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Capitalization of Capital Gains Taxes: Evidence from Stock Price Reactions to the 1997 Rate Reduction

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Author Info
Mark H. Lang
Douglas A. Shackelford
Abstract

We empirically document that stock prices moved inversely with dividend yields during the May, 1997 week, when the White House and Congress agreed on a budget accord that included a reduction in the capital gains tax rate. The share prices of firms not currently paying dividends increased approximately 6 percentage points more over a five-day window than the share prices of other firms. Among firms paying dividends, the change in share prices was decreasing in dividend yields. The results are consistent with at least two related explanations. First, to the extent a stock's returns are expected to be taxed as capital gains, a reduction in the expected capital gains tax rate enhances the attractiveness of the investment to investors. Second, to the extent a firm's stock is held by shareholders subject to the capital gains tax, a reduction in the expected capital gains tax rate increases its market value. The findings present evidence consistent with neither a sell-off of appreciated securities following the rate reduction nor a reduction in the compensation for capital gains taxes that selling shareholders demand from buyers. The upward price pressure around the accord dominated any downward price pressure imposed by these factors.

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Paper provided by National Bureau of Economic Research, Inc in its series NBER Working Papers with number 6885.

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Date of creation: Jan 1999
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Handle: RePEc:nbr:nberwo:6885

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Find related papers by JEL classification:
H24 - Public Economics - - Taxation, Subsidies, and Revenue - - - Personal Income and Other Nonbusiness Taxes and Subsidies
G12 - Financial Economics - - General Financial Markets - - - Asset Pricing

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  1. Alan J. Auerbach & Kevin A. Hassett, 2000. "On the Marginal Source of Investment Funds," NBER Working Papers 7821, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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  2. Schipper, Katherine & Smith, Abbie, 1991. "Effects of Management Buyouts on Corporate Interest and Depreciation Tax Deductions," Journal of Law & Economics, University of Chicago Press, vol. 34(2), pages 295-341, October.
  3. Alan J. Auerbach, 1987. "Mergers and Acquisitions," NBER Books, National Bureau of Economic Research, Inc, number auer87-1, December.
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  5. Amoako-Adu, Ben & Rashid, M. & Stebbins, M., 1992. "Capital gains tax and equity values: Empirical test of stock price reaction to the introduction and reduction of capital gains tax exemption," Journal of Banking & Finance, Elsevier, vol. 16(2), pages 275-287, April. [Downloadable!] (restricted)
  6. Hayn, Carla, 1989. "Tax attributes as determinants of shareholder gains in corporate acquisitions," Journal of Financial Economics, Elsevier, vol. 23(1), pages 121-153, June. [Downloadable!] (restricted)
  7. Bagwell, Laurie Simon & Shoven, John B, 1989. "Cash Distributions to Shareholders," Journal of Economic Perspectives, American Economic Association, vol. 3(3), pages 129-40, Summer. [Downloadable!] (restricted)
  8. Cutler, David M, 1988. "Tax Reform and the Stock Market: An Asset Price Approach," American Economic Review, American Economic Association, vol. 78(5), pages 1107-17, December. [Downloadable!] (restricted)
  9. Bradford, David F., 1981. "The incidence and allocation effects of a tax on corporate distributions," Journal of Public Economics, Elsevier, vol. 15(1), pages 1-22, February. [Downloadable!] (restricted)
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  10. Auerbach, Alan J, 1979. "Wealth Maximization and the Cost of Capital," The Quarterly Journal of Economics, MIT Press, vol. 93(3), pages 433-46, August. [Downloadable!] (restricted)
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