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- All HBS Web (1,284)
- Faculty Publications (958)
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- May 2005 (Revised January 2006)
- Case
Ticonderoga: Inverse Floating Rate Bond
Presents a simple interest hedging exercise. A hedge fund is considering an investment in a structured fixed--income product: an inverse floating-rate bond, or inverse floater, designed by a U.S. investment bank. The hedge fund's normal policy is to hedge interest rate... View Details
Keywords: Risk and Uncertainty; Credit Derivatives and Swaps; Bonds; Investment Funds; Interest Rates
Chacko, George C., and Anders Sjoman. "Ticonderoga: Inverse Floating Rate Bond." Harvard Business School Case 205-113, May 2005. (Revised January 2006.)
- January 1983 (Revised February 1988)
- Case
Hospital Corp. of America (B)
By: W. Carl Kester
Focuses on HCAs financing options for reaching its target capital structure. The options include new equity conversion of convertible debentures, a debt-for-equity swap, the sale of assets, and fixed-rate debt. Students must address the problem of market timing and... View Details
Keywords: Assets; Capital Structure; Cash Flow; Equity; Debt Securities; Credit Derivatives and Swaps; Health Industry; United States
Kester, W. Carl. "Hospital Corp. of America (B)." Harvard Business School Case 283-054, January 1983. (Revised February 1988.)
- December 1996 (Revised October 1999)
- Case
Kidder, Peabody & Co.: Creating Elusive Profits
By: Robert L. Simons and Antonio Davila
On April 17, 1994, Kidder, Peabody & Co. announced a $350 million charge against earnings resulting from the discovery of false trading profits. That same day, the termination of Joseph Jett's employment with the company was made public. By illustrating the mechanics... View Details
Keywords: Bonds; Governance Controls; Crime and Corruption; Financial Reporting; Profit; Financial Strategy
Simons, Robert L., and Antonio Davila. "Kidder, Peabody & Co.: Creating Elusive Profits." Harvard Business School Case 197-038, December 1996. (Revised October 1999.)
- February 1983
- Article
Effects of Nominal Contracting on Stock Returns
By: K. French, G. W. Schwert and R. S. Ruback
French, K., G. W. Schwert, and R. S. Ruback. "Effects of Nominal Contracting on Stock Returns." Journal of Political Economy 91, no. 1 (February 1983): 70–96.
- 2004
- Other Unpublished Work
SEED: A Commitment Savings Product in the Philippines
By: Nava Ashraf, Dean Karlan and Wesley Yin
Ashraf, Nava, Dean Karlan, and Wesley Yin. "SEED: A Commitment Savings Product in the Philippines." December 2004. (Policy Paper.)
- September 1977 (Revised March 1984)
- Background Note
Debt Securities and Debt Rating
By: David F. Hawkins
Keywords: Debt Securities
Hawkins, David F. "Debt Securities and Debt Rating." Harvard Business School Background Note 178-041, September 1977. (Revised March 1984.)
- December 2002
- Article
The Persistence of Emerging Market Equity Flows
By: K. A. Froot and J. Donohue
Keywords: Asset Pricing; Equity Investment; Forecasting and Prediction; Behavioral Finance; Stocks; Investment Return; Market Transactions; Performance Expectations; Financial Services Industry
Froot, K. A., and J. Donohue. "The Persistence of Emerging Market Equity Flows." Emerging Markets Review 3, no. 4 (December 2002): 338–364. (Revised from NBER Working Paper no. 9241, HBS Working Paper no. 03-035, September 2002.)
- March 2001 (Revised November 2001)
- Case
Merrill Lynch HOLDRS
By: Andre F. Perold and Simon E. Brown
Exchange-traded funds (ETFs) and HOLDRS (Holding Company Depositary Receipts) represent recent and highly successful capital market innovations. HOLDRS closely approximates a buy-and-hold strategy, and Merrill Lynch believes the product has significantly lower taxes... View Details
Keywords: Capital Markets; Cost; Stocks; Financial Strategy; Investment Funds; Taxation; Innovation and Invention; Product; Success; Expansion
Perold, Andre F., and Simon E. Brown. "Merrill Lynch HOLDRS." Harvard Business School Case 201-059, March 2001. (Revised November 2001.)
- May 2008
- Article
Regulation and Bonding: The Sarbanes-Oxley Act and the Flow of International Listings
By: Suraj Srinivasan and Joseph Piotroski
In this paper, we examine the economic impact of the Sarbanes-Oxley Act (SOX) by analyzing foreign listing behavior onto U.S. and U.K. stock exchanges before and after the enactment of the Act in 2002. Using a sample of all listing events onto U.S. and U.K. exchanges... View Details
Keywords: Decision Choices and Conditions; Stocks; Government Legislation; Market Transactions; Motivation and Incentives; United Kingdom; United States
Srinivasan, Suraj, and Joseph Piotroski. "Regulation and Bonding: The Sarbanes-Oxley Act and the Flow of International Listings." Journal of Accounting Research 46, no. 2 (May 2008).
- February 2006 (Revised June 2007)
- Case
Brazos Partners and Cheddar's Inc.
By: G. Felda Hardymon, Josh Lerner and Ann Leamon
Randall Fojtasek, a partner at Brazos Private Equity Partners, must decide whether to invest more money in Cheddar's restaurant chain, which the firm invested in 10 months earlier. The incremental investment would fund a real estate subsidiary that would own the... View Details
Keywords: Negotiation Deal; Price; Partners and Partnerships; Management; Investment; Leadership; Business Subsidiaries; Stocks
Hardymon, G. Felda, Josh Lerner, and Ann Leamon. "Brazos Partners and Cheddar's Inc." Harvard Business School Case 806-069, February 2006. (Revised June 2007.)
- December 2001
- Exercise
Exercise on Employee Stock Option Dilution
By: Brian J. Hall
Discusses the effects of option dilution on stock prices and shareholder value. To simplify the example and isolate the complexity of option dilution, we make a number of simplifying assumptions. View Details
Keywords: Stocks; Price; Employee Stock Ownership Plan; Business and Shareholder Relations; Complexity; Value
Hall, Brian J. "Exercise on Employee Stock Option Dilution." Harvard Business School Exercise 902-162, December 2001.
- July 2009 (Revised June 2015)
- Case
Citigroup's Exchange Offer
By: Robin Greenwood and James Quinn
Citigroup faced considerable distress in early 2009. In late 2008, the bank had accepted $45 billion in preferred equity from the United States government via the Troubled Assets Relief Program (TARP). Yet, the stock had continued to slide in early 2009. In late... View Details
Keywords: Financial Crisis; Capital Markets; Banks and Banking; Stocks; Price; Globalized Markets and Industries; Financial Services Industry
Greenwood, Robin, and James Quinn. "Citigroup's Exchange Offer." Harvard Business School Case 210-009, July 2009. (Revised June 2015.)
- September 23, 2008
- Editorial
Beyond a Bailout, Wall Street Needs New Rules
By: A. Zelleke
Zelleke, A. "Beyond a Bailout, Wall Street Needs New Rules." Christian Science Monitor (September 23, 2008).
- August 2009
- Article
Rewriting History
By: Alexander Ljungqvist, Christopher J. Malloy and Felicia Marston
We document widespread ex post changes to the historical contents of the I/B/E/S analyst stock recommendations database. Across a sequence of seven downloads of the entire I/B/E/S recommendations database, obtained between 2000 and 2007, we find that between 6,594... View Details
Keywords: Competency and Skills; Stocks; Profit; Market Transactions; Reputation; Financial Services Industry
Ljungqvist, Alexander, Christopher J. Malloy, and Felicia Marston. "Rewriting History." Journal of Finance 64, no. 4 (August 2009): 1935–1960.
- 2008
- Working Paper
Rewriting History
By: Alexander Ljungqvist, Christopher J. Malloy and Felicia Marston
We document widespread ex post changes to the historical contents of the I/B/E/S analyst stock recommendations database. Across a sequence of seven downloads of the entire I/B/E/S recommendations database, obtained between 2000 and 2007, we find that between 6,594... View Details
- 2017
- White Paper
Illuminating the Path Forward: Breaking Free from the 60/40 Portfolio
By: Ross Stevens, Joshua Zwick and Randolph B. Cohen
Stevens, Ross, Joshua Zwick, and Randolph B. Cohen. "Illuminating the Path Forward: Breaking Free from the 60/40 Portfolio." White Paper, Stone Ridge, 2017.
- February 2023
- Teaching Note
Bear to Bull? An Analyst’s Journey with Netflix
By: Aiyesha Dey and Joseph Pacelli
Teaching Note for HBS Case No. 123-001. Wedbush Securities analyst Michael Pachter said “hell freezing over” was more likely than him upgrading the “sell” rating he had maintained on movie and television streaming giant Netflix since 2011, despite meteoric subscriber... View Details
- November 2001 (Revised February 2002)
- Background Note
Note on Tax and Accounting Treatment of Restricted Stock Awards, Nonqualified Stock Options, and Incentive Stock Options and the Securities Law Applicable Thereto
Outlines the tax and accounting treatment of restricted stock awards, nonqualified stock options, and incentive stock options, including the effect of making a Section 83(b) election for unvested stock. View Details
Bagley, Constance E. "Note on Tax and Accounting Treatment of Restricted Stock Awards, Nonqualified Stock Options, and Incentive Stock Options and the Securities Law Applicable Thereto." Harvard Business School Background Note 802-125, November 2001. (Revised February 2002.)
- spring 1989
- Article
The Changing Character of Stock Market Liquidity
By: André Perold and James F. Gammill
Perold, André, and James F. Gammill. "The Changing Character of Stock Market Liquidity." Journal of Portfolio Management (spring 1989): 13–18.
- October 2009 (Revised December 2010)
- Case
GE Money Bank: The M-Budget Card Initiative
By: Michael L. Tushman, Sebastian Raisch and Christian Welling
The M-Budget Card case study is about mastering the challenges of an exploratory strategic initiative in a context marked by time pressure and frequent change. M-Budget was the first of a series of highly successful projects that established GE Money Bank as a leader... View Details
Keywords: Corporate Entrepreneurship; Credit Cards; Leading Change; Product Launch; Product Development; Groups and Teams; Banking Industry; Switzerland
Tushman, Michael L., Sebastian Raisch, and Christian Welling. "GE Money Bank: The M-Budget Card Initiative." Harvard Business School Case 410-052, October 2009. (Revised December 2010.)