Full text of UBS ASSET MANAGEMENT (US) INC.'s X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### FIN AN CI AL ST <sup>A</sup> <sup>T</sup> EMEN TS AND SUPPLEMENTARY I NF OR MATION UBS Asset Management (US) Inc. (A Subsidiary of UBS Americas Inc.) Year Ended December 31, 2021 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION** Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER 008-21901 **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | A. REGISTRANT IDENTIFICATION | | | | | |------------------------------|------------------------|--|--|--| | | MM/DD/VY | | | | | ---------<br>AND ENDING | ----------<br>12/31/21 | | | | | | | | | | NAME OF FIRM: UBS Asset Management (US) Inc. TYPE OF REGISTRANT (check all applicable boxes): k1 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer D Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | 1285 Avenue of the Americas | | | | |----------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------|-----------------|------------------------| | | {No. and Street) | | | | New York | NY | | 10019 | | {City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Earl Lafontant | 201-3528336 | | earl.lafontant@ubs.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | EY, Ernst & Young LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | | | 155 North Wacker Drive | Chicago | IL | 60606-1787 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003<br>l" | | 42 | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of information coliltained in this form are not requ…Read the full text as markdown