SEC Company Response from UBS Group AG (UBS) (CIK 0001610520) (UBS) — Oct 9, 2014
UBS Group AG (UBS) (CIK 0001610520)
Date: Oct. 9, 2014 · CIK: 0001610520 · Accession: 0001193125-14-367796
AI Filing Summary & Sentiment
Reasoning
File numbers found in text: 333-199011
Letter
VIA EDGAR FILING AND EMAIL Division of Corporation Finance Attention: Suzanne Hayes Re: UBS Group AG Registration Statement on Form F-4, as amended (File No. 333-199011) Acceleration Request Requested Date: October 10, 2014 Requested Time: 12:00 PM Eastern Time
Dear Ms. Hayes:
Pursuant to Rule 461 under the Securities Act of 1933, as amended, UBS Group AG (“Registrant”) hereby requests that the Securities and Exchange Commission (the “Commission”) declare the above-captioned Registration Statement on Form F-4 effective at the “Requested Date” and “Requested Time” set forth above or as soon thereafter as practicable.
The Registrant hereby authorizes David B. Rockwell of Sullivan & Cromwell LLP, the Registrant’s legal counsel, to orally modify or withdraw this request for acceleration.
The Registrant hereby acknowledges that:
•
should the Commission or the staff of the Commission (the “Staff”), acting pursuant to delegated authority, declare the filing effective, it does not foreclose the Commission from taking any action with respect to the filing;
•
the action of the Commission or the Staff, acting pursuant to delegated authority, in declaring the filing effective, does not relieve the Registrant from its full responsibility for the adequacy and accuracy of the disclosure in the filing; and
•
the Registrant may not assert Staff comments and the declaration of effectiveness as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States.
The Registrant respectfully requests that it be notified of such effectiveness by a telephone call to Mr. Rockwell at +44 20 7959 8575. Please also provide a copy of the Commission’s order declaring the Registration Statement on Form F-4 effective to Mr. Rockwell via email at rockwelld@sullcrom.com and via mail at 1 New Fetter Lane, London EC4A 1AN, United Kingdom.
Sincerely,
UBS Group AG
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CORRESP 1 filename1.htm Correspondence October 9, 2014 VIA EDGAR FILING AND EMAIL U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Attention: Suzanne Hayes Re: UBS Group AG Registration Statement on Form F-4, as amended (File No. 333-199011) Acceleration Request Requested Date: October 10, 2014 Requested Time: 12:00 PM Eastern Time Dear Ms. Hayes: Pursuant to Rule 461 under the Securities Act of 1933, as amended, UBS Group AG (“Registrant”) hereby requests that the Securities and Exchange Commission (the “Commission”) declare the above-captioned Registration Statement on Form F-4 effective at the “Requested Date” and “Requested Time” set forth above or as soon thereafter as practicable. The Registrant hereby authorizes David B. Rockwell of Sullivan & Cromwell LLP, the Registrant’s legal counsel, to orally modify or withdraw this request for acceleration. The Registrant hereby acknowledges that: • should the Commission or the staff of the Commission (the “Staff”), acting pursuant to delegated authority, declare the filing effective, it does not foreclose the Commission from taking any action with respect to the filing; • the action of the Commission or the Staff, acting pursuant to delegated authority, in declaring the filing effective, does not relieve the Registrant from its full responsibility for the adequacy and accuracy of the disclosure in the filing; and • the Registrant may not assert Staff comments and the declaration of effectiveness as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States. The Registrant respectfully requests that it be notified of such effectiveness by a telephone call to Mr. Rockwell at +44 20 7959 8575. Please also provide a copy of the Commission’s order declaring the Registration Statement on Form F-4 effective to Mr. Rockwell via email at rockwelld@sullcrom.com and via mail at 1 New Fetter Lane, London EC4A 1AN, United Kingdom. Sincerely, UBS Group AG By: /s/ David Kelly Name: David Kelly Title: Managing Director By: /s/ Sarah Starkweather Name: Sarah Starkweather Title: Executive Director CC: Michele Anderson Christina Chalk (Securities and Exchange Commission) David B. Rockwell Lucas H. Carsley (Sullivan & Cromwell LLP)