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The Role of Lockups in Initial Public Offerings

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Author Info
Alon Brav
Paul A. Gompers

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Abstract

In a sample of 2,794 initial public offerings (IPOs), we test three potential explanations for the existence of IPO lockups: lockups serve as (i) a signal of firm quality, (ii) a commitment device to alleviate moral hazard problems, or (iii) a mechanism for underwriters to extract additional compensation from the issuing firm. Our results support the commitment hypothesis. Insiders of firms that are associated with greater potential for moral hazard lockup their shares for a longer period of time. Insiders of firms that have experienced larger excess returns, are backed by venture capitalists, or go public with high-quality underwriters are more likely to be released from the lockup restrictions. Copyright 2003, Oxford University Press.

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Publisher Info
Article provided by Oxford University Press for Society for Financial Studies in its journal The Review of Financial Studies.

Volume (Year): 16 (2003)
Issue (Month): 1 ()
Pages: 1-29
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Handle: RePEc:oup:rfinst:v:16:y:2003:i:1:p:1-29

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  1. Branko Urosevic, 2001. "Moral Hazard and Dynamics of Insider Ownership Stakes," Economics Working Papers 787, Department of Economics and Business, Universitat Pompeu Fabra, revised Oct 2004. [Downloadable!]
  2. Angenendt, P-P & Goergen, M. & Renneboog,, 2005. "Shareholder lock-in contracts : share price and trading volume effects at the lock-in expiry," Discussion Paper 30, Tilburg University, Tilburg Law and Economic Center. [Downloadable!]
    Other versions:
  3. OZERTURK, Saltuk, 2006. "Hedge markets for executives and corporate agency," CORE Discussion Papers 2006009, Université catholique de Louvain, Center for Operations Research and Econometrics (CORE). [Downloadable!]
  4. Wolfgang Bessler & Andreas Kurth, 2007. "Agency Problems and the Performance of Venture-backed IPOs in Germany: Exit Strategies, Lock-up Periods, and Bank Ownership," European Journal of Finance, Taylor and Francis Journals, vol. 13(1), pages 29-63, January. [Downloadable!] (restricted)
  5. Aggarwal, Reena & Klapper, Leora, 2003. "Ownership structure and initial public offerings," Policy Research Working Paper Series 3103, The World Bank. [Downloadable!]
  6. Harrison Hong & Jose Scheinkman & Wei Xiong, 2005. "Asset Float and Speculative Bubbles," Levine's Bibliography 122247000000000861, UCLA Department of Economics. [Downloadable!]
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  7. Goergen, M. & Renneboog, L.D.R. & Khurshed, A., 2004. "Shareholder lockup agreements in the European new markets," Discussion Paper 121, Tilburg University, Center for Economic Research. [Downloadable!]
  8. Steven Zheng & Joseph Ogden & Frank Jen, 2005. "Pursuing Value Through Liquidity in IPOs: Underpricing, Share Retention, Lockup, and Trading Volume Relationships," Review of Quantitative Finance and Accounting, Springer, vol. 25(3), pages 293-312, November. [Downloadable!] (restricted)
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