBS executives receive a majority of their compensation in UBS shares or options. For this reason, management transactions will, in general, see sales outweighing purchases. Blackout periods and synchronized dates for unblocking or vesting of shares or options granted as compensation may lead to transactions being concentrated in short periods.
All senior managers, including the independent members of the Board of Directors, are subject to a policy that specifically requires pre-approval of all transactions in UBS shares and related instruments by the firm's compliance organization.
A complete list of UBS management transactions can be found on the website of the German regulator BaFin which includes the option of an Excel export in the .csv format (in German only).
A search functionality for management transactions is provided on the London Stock Exchange website. Please enter "UBS" into the entry field, select "transactions in own shares" from the "headline type" dropdown menu and choose the required time period.
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