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      Investor RelationsRemove Investor Relations →

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      • December 2011 (Revised May 2015)
      • Case

      Aviva Investors

      By: George Serafeim
      The Aviva Investors case describes the challenge of integrating sustainability considerations into the strategy and business practices of companies and into the decision making process of the investment community. Steve Waygood, Chief Responsible Investment Officer at... View Details
      Keywords: Investing; Investment Management; Shareholder Activism; Disclosure; Stock Exchanges; Sustainability; Sustainable Development; Sustainability Reporting; ESG; ESG (Environmental, Social, Governance) Performance; Social Impact; Activism; Investment; Management; Business and Shareholder Relations; Environmental Sustainability; United Kingdom
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      Serafeim, George, Robert G. Eccles, and Kyle Armbrester. "Aviva Investors." Harvard Business School Case 112-047, December 2011. (Revised May 2015.)
      • 2012
      • Other Unpublished Work

      What Are We Meeting For? The Consequences of Private Meetings with Investors

      By: Eugene F. Soltes and David H. Solomon
      Executives of publicly-traded firms spend considerable time meeting privately with investors, despite regulation restricting their ability to convey material nonpublic information. Using a set of records of all one-on-one meetings between senior management and... View Details
      Keywords: Decision Choices and Conditions; Investment; Investment Funds; Governing Rules, Regulations, and Reforms; Management Teams; Public Ownership; Business and Shareholder Relations
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      Soltes, Eugene F., and David H. Solomon. "What Are We Meeting For? The Consequences of Private Meetings with Investors." September 2012.
      • May 2011
      • Supplement

      Dharavi: Developing Asia's Largest Slum (B)

      By: Lakshmi Iyer and John Macomber
      In July 2009, as investors prepared to submit financial bids for the $3 billion Dharavi slum redevelopment project, considerable economic and political risks remained. View Details
      Keywords: Risk and Uncertainty; Private Equity; Social Issues; Investment; Developing Countries and Economies; Business and Government Relations; Financial Services Industry; Real Estate Industry; Mumbai
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      Iyer, Lakshmi, and John Macomber. "Dharavi: Developing Asia's Largest Slum (B)." Harvard Business School Supplement 711-107, May 2011.
      • April 2011
      • Article

      Institutional Tax Clienteles and Payout Policy

      By: Mihir Desai and Li Jin
      This paper employs heterogeneity in institutional shareholder tax characteristics to identify the relation between firm payout policy and tax incentives. Analysis of a panel of firms matched with the tax characteristics of the clients of their institutional... View Details
      Keywords: Institutional Investors; Clienteles; Payout Policy; Private Equity; Investment; Taxation; Ownership Stake; Business and Shareholder Relations
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      Desai, Mihir, and Li Jin. "Institutional Tax Clienteles and Payout Policy." Journal of Financial Economics 100, no. 1 (April 2011): 68–84.
      • February 2011 (Revised September 2016)
      • Case

      Investcorp and the Moneybookers Bid

      By: Matthew Rhodes-Kropf, Carin-Isabel Knoop and Nori Gerardo Lietz
      In January 2007, Hazem Ben-Gacem, managing director and co-head of Investcorp Technology Partners (ITP), needs to decide what to bid at an auction for Moneybookers Limited, one of the top three e-payment solution providers in Europe. However, approximately 70% of... View Details
      Keywords: Business Startups; Games, Gaming, and Gambling; Private Equity; Investment; Auctions; Bids and Bidding; Valuation; Europe; United States
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      Rhodes-Kropf, Matthew, Carin-Isabel Knoop, and Nori Gerardo Lietz. "Investcorp and the Moneybookers Bid." Harvard Business School Case 811-013, February 2011. (Revised September 2016.)
      • September 2010
      • Article

      How Firms Respond to Being Rated

      By: Aaron K. Chatterji and Michael W. Toffel
      While many rating systems seek to help buyers overcome information asymmetries when making purchasing decisions, we investigate how these ratings also influence the companies being rated. We hypothesize that ratings are particularly likely to spur responses from firms... View Details
      Keywords: System; Information; Decisions; Cost; Opportunities; Performance; Business and Stakeholder Relations; Economics; Theory; System Shocks; Rank and Position
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      Chatterji, Aaron K., and Michael W. Toffel. "How Firms Respond to Being Rated." Strategic Management Journal 31, no. 9 (September 2010): 917–945. (Lead article.)
      • May 2010 (Revised January 2014)
      • Case

      Water Shortage and Property Investing in Mexico City

      By: John D. Macomber, Regina Garcia-Cuellar and Griffin James
      A commercial property company evaluates water risks including the government's ability to remedy, the company's operating exposure and mitigation, and whether to relocate because of water risk. A real estate fund manager assesses investment prospects in Mexico City in... View Details
      Keywords: Private Equity; Investment; Risk Management; Infrastructure; Privatization; Business and Government Relations; Partners and Partnerships; Financial Services Industry; Real Estate Industry; Utilities Industry; Mexico City
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      Macomber, John D., Regina Garcia-Cuellar, and Griffin James. "Water Shortage and Property Investing in Mexico City." Harvard Business School Case 210-085, May 2010. (Revised January 2014.)
      • 2010
      • Working Paper

      When Do Analysts Add Value? Evidence from Corporate Spinoffs

      By: Emilie Rose Feldman, Stuart Gilson and Belen Villalonga
      We investigate the information content and forecast accuracy of 1,793 analyst reports written around 62 spinoffs—a setting in which analysts' ability to inform investors is potentially very high. We find that analysts pay little attention to subsidiaries about to be... View Details
      Keywords: Earnings Management; Mergers and Acquisitions; Business Subsidiaries; Restructuring; Forecasting and Prediction; Insolvency and Bankruptcy; Initial Public Offering; Price; Reports; Research
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      Feldman, Emilie Rose, Stuart Gilson, and Belen Villalonga. "When Do Analysts Add Value? Evidence from Corporate Spinoffs." Harvard Business School Working Paper, No. 10-102, May 2010.
      • March 2010
      • Article

      The Evolution of Corporate Ownership after IPO: The Impact of Investor Protection

      By: C. Fritz Foley and Robin Greenwood
      We use firm-level data from 34 countries covering the 1995-2006 period to analyze how the characteristics of public markets shape the process by which firms become widely held. Firms in all countries in the sample tend to have concentrated ownership at the time they go... View Details
      Keywords: Blockholding; Float; Shareholder Rights; Investor Protection; Ownership; Financial Liquidity; Business History; Market Timing; Going Public; Business and Government Relations; Business and Shareholder Relations
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      Foley, C. Fritz, and Robin Greenwood. "The Evolution of Corporate Ownership after IPO: The Impact of Investor Protection." Review of Financial Studies 23, no. 3 (March 2010): 1231–1260. (Formerly NBER Working Paper No. 14557.)
      • February 2010
      • Article

      Global Currency Hedging

      By: John Y. Campbell, Karine Serfaty-de Medeiros and Luis M. Viceira
      Over the period 1975 to 2005, the US dollar (particularly in relation to the Canadian dollar) and the euro and Swiss franc (particularly in the second half of the period) have moved against world equity markets. Thus these currencies should be attractive to... View Details
      Keywords: Currency; Equity; Financial Markets; International Finance; Investment Return; Globalized Markets and Industries; Risk Management
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      Campbell, John Y., Karine Serfaty-de Medeiros, and Luis M. Viceira. "Global Currency Hedging." Journal of Finance 65, no. 1 (February 2010): 87–121.
      • 2010
      • Chapter

      Backlash to Arbitration: Three Causes

      By: Louis T. Wells

      There are at least three reasons for the current backlash among developing countries against the international regime that governs disputes between foreign investors and host governments. First is the inconsistency of the decisions rendered by arbitration panels... View Details

      Keywords: Developing Countries and Economies; International Finance; Foreign Direct Investment; Agreements and Arrangements; Business and Government Relations; Conflict Management
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      Wells, Louis T. "Backlash to Arbitration: Three Causes." Chap. 14 in The Backlash Against Investment Arbitration: Perceptions and Reality, edited by Michael Waibel, Asha Kaushal, Kyo-Hwa Chung, and Claire Balchin, 341–352. Alphen aan den Rijn, Netherlands: Kluwer Law International, 2010.
      • March 2009 (Revised December 2009)
      • Case

      Relational Investors and Home Depot (A)

      By: Jay W. Lorsch and Kaitlyn Simpson
      In 2006, amidst shareholder upset over CEO Robert Nardelli's compensation and Home Depot's declining stock price, Relational Investors decided to further investigate the situation. As experts in turning around underperforming and undervalued companies, Relational's... View Details
      Keywords: Restructuring; Financial Management; Investment; Corporate Governance; Governing and Advisory Boards; Organizational Change and Adaptation; Ownership Stake; Business and Shareholder Relations; Corporate Strategy
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      Lorsch, Jay W., and Kaitlyn Simpson. "Relational Investors and Home Depot (A)." Harvard Business School Case 409-076, March 2009. (Revised December 2009.)
      • March 2009 (Revised December 2009)
      • Supplement

      Relational Investors and Home Depot (B)

      By: Jay W. Lorsch and Kaitlyn Simpson
      Keywords: Investment; Retail Industry; Consumer Products Industry
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      Lorsch, Jay W., and Kaitlyn Simpson. "Relational Investors and Home Depot (B)." Harvard Business School Supplement 409-082, March 2009. (Revised December 2009.)
      • March 2009
      • Article

      Earnings Management and Corporate Tax Shelters, and Book-Tax Alignment

      By: Mihir Desai and Dhammika Dharmapala
      This paper reviews recent evidence analyzing the link between earnings management and corporate tax avoidance and considers the implications for how policymakers should evaluate the financial reporting environment facing firms. A real-world tax shelter is dissected to... View Details
      Keywords: Earnings Management; Taxation; Financial Reporting; Business and Shareholder Relations
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      Desai, Mihir, and Dhammika Dharmapala. "Earnings Management and Corporate Tax Shelters, and Book-Tax Alignment." National Tax Journal 62, no. 1 (March 2009): 169–186.
      • 2009
      • Other Unpublished Work

      The Pecora Hearings

      By: David Moss, Cole Bolton and Eugene Kintgen

      In 1932, in the depths of the Great Depression, the Senate Banking Committee began a much-publicized investigation of the nation's financial sector. The hearings, which came to be known as the Pecora hearings after the Banking Committee's lead counsel Ferdinand... View Details

      Keywords: Financial History; Financial Crisis; Financial Markets; Governing Rules, Regulations, and Reforms; Government Legislation; Laws and Statutes; Business and Government Relations; Financial Services Industry
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      Moss, David, Cole Bolton, and Eugene Kintgen. "The Pecora Hearings." 2009. (Draft case.)
      • December 2008
      • Article

      Style Investing and Institutional Investors

      By: Kenneth A. Froot and Melvyn Teo
      This paper explores institutional investors' trades in stocks grouped by style and the relationship of these trades with equity market returns. It aggregates transactions drawn from a large universe of approximately $6 trillion of institutional funds. To analyze style... View Details
      Keywords: Forecasting and Prediction; Behavioral Finance; Stocks; Investment Return; Market Transactions; Performance Expectations; Personal Characteristics; Financial Services Industry
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      Froot, Kenneth A., and Melvyn Teo. "Style Investing and Institutional Investors." Journal of Financial and Quantitative Analysis 43, no. 4 (December 2008): 883–906. (Revised from: Equity Style Returns and Institutional Investor Flows, Harvard Business School Working Paper No. 04-048, June 2004.)
      • November 2008
      • Supplement

      NEC Electronics (CW)

      By: C. Fritz Foley, Robin Greenwood and James Quinn
      Why do shares in NEC Electronics, a publicly listed subsidiary of Japan conglomerate NEC trade at a discount to their fundamental value? Can Perry Capital, a U.S. hedge fund, restructure this subsidiary and generate significant returns? This case provides students with... View Details
      Keywords: Business Conglomerates; Business Subsidiaries; Restructuring; Decisions; Investment Return; Investment Funds; Price; Ownership; Agency Theory; Business and Shareholder Relations; Value Creation; Electronics Industry; Japan; United States
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      Foley, C. Fritz, Robin Greenwood, and James Quinn. "NEC Electronics (CW)." Harvard Business School Spreadsheet Supplement 209-711, November 2008.
      • October 2008 (Revised November 2010)
      • Case

      NEC Electronics

      By: C. Fritz Foley, Robin Greenwood and James Quinn
      Why do shares in NEC Electronics, a publicly listed subsidiary of Japan conglomerate NEC, trade at a discount to their fundamental value? Can Perry Capital, a U.S. hedge fund, restructure this subsidiary and generate significant returns? This case provides students... View Details
      Keywords: Restructuring; Private Equity; Investment Return; Ownership Stake; Business and Shareholder Relations; Financial Services Industry; Japan
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      Foley, C. Fritz, Robin Greenwood, and James Quinn. "NEC Electronics." Harvard Business School Case 209-001, October 2008. (Revised November 2010.)
      • September 2008 (Revised October 2008)
      • Case

      Shareholder Activists at Friendly Ice Cream (A1)

      By: Fabrizio Ferri, V.G. Narayanan and James Weber
      Two activist investors, one a founder and one a hedge fund manager, seek to improve board oversight at a chain restaurant company. Prestley Blake founded Friendly Ice Cream in 1935 with his brother, and the two created a chain of full-service restaurants. In 1979, they... View Details
      Keywords: Investment Activism; Governing and Advisory Boards; Lawsuits and Litigation; Business or Company Management; Business and Shareholder Relations; Conflict of Interests; Food and Beverage Industry; United States
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      Ferri, Fabrizio, V.G. Narayanan, and James Weber. "Shareholder Activists at Friendly Ice Cream (A1)." Harvard Business School Case 109-013, September 2008. (Revised October 2008.)
      • September 2008 (Revised October 2008)
      • Supplement

      Shareholder Activists at Friendly Ice Cream (A2)

      By: V.G. Narayanan, Fabrizio Ferri and James Weber
      The A1 and A2 versions of the “Shareholder Activists at Friendly Ice Cream (A)” split the original A case into two parts. The A1 case ends as activists Sardar Biglari and Phil Cooley prepare to meet with CEO Don Smith at Friendly's headquarters in September 2006. The... View Details
      Keywords: Investment Activism; Business and Shareholder Relations; Governing and Advisory Boards; Conflict and Resolution; Lawsuits and Litigation; Business or Company Management; Food and Beverage Industry; United States
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      Narayanan, V.G., Fabrizio Ferri, and James Weber. "Shareholder Activists at Friendly Ice Cream (A2)." Harvard Business School Supplement 109-014, September 2008. (Revised October 2008.)
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