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  • All HBS Web  (48)
    • Faculty Publications  (14)

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    • All HBS Web  (48)
      • Faculty Publications  (14)

      Proxy Contest Remove Proxy Contest →

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      Proxy Contest at DuPont
      Trian Partners' Proxy Contest at Procter & Gamble
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      • October 2020 (Revised November 2020)
      • Case

      Digging for Gold: Paulson & Co.'s Activism in the Gold Sector

      By: Suraj Srinivasan and Jonah S. Goldberg
      The case describes the efforts of hedge fund Paulson & Co to influence corporate governance and improve performance in the gold industry. In an innovative move, the hedge fund led the creation of the Shareholder Gold Council, a consortium of large investors in gold...  View Details
      Keywords: Board Of Directors; Hedge Funds; Shareholder Activism; Gold; Corporate Governance; Governing And Advisory Boards; Investment Funds; Investment Activism; Performance Improvement; Corporate Accountability; Mining Industry; Canada; United States
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      Srinivasan, Suraj, and Jonah S. Goldberg. "Digging for Gold: Paulson & Co.'s Activism in the Gold Sector." Harvard Business School Case 121-021, October 2020. (Revised November 2020.)
      • October 2019
      • Case

      A Conversation with Ellen J. Kullman, Chairman & CEO of DuPont, 2009-2015

      By: Lynn S. Paine and Will Hurwitz
      Ellen J. Kullman, the retired Chairman and CEO of DuPont, describes how she guided the storied science and technology company through a contentious proxy battle with activist investor Trian Partners, which acquired DuPont shares in 2013 and sought to break up the...  View Details
      Keywords: Agribusiness; Capital Structure; Corporate Accountability; Corporate Governance; Institutional Investing; Leadership; Leadership Style; Management; Transformation; Agriculture And Agribusiness Industry; Chemical Industry; United States
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      Paine, Lynn S., and Will Hurwitz. "A Conversation with Ellen J. Kullman, Chairman & CEO of DuPont, 2009-2015." Harvard Business School Case 320-017, October 2019.
      • March 2018
      • Case

      Sachem Head's Activism at Autodesk

      By: Suraj Srinivasan and Quinn Pitcher
      In 2015, activist hedge fund Sachem Head Capital, led by founder Scott Ferguson, launched an activist campaign at computer aided design (CAD) software maker Autodesk. The activist campaign, waged mainly in private, was over Autodesk's lackluster financial performance,...  View Details
      Keywords: Shareholder Activism; Investing; Activist Investing; Corporate Governance; Technology; Ceo Turnover; Hedge Fund Activism; Benchmarking; Corporate Governance; Technology; Investment Activism; Performance Improvement; Management Succession; United States
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      Srinivasan, Suraj, and Quinn Pitcher. "Sachem Head's Activism at Autodesk." Harvard Business School Case 118-086, March 2018.
      • January 2018
      • Case

      Trian Partners' Proxy Contest at Procter & Gamble

      By: Suraj Srinivasan and Quinn Pitcher
      In July 2017, activist hedge fund Trian Partners announced that it was launching a proxy fight at U.S. consumer goods giant Procter & Gamble. P&G would be the largest company ever subjected to a proxy fight, as Trian sought to have its CEO, Nelson Peltz, elected to the...  View Details
      Keywords: Investment; Corporate Governance; Institutional Investing; Investment Activism; Business And Shareholder Relations; United States
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      Srinivasan, Suraj, and Quinn Pitcher. "Trian Partners' Proxy Contest at Procter & Gamble." Harvard Business School Case 118-049, January 2018.
      • 2017
      • Working Paper

      What Else Do Shareholders Want? Shareholder Proposals Contested by Firm Management

      By: Eugene F. Soltes, Suraj Srinivasan and Rajesh Vijayaraghavan
      Shareholder proposals provide investors an opportunity to exercise their decision rights within firms, but managers can seek permission from the Securities and Exchange Commission (SEC) to dismiss proposals. We find that managers seek to exclude 39% of all proposals...  View Details
      Keywords: Voting; Business And Shareholder Relations
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      Soltes, Eugene F., Suraj Srinivasan, and Rajesh Vijayaraghavan. "What Else Do Shareholders Want? Shareholder Proposals Contested by Firm Management." Harvard Business School Working Paper, No. 16-132, May 2016. (Revised October 2017.)
      • January 2016 (Revised January 2019)
      • Case

      The Allergan Board Under Fire (A)

      By: Lynn S. Paine, Suraj Srinivasan, John C. Coates and David Lane
      In 2014, the Allergan Inc. board of directors received a surprise takeover offer from Valeant Pharmaceuticals in alliance with hedge fund activist Bill Ackman's Pershing Square Capital Management. In the unprecedented arrangement between an acquirer and a hedge fund...  View Details
      Keywords: Allergan, Inc.; Valeant; Ackman; Pershing Square; Tender Offer; Activist Investors; Business Models; R&d; Board Of Directors; Securities Litigation; Acquisition Strategy; Takeover Defenses; Hedge Funds; Shareholder Rights; Proxy Contest; Shareholder Special Meetings; Legal Issues In Contested Takeovers; Governing And Advisory Boards; Mergers And Acquisitions; Corporate Governance; Management Teams; Business And Shareholder Relations; Pharmaceutical Industry
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      Paine, Lynn S., Suraj Srinivasan, John C. Coates, and David Lane. "The Allergan Board Under Fire (A)." Harvard Business School Case 316-010, January 2016. (Revised January 2019.)
      • January 2016 (Revised January 2019)
      • Supplement

      The Allergan Board Under Fire (B)

      By: Lynn S. Paine, Suraj Srinivasan, John C. Coates and David Lane
      In 2014, the Allergan Inc. board of directors received a surprise takeover offer from Valeant Pharmaceuticals in alliance with hedge fund activist Bill Ackman's Pershing Square Capital Management. In the unprecedented arrangement between an acquirer and a hedge fund...  View Details
      Keywords: Allergan, Inc.; Valeant; Ackman; Pershing Square; Tender Offer; Activist Investors; Business Models; R&d; Board Of Directors; Securities Litigation; Acquisition Strategy; Takeover Defenses; Hedge Funds; Shareholder Rights; Proxy Contest; Shareholder Special Meetings; Legal Issues In Contested Takeovers; Corporate Governance; Investment Activism; Business And Stakeholder Relations; Business Model; Business And Shareholder Relations; Valuation; Pharmaceutical Industry
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      Paine, Lynn S., Suraj Srinivasan, John C. Coates, and David Lane. "The Allergan Board Under Fire (B)." Harvard Business School Supplement 316-029, January 2016. (Revised January 2019.)
      • July 2015 (Revised February 2016)
      • Case

      Proxy Contest at DuPont

      By: Jay W. Lorsch and Emily McTague
      On January 9, 2015, Nelson Peltz of Trian Fund Management launched a proxy fight for four out of the twelve seats on the DuPont board. The fund had previously published a public letter addressed to shareholders outlining its proposal to break the company into three...  View Details
      Keywords: Board Of Directors; Corporate Governance; Hedge Fund; Activist Investing; Activist Investors; Corporate Governance; Chemical Industry; United States
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      Lorsch, Jay W., and Emily McTague. "Proxy Contest at DuPont." Harvard Business School Case 416-005, July 2015. (Revised February 2016.)
      • April 2015 (Revised July 2015)
      • Case

      Proxy Access at Whole Foods

      By: Jay Lorsch and Emily McTague
      Proxy access grants shareholders meeting certain ownership requirements the right to nominate directors for election to the board without going through a typical proxy contest. In August 2010 the SEC approved a rule granting proxy access for shareholders meeting...  View Details
      Keywords: Board Of Directors; Proxy Advisor; Shareholder Activism; Shareholder Voting; Shareholder Votes; Proxy Battle; Institutional Change; Institutional Investing; Business And Shareholder Relations; Food And Beverage Industry; North America
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      Lorsch, Jay, and Emily McTague. "Proxy Access at Whole Foods." Harvard Business School Case 415-073, April 2015. (Revised July 2015.)
      • 2016
      • Working Paper

      Consequences to Directors of Shareholder Activism

      By: Ian D. Gow, Sa-Pyung Sean Shin and Suraj Srinivasan
      Using a comprehensive sample for 2004–2012, we examine the impact of shareholder activist campaigns on the careers of directors of targeted firms. We find that activism is associated with directors being almost twice as likely to leave—and performance-sensitivity of...  View Details
      Keywords: Shareholder Activism; Hedge Funds; Independent Directors; Director Reputation; Accountability; Shareholder Voting; Voting; Retention; Investment Funds; Management Teams; Investment Activism
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      Gow, Ian D., Sa-Pyung Sean Shin, and Suraj Srinivasan. "Consequences to Directors of Shareholder Activism." Harvard Business School Working Paper, No. 14-071, February 2014. (Revised May 2016.)
      • January 2008 (Revised July 2008)
      • Case

      Opportunity Partners

      By: Robin Greenwood and James Quinn
      Philip Goldstein, the principal in a growing hedge fund and prominent activist investor, has taken a position in a Mexico-based closed-end fund. Following a hard-fought proxy contest in which he advocated for management to eliminate the fund's substantial discount,...  View Details
      Keywords: Investment Activism; Investment Funds; Business And Shareholder Relations; Value; Financial Services Industry; Mexico
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      Greenwood, Robin, and James Quinn. "Opportunity Partners." Harvard Business School Case 208-097, January 2008. (Revised July 2008.)
      • August 2002 (Revised May 2003)
      • Case

      New Wachovia (B), The

      By: Carliss Y. Baldwin and Jeremy Swinson
      On August 3, 2001, after a hotly contested proxy fight, Wachovia Corp.'s shareholders voted to merge with First Union Corp. The managers of the two banks then turned to face the challenges of integrating the two organizations. Their task was to implement a "merger of...  View Details
      Keywords: Integration; Mergers And Acquisitions; Problems And Challenges; Banks And Banking; Banking Industry; North Carolina
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      Baldwin, Carliss Y., and Jeremy Swinson. "New Wachovia (B), The." Harvard Business School Case 903-034, August 2002. (Revised May 2003.)
      • July 2002 (Revised April 2003)
      • Case

      Computer Associates International, Inc.: Governance and Investor Communication Challenge

      By: Paul M. Healy and Krishna G. Palepu
      Sanjay Kumar, the CEO of Computer Associates, faces investor communication challenges following the company's implementation of a new business model and the accompanying change method used to recognize revenue. Despite management's confidence that the new business...  View Details
      Keywords: Business Earnings; Earnings Management; Stock Shares; Problems And Challenges; Communication Strategy; Accrual Accounting; Business Model; Budgets And Budgeting; Corporate Governance; Revenue; Computer Industry; Information Technology Industry
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      Healy, Paul M., and Krishna G. Palepu. "Computer Associates International, Inc.: Governance and Investor Communication Challenge." Harvard Business School Case 103-007, July 2002. (Revised April 2003.)
      • November 1991 (Revised September 1993)
      • Case

      Oak Industries Inc.

      By: William A. Sahlman and Burton C. Hurlock
      Describes Bill Antle's proposed restructuring plans for Oak Industries, a company composed of nine divisions which seem to be experiencing operating difficulties. During the last ten years the company has been involved in a number of acquisitions and divestitures, as...  View Details
      Keywords: Entrepreneurship; Business Or Company Management; Operations; Swot Analysis; Organizational Structure; Restructuring; Financial Management; Acquisition; Financial Markets
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      Sahlman, William A., and Burton C. Hurlock. "Oak Industries Inc." Harvard Business School Case 292-086, November 1991. (Revised September 1993.)
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      Trian Partners' Proxy Contest at Procter & Gamble
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