113Smart-money filingsGaran and, 99Gehl Company and, 134, 136overview, 95–96
Social relationships, corporategovernance and, 67–68Southland Corporation, 110S&P 500 Index
comparative returns, 36–37dividends and, 83market cap for, 2performance of, 26what-if scenario, 48–49Standard deviation of return,
34
Standard industrial classifica-tion (SIC) codes, 110
12035_Imperiale_idx.f.qxd  11/24/04  9:26 AM  Page 194
194
Index
Standard & Poor’s index, 2, 81Stanford, 68Statement of additional infor-
small cap (see Small cap
stocks)
smart-money filings and,
mation (SAI), 174–175,178
95–96
top-tier, 19–20
Stewart, James B., 136Stock market, competition in,
Strategy (prospectus), 175Strategy and planning system,
17–18
59–60
Stock price. See also Market
Strong-form efficient market
price
for Garan, 99for Gehl Company, 134–135market cap and, 8for Michael Foods, 120modern portfolio theory
and, 26
for Pozen Company, 151–153for Ptek Holdings, 162quality and, 7random walk theory and, 17risk and, 7semi-strong-form EMT and,
16
strong-form EMT and, 16for Suiza, 114technical investors and, 158weak-form EMT and, 15
Stocks
balanced portfolio, 48–49,
180
bottom-tier, 19–20capitalization, 2classification of, 1–2large cap (see Large cap
stocks)
micro cap, 46–50mid cap, 2, 4, 32middle-tier, 19–20nano cap, 3penny, 7
theory, 16–18
Suiza Brands Puerto Rico,
108–109
Suiza Foods, 107–115Suppliers
as information resources,
70–71
watching, 170
Swiss Dairy Corporation, 108
TT. Rowe Price, 157“Take the seed money off the
table,” 154
Tannenbaum Dubin & Robin-
son, LLP, 103–104
Taxes
asset allocation and, 48impact on returns, 31portfolio rebalancing and,
179
Technical investors, 158–159,
164
Technology companies, 15810–K (annual report form),
73–76, 108
10–Q (quarterly report form),
77
Textron Industries, 140Thomson Financial Network,
6, 170
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Index
195
Top-tier stocks, 19–20Trade associations
micro caps vs., 23, 41–43,
169
as information resources, 71watching, 170
Triptans (drugs), 149–150, 15212b-1 fees, 178
pension plans and, 47PIPEs and, 156for Pozen Company, 151principal agent problem and,
UUBS Securities, 164Underperformance, micro
caps and, 37
Uniplan Consulting LLC
Leprino and, 113studies by, 47, 90, 171
United Rentals, 139U.S. Bancorp, 117, 121,
129–130
VValuation
book (see Book value)fundamental techniques for,
83–84, 89–90of Garan, 96–98market (see Market value)methods for, 90–93of Michael Foods, 119micro caps and, 171relative to market, 90relative to peers, 90of Suiza, 111–113Value. See Market valueVariables in portfolio perfor-
mance, 34
Velda Farms, 108, 110Venture capital
168
private equity as, 39–41as technical investors, 158
Venture capital theory, 
21–24
Vestar Capital, 121–131VF Corporation, 101Volatility
of bonds, 35of micro caps, 35, 37, 168,
174
of stocks, 34technical investors and,
158–159
WWalking dead, 42Wal-Mart, 96, 139Weak-form efficient market
theory, 15, 18
Weighted-average market cap,
4
White Wave, Inc., 115Wilshire Micro Cap Index, 36,
48–49, 173
Wilson, William J., 103
XXpedite, 161
conflict of interest and, 22institutional investors and,
43, 47, 169
YYale, 68Yangst Associates, 139
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