We're using cookies, but you can turn them off in your browser settings. Otherwise, you are agreeing to our use of cookies. Learn more in our Privacy Policy

Bridge over ocean
1 May 1992 Financial Analysts Journal Volume 48, Issue 3

Optimal Exercise of the Over-Allotment Option in IPOs

  1. Chris J. Muscarella
  2. John W. Peavy
  3. Michael R. Vetsuypens

The over-allotment option allows underwriters to purchase up to 15% additional shares beyond the number of registered shares in an initial public offering (IPO). This option protects underwriters from potential losses resulting from overselling the IPO. The actual exercise patterns of these options in samples of closed-end-fund IPOs and industrial IPOs shows that underwriters rationally exercise the options when they are "in-the money".

Read the Complete Article in Financial Analysts Journal Financial Analysts Journal CFA Institute Member Content