Alan Dye > Hogan Lovells US LLP > Washington DC, United States > Lawyer Profile
Hogan Lovells US LLP Offices
COLUMBIA SQUARE
555 THIRTEENTH STREET, NW
WASHINGTON DC 20004
DISTRICT OF COLUMBIA
United States
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Alan Dye
Work Department
Corporate
Position
Partner
Career
Public companies have sought Alan Dye’s advice on complex securities law issues since he left the U.S. Securities and Exchange Commission (SEC) in 1986. Best known for his co-authorship (with Peter Romeo) of the leading treatise on Section 16 of the Securities Exchange Act, Alan is a go-to lawyer for boards and general counsels seeking to navigate the often inter-related requirements of SEC rules and stock exchange listing standards.
His clients benefit from his vast knowledge, particularly regarding SEC disclosures, board and committee structure and composition, executive compensation, and compliance policies. As the annual meeting of shareholders becomes a year-long process, corporate secretaries turn to Alan for help with shareholder engagement, responding to shareholder proposals, structuring and disclosing executive compensation, and addressing the policies and recommendations of proxy advisory firms.
As a nationally recognized authority on stock trading issues, Alan helps public companies with both drafting their insider trading policies and pre-clearing insider transactions in company securities. Stock traders, too, turn to Alan for advice regarding the SEC’s complex stock trading rules. Alan helps investment funds avoid Section 16(b) liability traps and defend their transactions against the 16(b) plaintiffs’ bar, and helps major brokerage houses comply with Rule 144 and administer Rule 10b5-1 trading plans.
Languages
English
Memberships
Former Chairman, Securities, Commodities and Exchange Committee, Administrative Law and Regulatory Practice Section, American Bar Association
Member, Advisory Board, National Association of Stock Plan Professionals
Member, Advisory Board, Securities Regulation Law Journal
Member, American Bar Association
Member, Securities Law Committee of Society for Corporate Governance
Member, Board of Trustees, SEC Historical Society, 2018
Education
J.D., The University of Georgia, salutatorian, Order of the Coif, 1978
B.A., Emory University, with high honors, 1975
Lawyer Rankings
United States > M&A/corporate and commercial > Corporate governance
(Leading lawyers)The ‘strong minded, thoughtful & strategic‘ team at Hogan Lovells US LLP has significant experience advising public company clients and Fortune 500 companies, including both US companies and foreign private issuers, on a myriad of corporate issues such as corporate governance practices, securities law compliance, and SEC reporting. As well as regularly advising on SEC compliance, Alan Dye is a leading authority on the federal securities law, including Section 16 of the Securities Exchange Act of 1934. Practice head John Beckman is ‘uniquely expert in everything from the largest complex transaction to the most delicate matters of corporate governance.’ Elsewhere in the team, Weston Gaines is a senior associate whose diverse workload includes shifts in corporate governance, securities law compliance, and SEC reporting. All named players are based in Washington DC. Alex Bahn departed from the firm n October 2022.
United States > M&A/corporate and commercial > Shareholder activism
Hogan Lovells US LLP‘s ‘world class team‘ in Washington DC is comprised of dedicated activism practitioners alongside specialists in securities regulatory issues. Practice head Joseph Gilligan ‘has an exceptionally deep understanding of the complex legal and business issues associated with M&A and shareholder activism matters‘, Alan Dye utilizes his experience of working at the SEC to provide ‘outstanding advice on all matters related to shareholder activism, engagement and related strategy’, and John Beckman is another key name when it comes to advising public entities on shareholder interactions.
Lawyer Rankings
- Corporate governance United States > M&A/corporate and commercial
- Leading lawyers United States > M&A/corporate and commercial > Corporate governance
- Shareholder activism United States > M&A/corporate and commercial
Top Tier Firm Rankings
- Transport > Aviation and air travel: litigation and regulation
- Antitrust > Cartel
- M&A/corporate and commercial > Corporate governance
- Media, technology and telecoms > Cyber law (including data privacy and data protection)
- Industry focus > Education
- Government > Government relations
- Dispute resolution > Appellate: courts of appeals / Appellate: supreme courts (states and federal)
- Dispute resolution > Product liability, mass tort and class action - defense: consumer products (including tobacco)
- Transport > Rail and road: litigation and regulation
- Real estate > Real estate investment trusts (REITs)
- Media, technology and telecoms > Telecoms and broadcast: regulatory
- Media, technology and telecoms > Telecoms and broadcast: transactions
- International Trade > Trade remedies and trade policy
Firm Rankings
- Dispute resolution > Appellate: courts of appeals / Appellate: supreme courts (states and federal)
- International Trade > CFIUS
- International Trade > Customs, export controls and economic sanctions
- Labor and employment > Employee benefits, executive compensation and retirement plans: transactional
- Energy > Energy regulation: oil and gas
- Environment > Environment: litigation
- Environment > Environment: regulatory
- Government > Government contracts
- Healthcare > Health insurers
- Healthcare > Life sciences
- Healthcare > Service providers
- Tax > US taxes: non-contentious
- Insurance > Advice to insurers
- Dispute resolution > Appellate: courts of appeals / Appellate: supreme courts (states and federal)
- Finance > Capital markets: debt offerings
- Finance > Capital markets: equity offerings
- Finance > Capital markets: global offerings
- Energy > Energy regulation: electric power
- Finance > Fintech
- Labor and employment > Immigration
- Dispute resolution > International litigation
- Tax > International tax
- M&A/corporate and commercial > M&A: large deals ($1bn+)
- Antitrust > Merger control
- M&A/corporate and commercial > Shareholder activism
- Finance > Structured finance: derivatives and structured products
- Media, technology and telecoms > Technology transactions
- M&A/corporate and commercial > Venture capital and emerging companies
- Antitrust > Civil litigation/class actions: defense
- Energy > Energy litigation: oil and gas
- Finance > Project finance
- Energy > Renewable/alternative power
- Finance > Restructuring (including bankruptcy): corporate
- Finance > Project finance
- Dispute resolution > International arbitration
- Finance > Financial services regulation
- Investment fund formation and management > Private equity funds (including venture capital)