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- Creators: Arizona State University
- Creators: Debussy, Claude, 1862-1918
Description
This dissertation addresses two issues in the literature on informal leadership emergence (i.e., the process of an individual without a formal leadership position coming to exert leadership influence over others). First, scholars have focused on situations in which a focal person’s leadership claiming is aligned with a peer’s leadership granting. In doing so, past work has overlooked instances of misalignment, that is, when a focal person claims more leadership than a peer grants (i.e., overclaiming) or when a peer grants more leadership than a focal person claims (i.e., underclaiming). Second, the consensus in the literature suggests that emerging as an informal leader provides more beneficial outcomes to the individual and their team than non-emerging. However, I argue that this assumption may not be warranted in some situations, for example when a focal person’s lack of claiming is aligned with a peer’s lack of granting. Drawing on the leadership identity claiming and granting framework, I postulate four forms of informal leadership (non)emergence, namely (1) dyadic emergent leadership, (2) dyadic leadership absence, (3) overclaiming, and (4) underclaiming. Based on role theory, I then build theory regarding their effects on behavioral consequences through affective and cognitive mechanisms. More precisely, I suggest that forms characterized by congruence in leadership claiming and granting (as opposed to forms characterized by incongruence) result in increased peer backing-up behavior towards the focal person (mediated by enthusiasm and respect) and reduced peer social undermining (mediated by anger and revenge cognitions). I further hypothesize asymmetrical incongruence effects and consider a focal person’s prosocial motivation as a boundary condition. I conducted three studies to examine my theorizing. In Pilot Study 1 (N = 199), I adapted and validated a measure to assess leadership claiming and granting. In Pilot Study 2 (N = 151), I shortened established measures. In the Main Study (N = 279), I tested my theoretical predictions yielding mixed findings. Whereas I find support for the congruence effect on backing-up behavior, all other hypotheses were not supported. I report supplemental analyses to examine these null results and discuss the theoretical, empirical, and practical implications of this research.
ContributorsVaulont, Manuel J (Author) / LePine, Jeffery A (Thesis advisor) / Zhang, Zhen (Committee member) / Craig, Jennifer N (Committee member) / Wellman, Ned (Committee member) / Arizona State University (Publisher)
Created2021
Description
Parental psychological control refers to parental behaviors that intrude into children’s and adolescents’ psychological world and prevent youths’ development of independence and autonomy. Although researchers have argued the detrimental role of parental psychological control in various youths’ developmental outcomes, the association between parental psychological control and adolescents’ physical aggression has been studied infrequently. In this study, I performed a secondary data analysis using data from the Parenting Across Cultures study to investigate potential bidirectional associations of maternal psychological control and paternal psychological control with adolescents’ physical aggression across early- to mid-adolescence in Italy, Thailand, Sweden, the United States, and Colombia. Using a traditional cross-lagged panel model and a random-intercept cross-lagged panel model, the results indicated that across countries, adolescents’ physical aggression at Time 1 (approximately 12 years old) positively predicted fathers’, but not mothers’, psychological control at Time 2 (approximately 14 years old). Further, individual and familial factors such as child age, puberty level, and family socioeconomic status (SES) had significant associations with maternal psychological control, paternal psychological control, and adolescents’ physical aggression across countries and time points. No “maternal effect” or “paternal effect” was found of parental psychological control on adolescents’ physical aggression. This study provided novel information suggestive of adolescents’ role in eliciting parental behaviors, especially the responses of fathers. Suggestions for future research were provided to facilitate a better understanding of parental psychological control and child development in cross-country context.
ContributorsXu, Jingyi (Author) / Eggum-Wilkens, Natalie D. (Thesis advisor) / Bradley, Robert H. (Committee member) / Jager, Justin (Committee member) / Spinrad, Tracy L. (Committee member) / Arizona State University (Publisher)
Created2021
Description
Alzheimer’s disease (AD) is the world’s leading cause of dementia and is the sixthleading cause of death in the United States. While AD has been studied for over a century, little progress has been made in terms of treating or preventing disease progression; therefore, new therapeutic drug targets must be identified. Current clinical trials focus on inhibiting Beta- Secretase 1 (BACE1), the major enzyme involved in the formation of the amyloid beta (Abeta) peptide fragments that aggregate to form insoluble plaques in the brains of AD patients. However, many of these clinical trials have been halted due to neurological effects or organ damage with no substantial cognitive improvements. Because the current leading theory of AD is that the buildup of amyloid plaques leads to metabolic changes that result in the intraneuronal accumulation of hyperphosphorylated Microtubule Associated Protein Tau (TAU, encoded by the MAPT gene), which causes cell death resulting in brain atrophy and dementia (known as the Amyloid Cascade Hypothesis), identifying drug targets that modulate Amyloid Precursor Protein (APP) processing – without directly inhibiting BACE1 – may prove to be a viable treatment. In this work, the role of the Adenosine triphosphate Binding Cassette subfamily C member 1 (ABCC1) was studied in the context of AD. Rare mutations in ABCC1 were identified in a familial case of late-onset AD and in a sporadic case of early-onset AD, and previous laboratories have demonstrated that Abeta is a substrate for ABCC1-mediated export. Although the final experiments reveal no significant difference between the mutant and reference alleles, the data demonstrate that overexpression of ABCC1 modulates APP processing, resulting in decreased Abeta formation and increased alpha- secretase cleavage of the APP molecule, likely via transcriptional modulation of genes that are capable of altering APP metabolism. Therefore, pharmacological interventions that increase either ABCC1 expression or activity may be capable of halting, reversing, or preventing disease progression. Many cancer drug development pipelines have been employed to identify compounds that decrease ABCC1 expression or activity, and it is likely that compounds have been identified that have the opposite effect. These drugs should be studied in the context of Alzheimer’s disease.
ContributorsJepsen, Wayne Mathew (Author) / Huentelman, Matthew (Thesis advisor) / Kusumi, Kenro (Thesis advisor) / Jensen, Kendall (Committee member) / Newbern, Jason (Committee member) / Arizona State University (Publisher)
Created2021
Description
Sibling relationships are important units of socialization during adolescence. These involuntary relationships consist of positive and negative relationship qualities (Buist & Vermande, 2014; Deater-Deckard et al., 2002; Updegraff et al., 2005a), and some dimensions of these relationships are less understood than other dimensions. One dimension in need of attention is that of sibling relational victimization, which includes behaviors aimed at harming one’s sibling relationship during a period in which interpersonal relationships are developmentally salient (Collins & Steinberg, 2006; Crick, 1995; Crick & Grotpeter, 1995). In my dissertation, I examine the associations between family and friendship dynamics and sibling relational victimization longitudinally during adolescence. In study 1, I examined the developmental change in sibling relational victimization experiences during adolescence, and tested the associations between parent-youth and sibling conflict and intimacy and sibling relational victimization longitudinally. Sibling structural characteristics were explored as moderators. Using longitudinal growth and multi-level modeling, I found that sibling relational victimization decreased across adolescence for both siblings, with younger siblings reporting higher frequency of sibling relational victimization relative to older siblings. On a general level, parent-adolescent and sibling intimacy and conflict were associated with sibling relational victimization, albeit in different ways for mixed- and same-gender dyads and older and younger siblings. Overall, findings from study 1 highlight the importance of examining parent-youth and sibling relationship dynamics, the vulnerability of younger siblings as victims of sibling relational victimization, and the interplay of sibling gender dynamics and father-youth relationships on sibling relational victimization experiences in adolescence.
In study 2, I examined whether sibling relational victimization and negativity moderate the associations between parent-adolescent conflict and friendship control, conflict, and perspective taking in adolescence. Variation by sibling birth order and gender also was explored. Using path analytic models, I found that mother-adolescent, sibling, and friendship dynamics were interlinked, such that mother-adolescent conflict in combination with sibling negativity and sibling relational aggression were associated with friendship outcomes, albeit differently by sibling gender and friendship outcome. Findings from study 2 suggest the importance of addressing negative mother-adolescent and sibling relationship dynamics in prevention and intervention curricula aimed at promoting positive friendship dynamics during adolescence.
ContributorsSarama, Annabella Gallagher (Author) / Updegraff, Kimberly (Thesis advisor) / Kochenderfer-Ladd, Becky (Committee member) / Thompson, Marilyn (Committee member) / Bradley, Robert (Committee member) / Arizona State University (Publisher)
Created2021
Description
Socioeconomic status (SES) is one of the most well researched constructs in developmental science, yet important questions underly how to best model it. That is, are relations with SES always in the same direction or does the direction of association change at different levels of SES? In this dissertation, I conducted a meta-analysis using individual participant data (IPD) to examine two questions: 1) Does a nonmonotonic (quadratic) model of the relations between components of SES (i.e., income, years of education, occupation status/prestige), depressive symptoms, and academic achievement fit better than a monotonic (linear) model? and 2) Is the magnitude of relation moderated by developmental period, gender/sex, or race/ethnicity? I hypothesized that there would be more support for the nonmonotonic model. Moderation analyses were exploratory.
I identified nationally representative IPD from the Inter-university Consortium for Political and Social Research (ICPSR). I included 59 datasets, which represent 23 studies (e.g., Add Health) and 1,844,577 participants. Higher income (β = -0.11; β = 0.10), years of education (β = -0.09; β = 0.13), and occupational status (β = -0.04; β = 0.04) and prestige (β = -0.03; β = 0.04) were associated with a linear decrease in depressive symptoms and increase in academic achievement, respectively. Higher income (β = 0.05), years of education (β = 0.02), and occupational status/prestige (β = 0.02) were quadratically associated with a decrease in depressive symptoms followed by a slight increase at higher levels of income and a diminishing association towards higher levels of education and occupational status/prestige. Higher income was also quadratically associated with academic achievement (β = -0.03). I found evidence that these associations varied between developmental periods and racial/ethnic samples, but I did not find evidence of variation between females and males.
I integrate these findings with three conclusions: (1) more is not always better and (2) there are unique contexts and resources associated with different levels of SES that (3) operate in a dynamic fashion with other cultural systems (e.g., racism), which affect the integrated actions between the individual and context. I outline several measurement implications and limitations for future research directions.
ContributorsKorous, Kevin M. (Author) / Causadias, José M (Thesis advisor) / Bradley, Robert H (Thesis advisor) / Luthar, Suniya S (Committee member) / Levy, Roy (Committee member) / Arizona State University (Publisher)
Created2021
Description
Physical vapor deposition (PVD) of phase-separating multicomponent alloy films generates a rich variety of unique self-organized nanoscale morphologies. However, an understanding of how the different material and process parameters influence the formation of these nanostructures is limited. My dissertation aims to bridge this gap by developing phase-field models that can predict an entire spectrum of nanostructures as a function of processing conditions and composition in multicomponent alloys under a set of material-specific constraints. Firstly, I developed a numerical model to simulate nanoscale phase separation in codeposited immiscible binary alloy films. An investigation on the influence of deposition rates, phase-fraction, and temperature, on the evolution of self-assembled nanostructures yielded many characteristic patterns, including well-known morphologies such as the lateral and vertical concentration modulations, as well as some previously undocumented variants. I also simulated phase-separation in ternary alloyed PVD films, and studied the influence of deposition rate and composition on the evolution of self-assembled nanostructures, and recorded many novel nanoscale morphologies. I then sought to understand the role of material properties such as elastic misfit due to lattice mismatch between phases, grain boundaries formed in polycrystalline films, and the interplay of interphase and surface boundaries at the film surface. To this end, I developed phase-field models of binary PVD film deposition that incorporated these constraints and studied their role in altering the temporal and spatial characteristics of the evolving morphologies. I also investigated the formation of surface hillocks and the role of surface and interfacial energies in their evolution. By studying the change in total free energy across the different deposition models, I established that, in addition to influencing the temporal and spatial characteristics of nanoscale structures in the films, this quantity is also responsible for driving morphological transitions as the rate of deposition is increased. Insights gained from this computational study will demonstrate the viability of these models in predicting experimentally observed morphologies and form a basis for understanding the various factors involved in driving phase-separation and morphological transitions. In addition, morphology maps will serve as templates for developing new pathways for morphology control in the manufacturing of PVD alloy films.
ContributorsRaghavan, Rahul (Author) / Ankit, Kumar (Thesis advisor) / Rajagopalan, Jagannathan (Committee member) / Mushongera, Leslie T (Committee member) / Arizona State University (Publisher)
Created2021
Description创新型企业在上市前很难从公开市场获得宝贵的资金支持，往往会通过股权融资来解决企业发展的资金问题。为了探究创新型企业上市前如何选择股权融资，本文从创新型企业股权融资的行为选择角度出发，通过构建实证模型分别探究创新型企业股权融资的股权分配和资金性质选择。本文通过实证研究发现：（1）上市前股权融资的股权份额越大，参与股权投资的机构数量越多，各家投资机构获取股权份额的离散度越大，该轮融资领投机构获得股权份额越小，这与委托-代理理论一致，与信息不对称理论不一致。（2）在上市前股权融资时，相比于国有成分比例较低的企业，国有成分比例较高的企业会选择更高比例的产业投资资金，这有力地支持了融资约束假说，与信息不对称矛盾。
ContributorsCao, Yun (Author) / Shen, Wei (Thesis advisor) / Wu, Fei (Thesis advisor) / Hou, Kewei (Committee member) / Arizona State University (Publisher)
Created2021
Description金融机构对企业风险控制的重点是基于企业的赢利、负债、担保、现金流等财务指标来判断企业的风险状况，但由于信息不对称以及利益相关方的利益驱动，从而使得资本市场上频频出现如康得新、康美药业和獐子岛等等财务造假事件，可见企业的财务数据不一定真实。而随着金融科技的不断发展，信息披露制度的完善，抵质押资产融资数据相对真实。基于此，本文试图攫取企业不易粉饰的抵质押融资率相关数据来破解在融资方财务数据信息可能失真的情况下如何控制信用风险这一难题。首先本文通过对当前企业违约情况的简述与对过往文献的回顾，提出从数据不易粉饰的抵质押融资率入手，来判别企业的信用风险。其次，通过显著性检验、因子分析法确定对本文研究有显著影响的财务指标。再次，运用Logistics模型分别构建抵质押模型、财务模型和综合模型，并对三大模型进行比较分析。最后，根据分析结果得出结论，并就如何控制信用风险方面提出合理化建议。
本文以2018-2020年债券市场民营企业为样本进行研究，其中2018年为训练样本、2019年和2020年为测试样本，研究显示：抵质押融资率、地区经济与违约率负相关；企业违约与否与企业的行业、规模、成立年限的分布不相关；违约企业在企业抵质押融资率上具有阶段性特征，企业抵质押贷款占带息债务比例大于65%或抵质押贷款占带息债务比例变动的绝对值大于35%时，企业违约概率低，但抵质押贷款占带息债务比例和抵质押贷款占带息债务比例变动分别分布在[0,65%]和[-35%,35%]时，企业抵质押融资率的连续性变化与企业违约与否不相关；在有效风控的情境下，抵质押模型准确度高于财务模型，且其超前预警性也优于财务模型；抵质押模型在引入财务指标后，得到的综合模型在检验结果、有效风控和超前预警性上均优于抵质押模型和财务模型，表明财务指标在可能存在粉饰的情况下，还是能够一定程度反映企业违约风险，对抵质押模型有辅助改进作用。
ContributorsXia, Yongchao (Author) / Shen, Wei (Thesis advisor) / Chang, Chun (Thesis advisor) / Zhu, Qigui (Committee member) / Arizona State University (Publisher)
Created2021
Description近年来中国房地产市场迅速发展，但境内的置业市场受多种因素影响不利于投资者，于是一些高净值人士将目光投向经济发展水平高、房地产市场发展稳健的市场，开始了海外房地产投资。本文检验了海外房产中投资者性别异质性及其年龄与教育对海外房产投资的影响。本研究以行为金融学理论为基础，以个体投资者为研究对象，通过问卷调查的方法，探讨了投资者性别异质性对海外房产投资的影响。研究发现，从性别异质性角度来看，女性投资者作为决策者进行海外房产投资往往可以提高海外房产交易达成的概率。从年龄方面来看，当投资者年龄越高时，投资者越有可能投资海外房产，而且当投资者为女性时，这种年龄效应尤为明显。从学历角度来看，当投资者受过大学高等教育即学历为本科学历时，这类投资者可以促进海外房产投资的达成，且在投资者为女性时，投资者的上述学历效应尤为显著。本文主要从性别异质性的角度拓展了投资者有限理性对海外房产投资的影响。
ContributorsZhu, Qingling (Author) / Zhu, David (Thesis advisor) / Chen, Hui (Committee member) / Yan, Hong (Committee member) / Arizona State University (Publisher)
Created2021
Description随着我国资本市场的快速发展，连续并购成为上市公司实现市值提升的重要策略，然而对于连续并购是否能实现有效价值创造和市值增长，国内外文献研究均没有一致的结论。本文研究连续并购对上市公司短期和长期绩效的影响，并探究管理层过度自信现象和学习效应、公司股权性质和并购交易特征等对结果的影响，就企业如何更好的发挥连续并购价值创造功能，避免潜在风险等方面提出相应建议。利用国泰安（CSMAR）并购重组数据库, 本文以2010-2017年A股公司为研究样本，通过事件研究法发现，连续并购能带来正的超额收益(CAR)，但当连续并购阶次达到4阶时，市场反应明显变负。CAR随着阶次递增呈现下降趋势，证明了连续并购的财富递减效应。进一步地，本文发现首次并购成功带来的过度自信会导致高阶次并购绩效不断下降；管理层未经过充分学习和准备就进行的并购，会伤害公司短期绩效，并且可能阻碍公司更高阶的并购事件的发生。结果证明了管理者过度自信假说在A股市场的适用性，以及组织学习理论的部分解释能力。控制并购交易等因素后的多元回归结果和前述发现一致。
接下来，本文采用多元回归对连续并购长期绩效影响进行实证检验。在经营绩效方面，连续并购行为短期内不会产生明显负面影响，但随着并购的完成和新业务的开展，连续并购对经营业绩的负面影响逐渐凸显并显著，结果证实连续并购对公司长期经营业绩是有害的。交易特征变量、公司治理结构和财务状态一定程度上能够改善公司长期业绩。对于长期市场估值倍数，本文发现连续并购能够显著提升公司的市场估值倍数， 并且该正面影响随着并购的完成和新业务的开展不断增强。进一步探究发现，连续并购对经营绩效的负面影响只存在于国有企业，而连续并购对市场估值倍数的提升作用只存在于私有企业，从而解释了连续并购后经营绩效和市场化估值倍数结果相悖现象的出现。基于本文发现，文章最后向上市公司管理层的并购决策提出了相应建议。
ContributorsLi, Zhuang (Author) / Pei, Ker-Wei (Thesis advisor) / Yu, Xiaoyun (Committee member) / Arizona State University (Publisher)
Created2021