Lukas Roth Academic Experience Education Publications Completed Working Papers

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1 Alberta School of Business, University of Alberta, Edmonton, Alberta, Canada T6G 2R6 Phone: Web: Academic Experience Assistant Professor of Finance, University of Alberta, 2009-present Visiting Assistant Professor of Finance, Pennsylvania State University, Visiting Post-Doctoral Scholar, Pennsylvania State University, Education Ph.D. in Finance, University of Bern, Switzerland, 2006 Visiting Ph.D. Student, Simon School of Business, University of Rochester, 2003 Post-Graduate Studies in Applied Statistics, University of Bern, Switzerland, M.Sc. in Business Administration and Economics, University of Bern, Switzerland, Publications Uninvited U.S. Investors? Economic Consequences of Involuntary Cross-Listings, 2013, with Peter Iliev and Darius Miller, Journal of Accounting Research, forthcoming. IIROC-DeGroote Annual Conference Best Paper Award, 2010 Political Rights and the Cost of Debt, 2010, with Yaxuan Qi and John Wald, Journal of Financial Economics 95, Financial Management Association Best Paper Award in International Finance, 2008 How Legal Environments Affect the Use of Bond Covenants, 2011, with Yaxuan Qi and John Wald, Journal of International Business Studies 42, Mirae Asset Securities Co., Ltd. Outstanding Paper Award Shareholder Value: Principles, Declarations, and Actions, 2010 with Petra Joerg, Claudio Loderer, and Urs Waelchli, Financial Management 39, 5-32 (lead article). Black s Simple Discounting Rule, 2010, with Claudio Loderer and John B. Long, Journal of Applied Corporate Finance 22, (invited submission). The Pricing Discount for Limited Liquidity: Evidence from SWX Swiss Exchange and the Nasdaq, 2005, with Claudio Loderer, Journal of Empirical Finance 12, Socialism and Intrafirm Asset Allocation, 2005, with Petra Joerg and Claudio Loderer, European Financial Management 11, Shareholder Value Maximization: What Managers Say and What They Do, 2004, with Petra Joerg and Claudio Loderer, DBW, Die Betriebswirtschaft 64, Completed Working Papers Shareholder Voting and Corporate Governance Around the World, 2013, with Peter Iliev, Karl Lins, and Darius Miller, Revise and Resubmit at Review of Financial Studies. Summarized in the Harvard Law School Forum on Corporate Governance and Financial Regulation Soft Information and Disclosure Reliability: Evidence from Debt Issuances, 2013, with David Reeb, Under 2 nd Round Review at The Accounting Review.

2 Cash Holdings and Bank Loan Terms, 2013, with Mark Huson. Creditor Rights, Agency Costs, and Business Cycles, 2013, with Yaxuan Qi and John Wald. Do Cash Distributions Justify Share Prices? 2010, with Claudio Loderer. Professional Presentations (* denotes presentations by co-authors) Conferences Cash Holdings and Bank Loan Terms Northern Finance Association, Quebec City, 2013 International Conference of the French Finance Association, Lyon, 2013* Creditor Rights, Agency Costs, and Business Cycles Financial Management Association, Chicago, 2013 International Conference of the French Finance Association, Lyon, 2013* Midwest Finance Association, Chicago, 2013* Shareholder Voting and Corporate Governance Around the World Corporate Finance Conference, University of Bristol, 2012* American Finance Association, Chicago, 2012* European Finance Association, Stockholm, 2011 Darden International Finance Conference, Charlottesville, 2011 Northern Finance Association, Vancouver, 2011 Global Issues in Accounting Conference, Chapel Hill, 2011* McGill Global Asset Management Conference, Montreal, 2011* Uninvited U.S. Investors? Economic Consequences of Involuntary Cross-Listings Journal of Accounting Research Conference, Frankfurt, 2013 (invited presentation)* European Finance Association, Frankfurt, 2010 American Law and Economics Association, Princeton, 2010 NYFed/RCFS Conference on Financial Stability and Financial Intermediary Firms Behavior, New York, 2010 IIROC-DeGroote Conference on Market Structure and Market Integrity, Toronto, 2010 Northern Finance Association, Winnipeg, 2010 Central Bank of Brazil s Financial Crisis of 2008 Conference, Sao Paulo, 2010* University of Oregon Conference in honor of Larry Dann, Eugene, 2010* Financial Management Association, New York, 2010* Political Rights and the Cost of Debt McGill Global Asset Management Conference, Montreal, 2009 European Finance Association, Athens, 2008 American Law and Economics Association, New York, 2008 Financial Economics and Accounting Conference, Austin, 2008* Financial Management Association, Dallas, 2008 Conference on Empirical Legal Studies, Ithaca, 2008 Northern Finance Association, Kananaskis, 2008 China International Conference in Finance, Dalian, 2008* How Legal Environments Affect the Use of Bond Covenants Northern Finance Association, Niagara, 2009 International Conference on Asia-Pacific Financial Markets, Seoul, 2009* 2 October 2013

3 Financial Management Association, Reno, 2009* Shareholder Value: Principles, Declarations, and Actions Financial Management Association, Orlando, 2007 Black s Simple Discounting Rule Financial Management Association, Reno, 2009 Northern Finance Association, Kananaskis, 2008 CRSP Forum, Chicago, 2008 Washington Area Finance Association Conference, Washington D.C., 2007 Do Cash Distributions Justify Share Prices? European Finance Association, Zurich, 2006 CRSP Forum, Chicago, 2006 Financial Management Association, Chicago, 2005 European Financial Management Association, Milan, 2005 Symposium on Finance, Banking, and Insurance, Karlsruhe, 2005 Departments/Seminars (own presentations only) Shareholder Voting and Corporate Governance Around the World Texas A&M, 2011 Uninvited U.S. Investors? Economic Consequences of Involuntary Cross-Listings HEC Montreal, 2010 University of Alberta, 2009 Political Rights and the Cost of Debt University of Alberta, 2009 Concordia University, 2008 Drexel University, 2008 Pennsylvania State University, 2008 Queen s University, 2008 Temple University, 2008 University of Kansas, 2008 University of Missouri, 2008 Wake Forest University, 2008 Do Cash Distributions Justify Share Prices? Pennsylvania State University, 2006 Professional Service Discussant (and Session Chair) Financial Management Association, Chicago, 2013 (Session Chair) European Finance Association, Cambridge, 2013 (Discussant & Session Chair) International Conference of the French Finance Association, Lyon, 2013 (Discussant & Session Chair) Financial Economics and Accounting Conference, Bloomington, 2011 Northern Finance Association, Vancouver, 2011 Financial Management Association, New York, October 2013

4 Frontiers in Finance Conference, Banff, 2010 IIROC-DeGroote Conference on Market Structure and Market Integrity, Toronto, 2010 Northern Finance Association, Winnipeg, 2010 Financial Economics and Accounting Conference, Piscataway, 2009 Frontiers in Finance Conference, Banff, 2009 Northern Finance Association, Niagara, 2009 Financial Management Association, Dallas, 2008 Washington Area Finance Association, Washington D.C., 2008 European Finance Association, Zurich, 2006 Accounting Research Workshop, Bern, 2005 European Financial Management Association, Milan, 2005 Conference Review Committee SFS Cavalcade, 2012 European Finance Association, 2010 Northern Finance Association, Midwest Finance Association, 2008, 2013 Eastern Finance Association, 2007 Ad-hoc Referee Journal of Empirical Finance, Journal of International Business Studies, Journal of Legal Studies, Canadian Journal of Administrative Sciences, Swiss Journal of Economics and Statistics Dissertation Committee Member Anming Wu, University of Alberta, 2012-present External Examiner for Doctoral Thesis Burcin Col, McGill University, 2012 Honors and Awards Insight Development Grant, SSHRC of Canada, Co-applicant, $63,842, 2013 Insight Grant, SSHRC of Canada, Principal Investigator, $107,000, 2012 Insight Grant, SSHRC of Canada, Co-applicant, $123,000, 2012 Killam Conference Travel Grant, Killam Research Fund, 2011 GRA Rice Faculty Fellowship, University of Alberta, 2011 IIROC-DeGroote Annual Conference Best Paper Award, 2010 Mirae Asset Securities Co., Ltd. Outstanding Paper Award, 2009 Financial Management Association Best Paper Award in International Finance, 2008 SSHRC of Canada Grant, Collaborator, $91,000, 2008 Holcim Foundation Research Grant, 2007 Janggen-Poehn Fellowship, 2007 Swiss National Science Foundation Fellowship for Prospective Researchers, 2006 Swiss National Science Foundation Research Grant, 2004 BSI Gamma Foundation Award, October 2013

5 Teaching Experience University of Alberta Introduction to Corporate Finance (FIN 503), MBA, 2010-present Introduction to Corporate Finance (FIN 503), Fort McMurray MBA, Fall 2011 Introduction to Finance (FIN 301), Undergraduate, 2010-present Pennsylvania State University Financial Management of the Business Enterprise, Undergraduate, University of Bern Principles of Valuation (BSc, 2000), Introduction to International Finance (MSc, 2002), Introduction to Financial Derivatives (MSc, 2005), Excel Refresher (Rochester-Bern Executive MBA, ) University Service Seminar Series Coordinator, University of Alberta, 2011/12 Member of the Data Committee, University of Alberta, 2010/11 Personal Swiss Citizen, Canadian Permanent Resident Languages: German (native), English (fluent), French (advanced) References Upon request. 5 October 2013