Employee
Stock Ownership Plans (ESOPs)
ARTICLES
John Abrams, “Conscious Growth: Why South Mountain Co. pursues deliberate
rather than maximum growth,” New York, NY: Business Ethics, Vol. 18, no.
2, Summer 2004.
article-abrams.pdf (180KB)
Robert Ashford, Binary Economics and the Case for Broader Ownership, Syracuse,
NY: Syracuse University College of Law, July 20, 2003.
article-ashford.pdf
(132KB)
Peter Asmus, “The 15th Annual Business Ethics Awards,” New York, NY:
Business Ethics, Winter 2003.
article-asmus.pdf (100KB)
Cecile G. Betit, “Carris Companies’ Practice of Employee Governance.”
The Journal of Corporate Citizenship, Issue 6, summer 2002, pp. 87-109.
article-betit.pdf
(374KB)
Robert Breyster, Dr. J. Robert Breyster keynote address, Las Vegas, NV: ESOP
Association conference, November 8, 2007.
article-beyster.pdf
(36KB)
Terrence Briggs, “Insider View: ESOPs can make business transition a
little bit easier,”
Boston Business Journal, November 17, 2003.
article-briggs.pdf
(65KB)
Capital Ownership Group, Fair Exchange: a New Tool To Fix Globalization. Kent,
Ohio: Capital Ownership Group, 2004.
article-cog.pdf
(559KB)
John Case, “The Ultimate Employee Buy-In,” Inc.com, December 2005,
article-case.pdf
(232KB)
Alan Deutschman, “The Fabric of Creativity,” Fast Company, issue
89, December 2004.
article-deutschman.pdf
(156KB)
Dan Emerson, “Alpine Lumber: A strategic combination of acquisitions,
value-added services and…”LBM Journal, October 2005.
article-emerson.pdf
(128KB)
Tim Engstrom, “Insuring the future: Foundation secure, co-founder focuses
on giving back,”
Fort Myers News-Press, January 15, 2006.
article-engstrom.pdf
(200KB)
Kris Frieswick, “Split personality: an ESOP is a retirement plan. No, it's
an ownership investment. Wait—it's neither one – Benefits,”
CFO Magazine for Senior Financial Executives, June 2003.
article-frieswick.pdf (70KB)
James F. Higgins Jr.,
“Owner Planning an Exit? Have You Considered an ESOP?” Morristown,
NJ: Financial Executive Magazine, March 2007.
article-higgins.pdf (4.5MB)
Douglas Kruse, “Research Evidence on Prevalence and Effects of Employee
Ownership.” Testimony before the Subcommittee on Employer-Employee Relations
— Committee on Education and the Workforce, Washington, D.C.: U.S. House
of Representatives, February 13, 2002.
article-kruse.pdf
(61KB)
Daniel Rome Levine, “The ABCs of ESOPs: Employee Stock Ownership Plans
are Making Ownership Succession a Success,” Engineering Inc., March-April
2005, pp. 19-21.
article-levine.pdf
(439KB)
Kevin G. Long, ESOPs in Changing Times, Folsom, CA: Chang, Ruthenberg & Long, 2008.
article-long.pdf (50KB)
Bridget McCrea, “The Perfect Perk,” Hispanic Trends.com, December
2005-January 2006.
article-mccrea.pdf
(208KB)
Matt L. Ottinger, “ESOPs in Indiana: State Emphasizing Employee Ownership
Model,” BizVoice, January/February 2008.
article-ottinger.pdf (500KB)
National Center for Employee Ownership (NCEO). Largest Study Yet
Shows ESOPs Improve Performance and Employee Benefits. Oakland,
CA: NCEO, 2002.
www.nceo.org/library/esop_perf.html
National Center for Employee Ownership (NCEO), A Statistical Profile
of Employee Ownership. Oakland, CA: NCEO, 2003. Updated March 2005.
www.nceo.org/library/eo_stat.html
Northland Institute. Employee Stock Ownership Plans as a Community Asset-Building
Strategy.
www.northlandinst.org/EconDev_ESOP.cfm
Thomas Roback, Jr., ESOP Strength in Minnesota – Why ESOPs work well for
Minnesota companies, edited by Nicole Medgaarden, Charlottesville, VA: Blue
Ridge ESOP Associates,
March 10, 2006.
article-roback.pdf
(128KB)
Steven Rubow, “Hy-Vee’s Winning Ways,” Private Label Magazine,
January/February 2007.
article-rubow.pdf (700KB)
Ian Rusk, “The straight scoop on ESOPs: Why is this employee benefit plan
so popular in the engineering industry?” CENews.com, November 10, 2005.
article-rusk.pdf (90KB)
Patrick J. Sauer, “Honorable Mention: The Anti-FEMA,” Inc.com, December
2005,
article-sauer.pdf
(108KB)
SJF Advisory Services, “Broad-Based Employee Incentive Arrangements,”
New York, NY: SJF Advisory Services, 2008.
article-sjf.pdf (100KB)
*NEW*
Richard Tanner, ESOP Opportunities White Paper, Cleveland, OH: Ownership Advisors,
2007.
article-tanner.pdf
(85KB)
BOOKS
Joseph Blasi, Douglas Kruse, and Aaron Bernstein, In the Company
of Owners. New York: Basic Books, 2003.
Peter A. Kardas, Adria L. Scharf, and Jim Keogh, Wealth and Income
Consequences of Employee Ownership: A Comparative Study of Washington
State. NCEO: Oakland, CA, 1998.
http://cog.kent.edu/lib/kardas.htm
Louis Kelso and Mortimer J. Adler, The Capitalist Manifesto. New
York: Random House, 1958.
book-kelso.pdf
(806KB)
John Logue and Jacquelyn Yates, The Real World of Employee Ownership. Ithaca,
NY: Cornell, 2001.
Corey Rosen, John
Case, and Martin Staubus, Equity: Why Employee Ownership Is Good for Business.
Cambridge, MA: Harvard Business School, 2005. For book summary, see
http://hbswk.hbs.edu/item.jhtml?id=4802&t=organizations
PAPERS
Joseph Blasi and Douglas Kruse, “The Political Economy of
Employee Ownership in the United Sates: From Economic Democracy
to Industrial Democracy?,” Industrial Relations Research Association
conference. San Diego, CA: January 2-5, 2004. Revised draft: January
16, 2004.
Steven F. Freeman, Effects of ESOP Adoption and Employee Ownership: Thirty years
of Research and Experience, Organizational Dynamics Working Papers, Working
Paper 07-01, Philadelphia, PA: University of Pennsylvania, Center for Organizational
Dynamics, January 4, 2007.
paper-freeman.pdf
(300KB)
Steven F. Freeman and Michael Knoll, S Corp ESOP Legislation Benefits and Costs:
Public Policy and Tax Analysis, Philadelphia, PA: University of Pennsylvania School
of Arts and Sciences Center for Organizational Dynamics, Working Paper #08-07,
July 29, 2008.
paper-freeman-knoll.pdf (270KB)
John Grummel and John Logue, Employees and Ownership Trends, Characteristics,
and Policy Implications of State Employee Ownership Legislation. Kent, Ohio:
Ohio Employee Ownership Center, no date.
http://cog.kent.edu/lib/grummel.htm
*NEW*
Brent Kramer, Employee ownership and participation effects on firm outcomes
(excerpted from a doctoral dissertation), New York, NY: City University of New
York Graduate Center, Department of Economics, For presentation at the Seminar
in Applied Economics at the Graduate Center, April 1, 2008.
paper-kramer.pdf
(950KB)
Douglas Kruse, Richard Freeman, Joseph Blasi, Robert Buchele,
Adria Scharf, Loren Rodgers, and Chris Mackin, Motivating Employee-Owners
in ESOP Firms: Human Resource Policies and Company Performance.
Presented at panel on “Econometric Case studies of Human Resources
and Firm Performance,” Washington, D.C.: Industrial Relations
Research Association, January 2003.
paper-kruse-et-al.pdf
(177KB)
Christopher Mackin, Wealth at Work: Employee Ownership and Responsible Accumulation.
Presented at the Using Pensions for Social Control of Capitalist Investment
conference. Madison: The Havens Center-University of Wisconsin, June 2004.
paper-mackin.pdf
(91KB)
National Center for Employee Ownership, ESOP Termination, Phase I: A Report
on the Reasons Companies Terminate Employee Stock Ownership Plans, Oakland,
CA: NCEO, April 18, 2007.
paper-nceo.pdf
(144KB)
Deborah Groban Olson, Fair Exchange: providing citizens with equity by a community
trust, in return for government subsidies or tax breaks to businesses. Kent,
Ohio: Draft unpublished manuscript, October 7, 2005. To be published in Cornell
Journal of Law and Public Policy, vol. 15, no. 2 (winter 2006).
paper-olson.pdf
(1MB)
Jacquelyn Yates, Ohio’s Employee-Owned Network: Helping Employee-Owned
Companies to Help Themselves? Paper presented at “Europe et Société
Colloque” conference. Paris, April 28-29, 2004.
paper-yates.pdf
(65KB)
Jacqueline Yates and John Logue, “Democratic Employee Ownership
and Economic Performance: Preliminary Results of a New Study.”
Prepared for the American Political Science Association (APSA) conference.
Chicago: APSA, Sept. 2-4, 2004.
REPORTS
John Logue, Moderator, Thinking globally, acting locally: Promoting employee
ownership at the subnational level—Report on the COG Subnational Discussion
Group, Kent, Ohio: Capital Ownership Group and Ohio Employee Ownership Center,
May 2001.
report-logue.pdf
(300KB)
Christopher Mackin,
2006 Census of Massachusetts Companies with Employee Stock Ownership Plans:
Final Report, submitted to the Commonwealth Corporation, Boston, MA: The Massachusetts
Office of Employee Involvement and Ownership, January 2006.
report-mackin.pdf
(1.3MB)
National Center for Employee Ownership (NCEO), A Comprehensive Overview of
Employee Ownership. Oakland, CA: NCEO, 2002.
www.nceo.org/library/overview.html
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