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Auctions vs. Bookbuilding and the Control of Underpricing in Hot IPO Markets

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Author Info
FranÁois Derrien
Kent L. Womack
Abstract

Market returns before the offer price is set affect the amount and variability of initial public offering (IPO) underpricing. Thus an important question is "What IPO procedure is best adapted for controlling underpricing in "hot" versus "cold" market conditions?" The French stock market offers a unique arena for empirical research on this topic, since three substantially different issuing mechanisms (auctions, bookbuilding, and fixed price) are used there. Using 1992--1998 data, we find that the auction mechanism is associated with less underpricing and lower variance of underpricing. We show that the auction procedure's ability to incorporate more information from recent market conditions into the IPO price is an important reason. 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: 31-61
Download reference. The following formats are available: HTML (with abstract), plain text (with abstract), BibTeX, RIS (EndNote, RefMan, ProCite), ReDIF
Handle: RePEc:oup:rfinst:v:16:y:2003:i:1:p:31-61

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  1. Hoa Nguyen & William Dimovski & Robert Brooks, 2007. "Underpricing, Risk Management, Hot Issue and Crowding out Effects: Evidence from the Australian Resources Sector Initital Public Offerings," Accounting, Finance, Financial Planning and Insurance Series 2007_17, Deakin University, Faculty of Business and Law, School of Accounting, Economics and Finance. [Downloadable!]
  2. Abdullah Al-Hassan & Mohammed Omran & Fernando-Luciano Delgado-Fernández, 2007. "IPO Behavior in GCC Countries: Goody-Two Shoes or Bad-to-the-Bone?," IMF Working Papers 07/149, International Monetary Fund. [Downloadable!]
  3. Matt Pritsker, 2005. "A Fully-Rational Liquidity-Based Theory of IPO Underpricing and Underperformance," Computing in Economics and Finance 2005 414, Society for Computational Economics. [Downloadable!]
  4. François Degeorge & François Derrien & Kent L. Womack, 2004. "Quid Pro Quo in IPOs: Why Book-building is Dominating Auctions," Working Papers 2004.150, Fondazione Eni Enrico Mattei. [Downloadable!]
    Other versions:
  5. Matthew Pritsker, 2006. "A fully-rational liquidity-based theory of IPO underpricing and underperformance," Finance and Economics Discussion Series 2006-12, Board of Governors of the Federal Reserve System (U.S.). [Downloadable!]
  6. Bourjade, Sylvain, 2002. "Diversification of Investor's Expertise in IPOs
    [Information diversification prior to an IPO]
    ," MPRA Paper 7259, University Library of Munich, Germany, revised Dec 2007. [Downloadable!]
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This page was last updated on 2009-11-28.


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