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Rate Cap Strike Breakeven Calculator

Rate caps need strikes that pay back premium. This calculator finds the breakeven.

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$
%
%

Net value

-$480,000

Expected payout

$0

Breakeven SOFR %

6.30%

How the math works

Expected payout = notional × max(0, SOFR − strike) × years. Net = payout − premium. Breakeven SOFR = strike + premium ÷ (notional × years).

Rate caps are insurance, not investments. They price fairly in efficient markets, so expected net value near zero is the baseline. The real value of a cap is covenant protection — most loans covenant on maximum effective rate, and a cap satisfies that covenant whether it pays or not.

How to Use

  1. Enter loan notional.
  2. Enter cap premium.
  3. Enter cap term years.
  4. Enter strike rate %.
  5. Enter expected average SOFR %.
  6. Read savings vs premium.

Frequently Asked Questions

What is a rate cap?

Interest rate derivative: pays when SOFR exceeds strike. Protects floating-rate borrower from rate spikes. Premium paid upfront, no ongoing cost. Strike + premium = effective ceiling.

Strike selection?

Tight strike (current SOFR + 50 bps): expensive premium, immediate protection. Moderate (current + 200 bps): balanced. Loose (current + 500 bps): cheap, limited protection. Strike selection is the biggest lever for premium cost.

Typical premiums?

2023-2024: 2-year cap with 100 bps OTM strike: 1.5-3% of notional. 3-year: 2-4%. 5-year: 3-6%. Premium roughly doubles for each additional year and halves for each 100 bps looser strike.

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