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American Options on Dividend-Paying Assets

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Author Info
Mark Broadie
Jérôme B. Detemple ()
Abstract

We provide a comprehensive treatment of option pricing with particular emphasis on the valuation of American options on dividend-paying essets. We begin by reviewing valuation principles for European contingent claims in a financial market in which the underlying asset price follows an Itô process and the interest rate is stochastic. Then this anlysis is extended to the valuation of American contingent claims. In particular, the early exercise premium and the delayed exercise premium representations of the American option price are presented. These results are specialized in the case of the standard market model, i.e., when the underlying asset price follows a geometric Brownian motion process and the interest rate is constant. American capped options with constant and growing caps are then analyzed. Valuation formulas are first provided for capped options on dividend-paying assets in the context of the standard market model. Previously unpublished results are then presented for capped options on nodividend-paying assets when the underlying asset price follows an Itô process with stochastic volatility and the cap's growth rate is an adapted stochastic process.

Nous présentons un traitement compréhensif de l'évaluation des options américaines sur des actifs qui payent des dividendes. Nous passons tout d'abord en revue les principes d'évaluation de titres contingents européens dans le cadre d'un marché financier dans lequel le prix des actifs sous-jacents suit des processus d'Itô et le taux d'intérêt est stochastique. L'analyse est ensuite généralisée à l'évaluation des titres contingents américains. Nous présentons, en particulier, les représentations de prime d'exercice prématuré et de prime d'exercice délayé, du prix de l'option américaine. Ces résultats sont spécialisés au cas du modèle de marché standard, c'est-à-dire lorsque le prix de l'actif sous-jacent suit un mouvement Brownien géométrique et le taux d'intérêt est constant. Les options américaines plafonnées, avec plafond constant ou croissant, sont ensuite analysées. Des formules d'évaluation sont tout d'abord présentées pour les options plafonnées sur des actifs à dividendes dans le contexte du modèle standard. Des résultats nouveaux sont ensuite présentés pour les options plafonnées sur des actifs sans dividende lorsque le prix du sous-jacent suit un processus d'Itô à volatilité stochastique et le taux de croissance du plafond est un processus stochastique adapté.

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Paper provided by CIRANO in its series CIRANO Working Papers with number 96s-16.

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Date of creation: 01 Mar 1996
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Handle: RePEc:cir:cirwor:96s-16

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Related research
Keywords: American Options; Optimal Exercise; Exercise Premium; Valuation Principles; Dividends; Capped Options; Stochastic Volatility; Stochastic Interest Rate; options américaines; exercice optimal; prime d'exercice; principes d'évaluation; dividendes; options plafonnées; volatilité stochastique; taux d'intérêt stochastique;

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  1. Orlin J. Grabbe, . "The Pricing of Call and Put Options on Foreign Exchange," Rodney L. White Center for Financial Research Working Papers 06-83, Wharton School Rodney L. White Center for Financial Research.
  2. Brennan, Michael J & Schwartz, Eduardo S, 1977. "The Valuation of American Put Options," Journal of Finance, American Finance Association, vol. 32(2), pages 449-62, May. [Downloadable!] (restricted)
  3. Schwartz, Eduardo S., 1977. "The valuation of warrants: Implementing a new approach," Journal of Financial Economics, Elsevier, vol. 4(1), pages 79-93, January. [Downloadable!] (restricted)
  4. Roll, Richard, 1977. "An analytic valuation formula for unprotected American call options on stocks with known dividends," Journal of Financial Economics, Elsevier, vol. 5(2), pages 251-258, November. [Downloadable!] (restricted)
  5. Carr, Peter P & Jarrow, Robert A, 1990. "The Stop-Loss Start-Gain Paradox and Option Valuation: A New Decomposition into Intrinsic and Time Value," Review of Financial Studies, Oxford University Press for Society for Financial Studies, vol. 3(3), pages 469-92. [Downloadable!] (restricted)
  6. Kim, In Joon, 1990. "The Analytic Valuation of American Options," Review of Financial Studies, Oxford University Press for Society for Financial Studies, vol. 3(4), pages 547-72. [Downloadable!] (restricted)
  7. Orlin Grabbe, J., 1983. "The pricing of call and put options on foreign exchange," Journal of International Money and Finance, Elsevier, vol. 2(3), pages 239-253, December. [Downloadable!] (restricted)
  8. Robert C. Merton, 1973. "Theory of Rational Option Pricing," Bell Journal of Economics, The RAND Corporation, vol. 4(1), pages 141-183, Spring. [Downloadable!] (restricted)
  9. Orlin J. Grabbe, . "The Pricing of Call and Put Options on Foreign Exchange," Rodney L. White Center for Financial Research Working Papers 6-83, Wharton School Rodney L. White Center for Financial Research.
  10. Broadie, Mark & Detemple, Jerome, 1995. "American Capped Call Options on Dividend-Paying Assets," Review of Financial Studies, Oxford University Press for Society for Financial Studies, vol. 8(1), pages 161-91. [Downloadable!] (restricted)
  11. Cox, John C. & Ross, Stephen A., 1976. "The valuation of options for alternative stochastic processes," Journal of Financial Economics, Elsevier, vol. 3(1-2), pages 145-166. [Downloadable!] (restricted)
  12. Black, Fischer & Scholes, Myron S, 1973. "The Pricing of Options and Corporate Liabilities," Journal of Political Economy, University of Chicago Press, vol. 81(3), pages 637-54, May-June. [Downloadable!] (restricted)
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