Potentially Dilutive Securities: CFA Level 1 Exam Prep

Potentially Dilutive Securities

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Question

Which of the following is/are true about potentially dilutive securities?

I. Options and warrants are assumed to be exercised at the beginning of the period or at the time of issuance, whichever is later.

II. Warrants enter into the Diluted EPS calculations only if the maximum stock price during the period exceeds the exercise price.

III. In Diluted EPS calculations, convertible bonds considered potentially dilutive only if their yield is less than two-thirds the average yield on Aa bonds.

Answers

Explanations

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A. B. C. D.

B

In Diluted EPS, all potentially dilutive securities are assumed converted to common stock and appropriate adjustments made to the income number. If this process serves to increase Diluted EPS, then the anti-dilutive security is left out of the calculations.

The conversion assumptions for options and warrants are as follows:

1. They are assumed to be exercised at the beginning of the period or at the time of issuance, whichever is later.

2. They enter into the Diluted EPS calculations only if the average stock price during the period exceeds the exercise price.

Convertible bonds, regardless of their historical or current yield, are included in Diluted EPS calculations unless they are anti-dilutive.