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Principal-protected note

A structured note that returns at least the original amount at maturity if the issuer remains solvent, while paying a capped or participation-based return linked to a market.

The protection is built from a bond, not a guarantee fund. If a five-year zero-coupon bond from the issuer costs 84 today, the remaining 16 buys call options that deliver whatever upside the note offers. Higher interest rates make the bond cheaper and leave more for options, which is why these notes offer better terms when rates are high.

Costs of protection appear as limits on the upside: a participation rate below 100%, a cap, or exclusion of dividends. Over long periods the dividends alone can be a substantial share of an equity index's total-return.

Protection is only as good as the issuer, and it applies at maturity only. Selling early can return less than the invested amount even when the note is described as protected. See issuer-credit-risk and participation-rate-portfolio.

Related: structured-product, issuer-credit-risk, autocallable-note, total-return, call-option

See it drawn

Original diagrams for the ideas on this page. Illustrative, not real market data.

Payoff of a long call at expiryA flat loss equal to the premium below the strike, turning upward at 45 degrees above it.Profit / loss per share08595115125Strike 105Max loss 3 — the premium paidBreakeven 108Profit keeps growingUnderlying price at expiry
Buying a call: payoff at expiry. A 105-strike call bought for 3 loses that whole 3 if the price finishes at or below 105, breaks even at 108, then gains a dollar for every dollar higher. The loss is capped at the premium; the upside is not capped.

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