STOCK a claim to part ownership in a corporation SHAREHOLDER a person or entity who owns stock IPO the first sale of stock to the public COMMON STOCK voting rights, more risk, no guaranteed dividend PREFERRED STOCK guaranteed dividend, no vote, more stable price DIVIDEND a company's profit paid out to shareholders UNDERWRITER the investment bank that prices and sells the IPO NYSE / NASDAQ the two largest U.S. stock exchanges SESSION 02 What Is a Stock? STOCK a claim to part ownership in a corporation SHAREHOLDER a person or entity who owns stock IPO the first sale of stock to the public COMMON STOCK voting rights, more risk, no guaranteed dividend PREFERRED STOCK guaranteed dividend, no vote, more stable price DIVIDEND a company's profit paid out to shareholders
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Stock Market Investing — A Self-Guided Course
SESSION 02

What Is a Stock?

Now that you know what a company is, learn how a piece of one ends up in your portfolio.

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Background

A public company is a company that issues stock for sale to the public. It issues stock to raise money to develop new products and services and support the expansion of its current business. When you purchase a company's stock, you own part of the company that issued it. Whether you own one share or 100 plus shares, you are entitled to the same rights and benefits (of course, the more shares you have, the more influence you have in company decisions). If the company's stock price rises above what you paid for it, your investment has earned money. If the price falls below what you paid for it, your investment has lost money. However, you risk only the money you invested.

Real example: The Hershey Company, maker of Hershey's Kisses and Reese's Peanut Butter Cups, is a public company. You can become a part owner of Hershey by buying its stock. A company's stock owners are also called its shareholders.

A private company can be owned by an individual, a family, or a small group of investors. It does not raise money by selling stock to the public. A private company raises money through bank loans, venture capitalists, and other sources of capital. Mars Incorporated, maker of M&M's and other popular candies, is an example of a private company. It is owned by the Mars family.

Most companies, including The Hershey Company, begin as small private companies. However, as a company grows and needs capital for expansion, its owners must decide how to raise money. The Hershey Company decided that instead of borrowing from banks or venture capitalists like Mars Incorporated, they would "go public" and sell stock to raise money for growth.

When a company decides to go public, its management meets with investment bankers, who underwrite the company's stock offering, known as an IPO (Initial Public Offering). The investment bankers buy all the shares that will be publicly offered at a set price (the primary market). In other words, they underwrite the IPO. The investment bankers then sell the stock to the public (the secondary market) in the hopes of making a profit. When you buy and sell stock in the Stock Market Game, you do so on the secondary market.

In addition to preparing a prospectus, underwriters also prepare a tombstone ad, an announcement that appears in financial publications such as The Wall Street Journal. Underwriters may also organize meetings with people who buy large amounts of stock for institutions such as pension funds, mutual funds, banks, or insurance funds, hoping they will buy shares in the company.

In order to sell its stock, a company must also register with the Securities and Exchange Commission (SEC) before going public. Companies generally offer two types of stock: common and preferred.

Common stock entitles owners (shareholders) to collect dividends, if the company declares them, and to vote in company elections and proposals. Common stock shareholders share in most of a company's profits and losses.
Preferred stock shareholders are usually guaranteed a dividend payment, made before any payment to common stockholders. If a company fails, preferred stockholders are repaid before common stockholders. Preferred stockholders do not share in most of a company's profits or losses, and they have no voting rights.

An important difference: the price of preferred stock tends to be more stable, changing little over time, compared to common stock.

Stocks are bought and sold on exchanges. The Stock Market Game™ program is an electronic platform on which students buy and sell simulated shares of common stock listed on the two major U.S. stock exchanges: the New York Stock Exchange (NYSE) and the NASDAQ.

Key Terms

Vocabulary

Tap a card to flip it and reveal the definition.

Common Stock
Shares of a company that do not guarantee a dividend and carry more risk and volatility than preferred shares. Holders can vote for the board of directors and on issues at the annual shareholder meeting.
Corporation
A business that is owned by shareholders and has rights and responsibilities as if it were a person.
Dividend
Part of a company's profits (earnings) that it pays as money to shareholders.
Earnings
The amount of money that remains after subtracting a company's expenses from its revenue.
Investor
Someone who risks funds by purchasing financial products with the hope the investments will increase in value over time.
IPO
Initial Public Offering: the first sale of a company's stock to the public, arranged by investment bankers.
Preferred Stock
Shares of ownership guaranteed a dividend if one is declared, usually less volatile than common stock. No voting rights.
Private Company
A company owned by a person, family, or small group of investors that does not sell shares of stock to the public.
Public Company
A company owned by investors who buy shares of stock, usually through one of the stock exchanges.
Risk
The chance of losing all or part of an investment.
Stock
A type of security that signifies ownership in a corporation and represents a claim to part of the company's profits or losses.
Tombstone Ad
An announcement appearing in financial publications such as The Wall Street Journal, announcing a company's IPO.
Underwriter
An investment banker who buys an entire new securities issue from the company or government offering it, and resells it to the public.
Volatility
Indicates how much and how quickly the value of an investment, market, or market sector changes.
Goals

Performance Objectives

By the end of this session, you will be able to:

Activity Sheet 1

What Is a Stock? — True or False

Decide whether each statement is true or false, then reveal the answer.

Activity Sheet 2

Stock Market Calculations

All stock prices used in this activity are hypothetical and not meant to reflect current prices.

Q1
You purchase 723 shares of Nike at $47.75 per share, and one year later sell all 723 shares at the current market price of $62.25. Did you earn a profit or lose money? How much?
PROFIT Gain per share = $62.25 − $47.75 = $14.50.
Total profit = 723 × $14.50 = $10,483.50.
Q2
During the year you own Nike stock, you earn a dividend of $1.25 per share. You own 720 shares. How much did you earn in dividends?
$900.00 720 shares × $1.25 per share = $900.00 in dividends.
Q3
Starbucks was selling for $57.12 per share eighteen months ago, and you purchased 250 shares. You sold them last week for $68.38 per share. How much profit did you make?
PROFIT Gain per share = $68.38 − $57.12 = $11.26.
Total profit = 250 × $11.26 = $2,815.00.
Q4
You own 100 shares in each of three companies. Gillette pays $1.15/share, General Electric pays $0.79/share, and Hershey Foods pays $0.84/share in dividends. How much do you collect in total?
$278.00 Gillette: 100 × $1.15 = $115.00
General Electric: 100 × $0.79 = $79.00
Hershey Foods: 100 × $0.84 = $84.00
Total = $115.00 + $79.00 + $84.00 = $278.00.
Q5
Using your answers from Q1 and Q3, what was your total profit from both stock sales? Using Q2 and Q4, what were your total earnings from dividends?
TOTALS Total profit from sales = $10,483.50 (Nike) + $2,815.00 (Starbucks) = $13,298.50.
Total dividend earnings = $900.00 (Nike) + $278.00 (Gillette/GE/Hershey) = $1,178.00.
Activity Sheet 3

A Tale of Two Chocolate Companies

Mars, Inc. PRIVATE

It began in 1911 in the kitchen of Frank and Ethel Mars in Tacoma, Washington. In 1920 they produced the MILKY WAY bar, and the family company went on to create SNICKERS and M&M'S. By the 1970s, Mars spanned snack food, food, pet care, and vending, growing into a multi-billion dollar business built on brands like TWIX, PEDIGREE, WHISKAS, CESAR, SHEBA, and UNCLE BEN'S.

The Hershey Company PUBLIC

Raised in rural Pennsylvania and nearly bankrupt at age 30, Milton S. Hershey began as a small subsidiary of his Lancaster Caramel Company. After years of work, he became the first American to develop a formula for manufacturing milk chocolate. Hershey Foods, unlike the private Mars Company, is publicly traded, meaning members of the public can become part owners by purchasing stock.

1. Explain what you think it means that Mars is a privately held company and Hershey is a publicly held company.
It means ownership of Mars stays with the Mars family and a small group of investors, so no outside member of the public can buy a piece of the company. Hershey, by contrast, sells shares on the stock exchange, so anyone can become a part-owner and share in its profits and losses by buying stock.
2. If the Mars Corporation wanted to raise money to expand its business, how could they do it?
As a private company, Mars would need to raise money through bank loans, venture capitalists, or other private sources of capital, or by using its own retained profits, since it cannot sell shares to the public.
3. How can the Hershey Corporation raise funds to expand its business?
Hershey can raise funds by issuing and selling additional shares of stock to the public, in addition to options like bank loans or bonds, since it is already a public company registered with the SEC.
4. Mars is an $18 billion privately owned business; Hershey is a $9 billion publicly owned business. How could Hershey sell more candy and chocolate than Mars and still be the smaller of the two companies? Discuss.
This is a discussion question with no single correct answer. Points worth considering: company value reflects far more than one product line's sales, including profit margins, debt, brand portfolio, and other business segments. Mars also owns large non-chocolate businesses (pet care brands like PEDIGREE and WHISKAS, for example), which can add significant value even if chocolate and candy are not the majority of its revenue. A company's total worth is not simply a multiple of one category's sales.
Mathematical Strand

Thinking Algebraically

Write equations (=) or inequalities (<, >, ≤, ≥) that represent each scenario. Define your variables. Ignore broker's fees in the first three problems.

Q1
You have a total of $5,460 to spend, and you want to use it all to buy a number (x) of shares that cost $35.40 per share.
x = the number of shares purchased
$5,460 = $35.40(x)
Q2
You don't want to spend more than $6,820, and you want to buy y shares of stock that costs $28.21 per share.
y = the number of shares purchased
$6,820 ≥ $28.21(y)
Q3
A stock's price per share is $76.05. You want to invest at least $2,000 but no more than $4,500.
n = the number of shares purchased
$2,000 ≤ $76.05(n) ≤ $4,500

For Q4–8, include a broker's fee of 2% on each transaction.

Q4
You bought 95 shares of a stock at a price of $Y for a total cost of $11,821.80.
Y = cost per share
95($Y) + (.02)(95)($Y) = $11,821.80
OR (1.02)(95)($Y) = $11,821.80
Q5
You bought some number of shares at $33.12 a share, which cost you $8,445.60.
n = number of shares bought
$33.12(n) + (.02)($33.12)(n) = $8,445.60
OR $33.12(1.02)(n) = $8,445.60
Q6
You sold 480 shares of stock worth $X per share. As a result, $26,483.52 in cash came back to your portfolio.
X = cost per share
480($X) − (.02)(480)($X) = $26,483.52
OR 480(.98)($X) = $26,483.52
Q7
You bought some number of shares worth $48.24 each. You sold the shares at $49.82, for a loss of $246.72.
n = number of shares bought
(Money earned selling shares) − (money spent buying shares) = gain/loss
$49.82(.98)(n) − $48.24(1.02)(n) = −$246.72
Q8
Refer to Q7. Why did you have a net loss when the stock price increased?
Although the stock price increased, the gain earned by the n shares of stock was still less than the amount of money paid in broker's fees on both the buy and the sell transactions.
Mathematical Strand

Interpreting Statistics

Q1
If you know the number of shares you've bought and the price per share, how would you calculate the total value of your investment?
Let n = number of shares, s = price per share, t = total value of investment.
n × s = t
Q2
If you bought 3,850 shares of Dream Worldwide Inc. in March for $26.45 a share, how much did you invest initially?
3,850 × $26.45 = $101,832.50
Q3
Using the closing-price table below, build a table showing the value of your 3,850-share investment each month, and the resulting profit or loss versus your $101,832.50 cost basis.
MonthPrice/ShareValue (× 3,850)Gain/LossResult
March$26.45$101,832.50
April$27.10$104,335.00$2,502.50Profit
May$25.95$99,907.50−$1,925.00Loss
June$22.90$88,165.00−$13,667.50Loss
July$20.94$80,619.00−$21,213.50Loss
August$21.19$81,581.50−$20,251.00Loss
September$24.91$95,903.50−$5,929.00Loss
October$26.45$101,832.50$0.00Even
November$29.23$112,535.50$10,703.00Profit
December$29.49$113,536.50$11,704.00Profit
January$28.18$108,493.00$6,660.50Profit
February$26.85$103,372.50$1,540.00Profit
March$30.58$117,733.00$15,900.50Profit
April$29.58$113,883.00$12,050.50Profit
Mathematical Strand

Communicating Quantitative Information

Choose an appropriate scale and graph the value of Group A's portfolio shown below. Mark important dates as appropriate.
DateValue
4/10/2018$100,000
4/11/2018$103,500
4/12/2018$102,970
4/13/2018$100,340
4/14/2018$99,730
4/17/2018$98,980
4/18/2018$99,102
4/19/2018$104,250
4/20/2018$103,590
4/21/2018$102,111
4/24/2018$101,553
4/25/2018$103,211
4/26/2018$104,006
120k 105k 90k 80k 4/10 4/18 4/26

The portfolio dipped in mid-April to a low near $98,980 on 4/17, then recovered to close near $104,006 by 4/26. Values plotted on a $80,000–$120,000 vertical scale keep the day-to-day swings readable.

Mathematical Strand

Tackling Complex Problems

Jennifer bought 800 shares of Brown Oats Inc. (BOI) at $16.65 a share on September 21. On September 28, she sold 400 shares at $16.52. She bought another 300 shares on October 3 at $16.01. She sold all her remaining BOI stock at $17.09 on October 12.

Buy · 9/21 · 800 sh @ $16.65 Sell · 9/28 · 400 sh @ $16.52 Buy · 10/3 · 300 sh @ $16.01 Sell · 10/12 · 700 sh @ $17.09
Q1
How much money did Jennifer invest initially in BOI stock?
800 × $16.65 = $13,320.00
Q2
Immediately after September 28, how many BOI shares did Jennifer still own, and what were they worth?
800 − 400 = 400 shares. Value = 400 × $16.52 = $6,608.00
Q3
How many shares did she own immediately after her October 3 purchase, and what were they worth?
400 + 300 = 700 shares. Value = 700 × $16.01 = $11,207.00
Q4
How many shares did she sell on October 12, and how much were they worth?
700 × $17.09 = $11,963.00
Q5
Chart the amount of money Jennifer had invested in BOI from September 21 to October 12.
9/21 9/28 10/5 10/12 14k 7k
Q6
How much of a profit or loss did Jennifer make over the course of the investment?
PROFIT She bought stock twice: $13,320.00 + $4,803.00 = $18,123.00.
She sold stock twice: $6,608.00 + $11,963.00 = $18,571.00.
$18,571.00 − $18,123.00 = $448.00 in profit (not including commission fees).

Jacie's SMG group bought 230 shares of DuPoe Inc. on December 21 for $48.98 a share. They sold half their stock on December 27 at $49.19. They rebought 200 shares on January 5 at $48.05, then sold all their shares on January 17 for $50.72 per share.

Buy · 12/21 · 230 sh @ $48.98 Sell · 12/27 · 115 sh @ $49.19 Buy · 1/5 · 200 sh @ $48.05 Sell · 1/17 · 315 sh @ $50.72
Q7
Ignoring broker fees, chart the amount of money Jacie's group had invested in DuPoe Inc. stock from December 21 to January 17.
Bought: 230 × $48.98 = $11,265.40 (12/21)
Sold: 115 × $49.19 = $5,656.85 (12/27)
Bought: 200 × $48.05 = $9,610.00 (1/5)
Sold: 315 × $50.72 = $15,976.80 (1/17)
Q8
How much of a profit or loss did the group make from their investment?
PROFIT Purchased stock: $11,265.40 + $9,610.00 = $20,875.40.
Sold stock: $5,656.85 + $15,976.80 = $21,633.65.
$21,633.65 − $20,875.40 = $758.25 in profit (not including commission fees).