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Series 7
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Textbook
Introduction
1. Common stock
2. Preferred stock
2.1 Review
2.2 Features
2.2.1 Cumulative vs. straight
2.2.2 Participating
2.2.3 Callable
2.2.4 Convertible
2.3 Suitability
3. Bond fundamentals
4. Corporate debt
5. Municipal debt
6. US government debt
7. Investment companies
8. Alternative pooled investments
9. Options
10. Taxes
11. The primary market
12. The secondary market
13. Brokerage accounts
14. Retirement & education plans
15. Rules & ethics
16. Suitability
Wrapping up
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2.2.2 Participating
Achievable Series 7
2. Preferred stock
2.2. Features

Participating

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If preferred stock is participating, it can receive dividends above its stated dividend rate. For example, if you own a $100 par, 5% preferred share, the stated dividend is $5 per year per share (assuming the board of directors declares the dividend).

With participating preferred stock, you may receive more than $5 per year in a strong year. When the issuer has a particularly profitable year, it may pay an additional dividend to participating preferred stockholders.

Because this feature can increase the dividends you receive, participating preferred stock is generally beneficial to the stockholder. As a result, it tends to trade at higher market prices (higher demand). Remember: higher prices mean lower yields. For the same reason, issuers often sell participating preferred stock with lower stated dividend rates when the shares are first issued.

Key points

Participating preferred stock

  • Eligible to receive more than the stated dividend rate
  • Issuers pay more in profitable years
  • Beneficial feature for the investor
  • Lower dividend rates (vs. non-participating shares)
  • Trades at higher prices and lower yields

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