Options & Derivatives

Forwards, Futures and the Cost of Carry

NeetQuant · August 2026 · 4 min read

The forward price is not a forecast

The most common misconception, and a frequent interview probe.

The forward price is set by no-arbitrage, not by anyone's expectation. To sell forward, a dealer can buy the asset today, finance it, and hold it to delivery. That replication fixes the price:

F = S e^((r - q + u)T)

where r is the interest rate, q is income from holding the asset (dividends, yield) and u is storage cost.

If the forward traded above that, you would buy spot, borrow to fund it, sell forward, and lock in a profit.

Cost of carry

The exponent is the cost of carry: what it costs to hold the asset until delivery.

  • Interest - you fund the purchase, so it pushes the forward up.
  • Income - dividends or yield accrue to the holder, pushing the forward down.
  • Storage - physical commodities cost money to hold, pushing it up.

For a dividend-paying index with dividend yield above the interest rate, the forward trades below spot, which surprises people who assume forwards are always higher.

Contango and backwardation

Contango: forward above spot. Backwardation: forward below spot.

Neither is a directional signal in itself - both are usually explained by carry. In commodities, backwardation often reflects a convenience yield: a benefit to holding the physical asset now, which behaves like negative storage cost.

Futures versus forwards

Economically similar, mechanically different in one important way: futures are margined daily, so gains and losses settle continuously rather than at maturity.

Consequences:

  • Almost no counterparty credit risk on a future.
  • A small pricing difference when interest rates are correlated with the asset price, because the timing of cash flows matters.
  • Cash-flow management is a live operational concern for futures - you can be right and still face margin calls.

For interview purposes, "essentially the same price, but futures settle daily so there is a convexity adjustment when rates and price are correlated" is a complete answer.

Practise in finance and derivatives.

Keep practising

Practise quant interview questions free

Create a free account to attempt hundreds of questions with hints and answer checking, and to run the timed simulators.

Start practising free

Frequently asked questions

Is the forward price a prediction of the future spot price?
No. It is fixed by no-arbitrage: spot compounded at the cost of carry, which is interest minus income plus storage. A dealer can replicate it by buying and financing the asset today.
What is the difference between a forward and a future?
Futures are margined daily rather than settled at maturity. That almost eliminates counterparty risk and creates a small pricing difference when interest rates are correlated with the asset price.