medium · Investment Banking

An IPO is priced at 15.00 with a15%over-allotment. The stock immediately 'pops' to20.00. The underwriters exercise the shoe.

What is the 'cost' to the company of issuing these shares at 15.00 instead of the market price of20.00?

  1. The company must pay a 'penalty fee' to the underwriters to exercise the shoe.
  2. There is no cost because the company received the exact price it negotiated.
  3. The 5.00 difference per share is considered 'money left on the table.'
  4. The cost is recorded as a 'derivative loss' on the income statement.

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