medium · Asset-Backed Securities collateral

An investor holds a premium-priced Agency MBS. If interest rates fall, the investor faces 'Negative Convexity'.

Which scenario best illustrates the mathematical impact on the investor's return?

  1. The investor is forced to pay a contractual 'yield maintenance' penalty to the servicer, which offsets the lost interest income from all the prepaying loans.
  2. The 'available funds cap' mechanism is triggered, sharply limiting the interest rate paid to investors even as market rates for newly-originated loans keep dropping fast.
  3. Prepayments accelerate, forcing the investor to reinvest principal at lower rates while the 'premium' paid for the bond is amortized faster than expected, reducing yield.
  4. The bond's effective duration extends further as rates fall, making the position increasingly sensitive to additional declines and boosting the investor's realized capital gains.

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