Financial Accounting: Tools for Business Decision Making Kimmel, Weygandt, Kieso Chapter 14 ` Chapter 14 Financial Analysis: The Big Picture After studying Chapter 14, you should be able to: Understand the concept of earning power and indicate how irregular items are presented. Discuss the need for comparative analysis and identify the tools of financial statement analysis. Explain and apply horizontal analysis. Describe and apply vertical analysis. Identify and compute ratios and describe their purpose and use in analyzing a firm's liquidity, solvency, and profitability. 3 Discuss the limitations of financial statement analysis. Earning Power The value of a company is a function of its future cash flows. 4 Earning Power The most likely level of income to be obtained in the future - that is, to the extent this year’s net income is a good predictor of future years’ net income. 5 Earning Power Earning power differs from actual net income by the amount of irregular revenues, expenses, gains, and losses included in this year's net income. Users are interested in earning power because it helps them derive an estimate of future earnings without the "noise" of irregular items. 6 Irregular Items Three types of irregular items are reported - (all net of taxes): discontinued operations extraordinary items changes in accounting principle 7 Discontinued Operations Refers to the disposal of a significant segment of a business the elimination of a major class of customers or an entire activity 8 Discontinued Operations Assume Rozek Inc. has revenues of $2.5 million and expenses of $1.7 million or net income of $800,000 from continuing operations in 1998. During 1998 the company discontinued and sold its unprofitable chemical division. The loss in 1998 from chemical operations (net of $60,000 taxes) was $140,000, and the loss on disposal of the chemical division (net $30,000 taxes) was $70,000. 9 Page 649 in book Discontinued Operations Assuming a 30% tax rate on the income. Rozek Inc. Partial Income Statement For the Year Ended December 31, 1998 Income before income taxes $800,000 Income tax expense 240,000 Income from continuing operations 560,000 Discontinued operations Loss from operations of chemical division, net of $60,000 income tax saving $140,000 Loss from disposal of chemical division, net $30,000 income tax saving 70,000 210,000 Net income $350,000 10 Extraordinary Items Events and transactions that meet two conditions: Unusual in nature Infrequent in occurrence Extraordinary Items To be considered unusual, the item should be abnormal and only incidentally related to customary activities of the entity. To be regarded as infrequent, the event or transaction should not be reasonably expected to recur in the foreseeable future. Both criteria must be evaluated in terms of the environment in which the entity operates. 12 Extraordinary Items Page 651 in book Ordinary Items Page 651 in book Extraordinary Items In 1998 a revolutionary foreign government expropriated property held as an investment by Rozek Inc. If the loss is $70,000 before applicable income taxes of $21,000, the income statement presentation will show a deduction of $49,000. 15 Page 651 in book Rozek Inc. Partial Income Statement For the Year Ended December 31, 1998 Income before income taxes $800,000 Income tax expense - 240,000 Income from continuing operations 560,000 Discontinued operations Loss from operations of chemical division, net of $60,000 income tax saving $140,000 Loss from disposal of chemical division, net $30,000 income tax saving 70,000 210,000 Net income before extraordinary item 350,000 Extraordinary item Expropriation of investment, net of $21,000 income tax saving 49,000 Net income $301,000 16 Changes in Accounting Principle For ease of comparison, financial statements are expected to be prepared on a basis consistent with that used for the preceding period. When a choice of principles is available, the principal initially chosen should be applied consistently from period to period. A change in accounting principle occurs when the principle used in the current year is different from the one used in the preceding year. 17 Changes in Accounting Principle A change is permitted, when management can show that the new principle is preferable to the old; the effects of the change are clearly disclosed in the income statement. Examples: a change in depreciation methods (such as declining-balance to straight-line) a change in inventory costing methods (such as FIFO to average cost) 18 Changes in Accounting Principle A change in accounting principle affects reporting in two ways: The new principle should be used in reporting the results of operations of the current year. The cumulative effect of the change on all prior-year income statements should be disclosed net of applicable taxes in a special section immediately preceding Net Income. 19 Changes in Accounting Principle Rozek Inc. changes from the straight-line method to the declining-balance method for equipment purchased on January 1, 1995. The cumulative effect on prior-year income statements (statements for 1995-1997) is to increase depreciation expense and decrease income before income taxes by $24,000. If there is a 30% tax rate, the net-of-tax effect of the change is $16,800 ($24,000 x 70%). 20 Page 653 in book Rozek Inc. Partial Income Statement For the Year Ended December 31, 1998 Income before income taxes $800,000 Income tax expense 240,000 Income from continuing operations 560,000 Discontinued operations Loss from operations of chemical division, net of $60,000 income tax saving $140,000 Loss from disposal of chemical division, net $30,000 income tax saving 70,000 210,000 Net income before extraordinary item 350,000 Extraordinary item Expropriation of investment, net of $21,000 income tax saving 49,000 Cumulative effect of change in accounting principle Effect on prior years of change in depreciation method, net of $ 7,200 tax 16,800 Net Income 284,200 Changes in Accounting Principle Although most revenues, expenses, gains, and losses recognized during the period are included in net income, specific exceptions to this practice have developed. Certain items such as unrealized gains and losses on available-for-sale securities, now bypass income and are reported directly in stockholders' equity. 22 Changes in Accounting Principle Unrealized gains and losses on available-forsale securities are excluded from net income because disclosing them separately: reduces the volatility of net income due to fluctuations in fair value, yet informs the financial statement user of the gain or loss that would be incurred if the securities were sold at fair value. 23 Changes in Accounting Principle Analysts have expressed concern that the number of items bypassing the income statement has increased significantly. The FASB now requires that, in addition to reporting net income, a company must also report comprehensive income. 24 Comprehensive Income Includes all changes in stockholders' equity during a period except those resulting from investments by stockholders and distributions to stockholders. 25 Comparative Analysis Any item reported in a financial statement has significance: Its inclusion indicates that the item exists at a given time and in a certain quantity. For example, when Kellogg Company reports $243.8 million on its balance sheet as cash, we know that Kellogg did have cash and that the quantity was $243.8 million. 26 Comparative Analysis Whether the amount represents an increase over prior years, or whether it is adequate in relation to the company's needs, cannot be determined from the amount alone. The amount must be compared with other financial data to provide more information. 27 Comparative Analysis There are three types of comparisons to provide decision usefulness of financial information: Intracompany basis Intercompany basis Industry averages 28 Intracompany Basis Comparisons within a company are often useful to detect changes in financial relationships and significant trends. A comparison of Kellogg's current year's cash amount with the prior year's cash amount shows either an increase or a decrease. Likewise, a comparison of Kellogg's year-end cash amount with the amount of total assets at year-end shows the proportion of total assets in the form of cash. 29 Intercompany Basis Comparisons with other companies provide insight into a company's competitive position. Kellogg's total sales for the year can be compared with the total sales of its competitors such as Quaker Oats and General Mills. 30 Industry Averages Comparisons with industry averages provide information about a company's relative position within the industry. Kellogg's financial data can be compared with the averages for its industry compiled by financial ratings organizations such as Dun & Bradstreet, Moody's, and Standard & Poor's. 31 Financial Statement Analysis Three basic tools are used in financial statement analysis : 1. Horizontal analysis 2. Vertical analysis 3. Ratio analysis Horizontal Analysis Horizontal analysis is a technique for evaluating a series of financial statement data over a period of time. The purpose of horizontal analysis is to determine whether an increase or decrease has taken place. The increase or decrease can be expressed as either an amount or a percentage. 33 Page 656 in book Horizontal Analysis KELLOGG COMPANY Net Sales (in millions) Base Period 1992 1996 1995 1994 1993 1992 6,676.6 7,003.7 6,562.0 6,295.4 6,190.6 34 Page 656 in book Horizontal Analysis If we assume that 1992 is the base year, we can measure all percentage increases or decreases from this base-period amount with the following formula: CURRENT-YEAR AMOUNT – BASE-YEAR AMOUNT BASE-YEAR AMOUNT We can determine that net sales for Kellogg company increased approximately 1.7% [($6,295.4 – $6,190.6)/$6,190.6] from 1992 to 1993. 35 Page 656 in book Percentage Change in Sales The percentage change in sales for each of the 5 years, assuming 1992 as the base period is: 1996 1995 6,676.6 7,003.7 107.8% 113.1% 1994 1993 1992 6,562.0 6,295.4 6,190.6 106.0% 100.2% 100% 36 Horizontal Analysis of a Balance Sheet Page 657 in book The financial statements of Kellogg Company are used to illustrate horizontal analysis: KELLOGG COMPANY, INC. Condensed Balance Sheets December 31 (In millions) Increase (Decrease) during 1996 1996 1995 Amount Percent Assets Current Assets $1,528.6 $1,428.8 $ 99.8 7.0% Plant assets 2,932.9 2,784.8 148.1 5.3 Other assets 588 .5 201.0 387.5 192.8 Total assets 5,050.0 4,414.6 635.4 14.4% Horizontal Analysis of a Balance Sheet Page 657 in book 1996 Liabilities and Stockholders' Equity Current liabilities $2,199.0 Long-term liabilities 1,568.6 Total liabilities 3,767.6 Stockholders' equity Common stock 201.8 Retained earnings and other 3,984.0 Treasury stock (2,903.4) Total stockholders' equity 1,282.4 Total liabilities and stockholders' equity $5,050.0 Increase (Decrease) during 1996 1995 Amount Percent $1,265.4 1,558.3 2,823.7 $933.6 10.3 943.9 183.0 18.8 10.3 3,769.1 (2,361.2) 214.9 542.2 5.7 23.0 1,590.9 (308.5) $4,414.6 $635.4 73.8% .7 33.4% (19.4) 14.4% Horizontal Analysis of an Income Statement Page 657 in book The following is a 2-year comparative income statement of Kellogg Company for 1996 and 1995 (in condensed format): KELLOGG COMPANY, INC. Condensed Income Statement For the Years Ended December 31 (In millions) Net sales Cost of goods sold Gross profit Increase (Decrease) during 1996 Amount Percent 1996 1995 $6,676.6 $7.003.7 ($327.1) 3,122.9 3,177.7 (54.8) (1.7) 3,826.0 (272.3) (7.1) 3,553.7 (4.7%) Horizontal Analysis of an Income Statement Page 657 in book 1996 3,553.7 Gross profit Selling and administrative expenses 2,458.7 Nonrecurring charges 136.1 Income from operations 958.9 Interest expense 65.6 Other income (expense), net (33.4) Income before income taxes 859.9 Income tax expense 328.9 Net income $531.0 Increase (Decrease) during 1996 1995 Amount Percent 3,826.0 (272.3) (7.1) 2,566.7 421.8 837.5 62.6 (108.0) 285.7 121.4 3.0 (4.2) (67.7) 14.5 4.8 21.1 54.5 n/a 796.0 305.7 $490.3 63.9 32.2 $40.7 8.0% 7.6 8.3% Horizontal Analysis of an Income Statement Horizontal analysis of the income statements on Page 657shows these changes: Net sales decreased $327.1, or 4.7% ($327.1 ÷ $7,003.7). Cost of goods sold increased $54.8, or 1.7% ($54.8 ÷ $3,177.7). Selling and administrative expenses decreased $108.0, or 4.2% ($108.0 ÷ $2,566.7). 41 Horizontal Analysis of an Income Statement Although gross profit decreased by 7.2%, net income increased by 8.3%. The increase in net income can be attributed almost entirely to the decrease in nonrecurring charges due to the restructuring of the company. 42 Vertical Analysis Vertical analysis is a technique for evaluating financial statement data that expresses each item in a financial statement as a percent of a base amount. Total assets is always the base amount in vertical analysis of a balance sheet. Net sales is always the base amount in vertical analysis of an income statement. 43 Vertical Analysis of a Balance Sheet Page 659 in book Presented below is the comparative balance sheet of Kellogg for 1996 and 1995, analyzed vertically. KELLOGG COMPANY, INC. Condensed Balance Sheets December 31 (In millions) 1996 Assets Current Assets 1995 Amount Percent Amount Percent $1,528.6 30.3% $1,428.8 32.4% Plant assets (net) 2,932.9 58.1 2,784.8 63.1 Other assets 588.5 11.7 201.0 4.6 Total assets $5,050.0 100.0% $4,414.6 100.0% 44 Vertical Analysis of a Balance Sheet Page 659 in book 1996 1995 Amount Percent Amount $2,199.0 43.5% $1,265.4 Percent Liabilities and Stockholders' Equity Current liabilities 28.7% Long-term liabilities Total liabilities 1,568.6 31.1 1,558.3 35.3 3,767.6 74.6 2,823.7 64.0 45 Vertical Analysis of a Balance Sheet Page 659 in book Amount 3,767.6 Total liabilities Stockholders' equity Common stock 201.8 Retained earnings and other 3,984.0 Treasury stock (2,903.4) Total stockholders' equity 1,282.4 Total liabilities and stockholders' equity $5,050.0 1996 Percent 74.6 4.0 Amount 2,823.7 1995 183.0 Percent 64.0 4.1 78.9 57.5 3,769.1 (2,361.2) 85.4 53.5 25.4 1,590.9 36.0 100.0% $4,414.6 100.0% 46 Vertical Analysis of a Balance Sheet In addition to showing the relative size of each category on the balance sheet, vertical analysis may show the percentage change in the individual asset, liability, and stockholders' equity items. Although, Kellogg's current assets increased $99.8 million from 1995 to 1996, they decreased from 32.4% to 30.3% of total assets. 47 Vertical Analysis of a Balance Sheet Plant assets decreased from 63.1% to 58.1% of total assets. Current liabilities increased by $933.6 million, going from 28.7% to 43.5% of total liabilities and stockholders' equity. Page 660 in book Vertical Analysis of an Income Statement KELLOGG COMPANY, INC. Condensed Income Statement For the Years Ended December 31 (In millions) 1996 Amount Percent Net sales $6,676.6 Cost of goods sold 3,122.9 Gross profit 3,553.7 Selling and administrative expenses 2,458.7 Nonrecurring charges 136.1 Income from operations 958.9 100.0% 46.8 53.2 1995 Amount Percent $7,003.7 3,177.7 3,826.0 100.0% 45.4 54.6 36.8 2,566.7 36.6 2.0 421.8 6.0 14.4 837.5 12.0 Page 660 in book Vertical Analysis of an Income Statement 1996 Amount Income from operations 958.9 Interest expense 65.6 Other income (expense),net (33.4) Income before income taxes 859.9 Income tax expense 328.9 Net income $531.0 1995 Percent Amount Percent 14.4 1.0 837.5 62.6 12.0 .9 .5 21.1 .3 12.9 4.9 8.0% 796.0 305.7 $490.3 11.4 43.6 7.0% Vertical Analysis of an Income Statement Vertical analysis of the comparative income statements of Kellogg reveals that cost of goods sold as a percentage of net sales increased 1.4% (from 45.5% to 46.8%) and selling and administrative expenses increased 0.2% (from 36.6% to 36.8%). Net income as a percent of net sales increased from 7.0% to 8.0% attributed almost entirely to the decline in nonrecurring charges which decreased from 6% to 2% of sales. 51 Intercompany Comparison by Vertical Analysis Page 660 in book Vertical analysis enables you to compare companies of different sizes. Shown below is a comparison of the income statements of Kellogg and Quaker Oats: CONDENSED INCOME STATEMENTS For the Year Ended December 31, 1996 (In millions) The Quaker Kellogg Company, Inc. Oats Company Net sales Cost of goods sold Gross profit Amount $6,676.6 3,122.9 3,553.7 Percent 100.0% 46.8 53.2 Amount Percent $5,199.0 100.0% 2,807.5 54.0 2,391.5 46.0 Intercompany Comparison by Vertical Analysis Kellogg Company, Inc. Amount Gross profit 3,553.7 Selling and administrative expenses 2,458.7 Nonrecurring charges 136.1 Income from operations 958.9 Other expenses and revenues (including income taxes) 427.9 Net income $531.0 The Quaker Oats Company Percent 53.2 Amount 2,391.5 Percent 46.0 36.8 2.0 14.4 1,981.0 113.4 415.6 38.1 2.2 8.0 6.4 8.0% 167.7 $247.9 3.2 4.8% 53 Intercompany Comparison by Vertical Analysis Although Kellogg's net sales are 28% greater than the net sales of Quaker Oats, vertical analysis facilitates a comparison. Kellogg's income from operations as a percentage of sales is 14.4% compared to 8.0% for Quaker Oats. Kellogg's higher percentage income from operations is attributed to its superior gross profit margin rate of 53.2%. 54 Ratio Analysis Ratio Analysis Ratios can be classified into three types: Liquidity ratios - measures of the short-term ability of the enterprise to pay its maturing obligations an to meet unexpected needs for cash Solvency ratios - measures of the ability of the enterprise to survive over a long period of time Profitability ratios - measures of the income or operating success of an enterprise for a given period of time 56 Ratio Analysis As a tool of analysis, ratios can provide clues to underlying conditions that may not be apparent from an inspection of the individual components of a particular ratio. A single ratio by itself is not very meaningful. 57 Liquidity Ratios Liquidity ratios measure the short-term ability of the enterprise to pay its maturing obligations and to meet unexpected needs for cash. Short-term creditors such as bankers and suppliers are particularly interested in assessing liquidity. 58 Liquidity Ratios Current ratio Acid-test ratio Current cash debt coverage ratio Receivables turnover ratio Average collection period Inventory turnover Average days in inventory 59 Current Ratio The current ratio is widely used for evaluating a company's liquidity and shortterm debt-paying ability. The current ratio does not take into account the composition of the current assets. A satisfactory current ratio does not disclose that portion of the current assets that may be tied up in slow-moving inventory. 60 Current Ratio Indicates short-term debt-paying ability Current Assets Current Ratio = Current Liabilities 61 Acid-Test Ratio The acid-test ratio or quick ratio is a measure of a company's immediate short-term liquidity. The acid-test ratio is computed by dividing the sum of cash, marketable securities, and net receivables by current liabilities. The ratio does not include inventory or prepaid expenses. Cash, marketable securities, and receivables are highly liquid compared with inventory and prepaid expenses. 62 Acid-Test Ratio Indicates immediate short-term debtpaying ability. Cash,Marketable Acid-Test Securities, Net Receivables Ratio = Current Liabilities 63 Current Cash Debt Coverage Ratio Indicates short-term debt-paying ability on the cash basis. Cash provided by operations Average current liabilities 64 Receivables Turnover Ratio Indicates liquidity of receivables by determining how quickly receivables can be converted to cash. The receivables turnover ratio measures the number of times, on average, receivables are collected during the period. 65 Receivables Turnover Ratio = a measure of the liquidity of receivables Net Credit Sales Average Net Receivables 66 Average Collection Period The average collection period is a popular variant of the receivables turnover ratio. The average collection period converts the receivables turnover into an average collection period expressed in days. The general rule is that the collection period should not greatly exceed the credit term period. 67 Average Collection Period = the average amount of time that a receivable is outstanding. 365 days Receivables Ratio Turnover 68 Inventory Turnover Ratio The inventory turnover ratio measures the number of times on average the inventory is sold during the period. Indicates the liquidity of the inventory 69 Inventory Turnover Ratio = Cost of Goods Sold Average Inventory 70 Average Days in Inventory Is a variant of the inventory turnover ratio. Measures the average number of days it takes to sell the inventory. 71 Average Days in Inventory = 365 days Inventory Turnover Ratio 72 Solvency Ratios Measure the ability of the enterprise to survive over a long period of time Long-term creditors and stockholders are interested in a company's long-run solvency, particularly its ability to pay interest as it comes due and to repay the face value of the debt at maturity. 73 Solvency Ratios Debt to total assets ratio Times interest earned ratio Cash debt coverage ratio Free cash flow 74 Debt to Total Assets Ratio Indicates % of total assets provided by creditors. Total Debt Total Assets Times Interest Earned Ratio Indicates a company’s ability to meet interest payments as they come due. Interest Before Interest Expense & Income Tax Interest Expense 76 Cash Debt Coverage Ratio Indicates: Long-term debt-paying ability on the cash basis. Cash provided by operations Average total liabilities 77 Free Cash Flow Indicates cash available for paying dividends or expanding operations. Cash Provided By Operations - Capital Expenditures - Dividends Paid Free Cash Flow 78 Profitability Ratios Measures the income or operating success of an enterprise for a given period of time These are important because a company's income, or lack of it, affects its ability to obtain debt and equity financing, its liquidity position, and its ability to grow. 79 Profitability Ratios Return on common stockholders’ equity ratio Return on assets ratio Profit margin ratio Assets turnover ratio Gross profit rate Operating expenses to sales ratio Cash return on sales ratio Earnings per share (EPS) Price-earnings ratio Payout ratio 80 Relationships Among Profitability Measures Page 668 in book Return on Common Stockholders’ Equity Ratio Measures the profitability from the stockholders’ point of view Net income - Preferred stock dividends Average common stockholders’ equity 82 Return on Assets Ratio Reveals the amount of net income generated by each dollar invested Net income Return on Assets Ratio = Average assets Higher value suggests favorable efficiency. 83 Profit Margin Ratio Indicates the percentage of each dollar of sales that results in net income. Net income Profit Margin Ratio = Net sales Higher value suggests favorable return on each dollar of sales. 84 Asset Turnover Ratio Indicates how efficiently assets are used to generate sales. Net sales Average total assets 85 Gross Profit Rate Indicates margin between selling price and cost of good sold. Gross profit Net sales 86 Operating Expenses to Sales Ratio Indicates the cost incurred to support each dollar of sales. Operating expenses Net sales 87 Cash Return on Sales Ratio The cash return on sales ratio indicates the company's ability to turn sales into dollars for the firm. A low cash return on sales ratio should be investigated because it might indicate the firm is recognizing sales that are not really sales - that is, sales it will never collect. 88 Limitations Of Financial Analysis Horizontal, vertical, and ratio analysis are frequently used in making significant business decisions. One should be aware of the limitations of these tools and the financial statements. 89 Estimates Financial statements are based on estimates. allowance for uncollectible accounts depreciation costs of warranties contingent losses To the extent that these estimates are inaccurate, the financial ratios and percentages are also inaccurate. 90 Costs Traditional financial statements are based on historical cost and are not adjusted for price level changes. Comparisons of unadjusted financial data from different periods may be rendered invalid by significant inflation or deflation. Some assets such as property, plant, and equipment may be many years old. The cost at which they are shown on the balance sheet might be significantly lower than current market value. 91 Alternative Accounting Methods One company may use the FIFO method, while another company in the same industry may use LIFO. If the inventory is significant for both companies, it is unlikely that their current ratios are comparable. In addition to differences in inventory costing methods, differences also exist in reporting such items as depreciation, depletion, and amortization. 92 Atypical Data Fiscal year-end data may not be typical of a company's financial condition during the year. 93 Diversification Diversification in American industry also limits the usefulness of financial analysis. Many firms are so diverse they cannot be classified by industry. 94 COPYRIGHT Copyright © 1999, John Wiley & Sons, Inc. All rights reserved. Reproduction or translation of this work beyond that permitted in Section 117 of the 1976 United States Copyright Act without the express written permission of the copyright owner is unlawful. Request for further information should be addressed to the Permissions Department, John Wiley & Sons, Inc. The purchaser may make back-up copies for his/her own use only and not for distribution or resale. The Publisher assumes no responsibility for errors, omissions, or damages, caused by the use of these programs or from the use of the information contained herein. 95