Mr Alan L Dye, Partner
Hogan Lovells US LLP - Washington DC, USA
Alan Dye's practice is focused on advising public companies and their boards of directors regarding compliance with the federal securities laws, particularly SEC reporting requirements, annual meeting and proxy-related issues, executive compensation disclosures, and insider trading restrictions. Alan also counsels public companies on corporate governance practices, compliance with the listing standards of the national stock exchanges, and state fiduciary duty law. He also regularly advises clients regarding beneficial ownership reporting requirements, and he assists clients in developing strategies for defending against claims arising under the insider reporting and short-swing profit provisions of the securities laws.
Following law school, Alan was appointed to serve as a law clerk for The Honorable Ellsworth A. Van Graafeiland of the U.S. Court of Appeals for the Second Circuit. Upon completing his clerkship in 1979, he entered private practice in Atlanta, where he was engaged primarily in securities and other commercial litigation. In 1982, Alan joined the staff of the Securities and Exchange Commission, where he served for two years in the Division of Corporation Finance and then for two years as special counsel to the Chairman of the agency. He left the commission to join Hogan & Hartson in 1986.
Alan is a frequent lecturer at professional seminars and is a former adjunct professor at the Georgetown University Law Center. Alan is an active member of the American Bar Association and formerly chaired the Administrative Law Section's Committee on Securities Commodities and Exchanges. He has written extensively on various issues under the federal securities laws, including his co-authorship (with Hogan & Hartson partner Peter J. Romeo) of the Section 16 Treatise and Reporting Guide (Executive Press, Inc. 2008), the Section 16 Deskbook (Executive Press, Inc., 2009), the Section 16 Forms and Filings Handbook (Executive Press, Inc., 2009), and The SEC's New Insider Trading Rules, 34 Rev. Sec. & Comm. Reg 1 (January 10, 2001). Alan also moderates a discussion forum on Section16.net, a Web site devoted to developments under and compliance with Section 16 of the Securities Exchange Act of 1934. Peter Romeo and Alan Dye are characterized in Chambers USA 2009 as "legendary Section 16 lawyers." They are among a group of only 11 securities lawyers in the U.S. highlighted in Chambers USA 2009 for their advisory work.
Recent Presentations
2009
Speaker, "Shareholder Communications," Annual Conference of the Society of Corporate Securities and Governance Professionals
2009
Speaker, "Eighteenth Annual Section 16 Compliance Update," National Association of Stock Plan Professionals Webcast
2008
Speaker, "Developments Under Section 16 and Rule 144," ALI-ABA Post-Graduate Course in Federal Securities Law
2007
Speaker, "The Latest Developments: Your Upcoming Proxy Disclosures on Executive Compensation," The CorporateCounsel.net and CompensationStandards.com Webcast
2007
Speaker, "New Rule 144: Everything You Need to Know--and Do Now," The Corporate Counsel Conference
Hogan Lovells Publications
23 December 2009
"SEC Amends Rules to Enhance Compensation and Governance Disclosure." SEC Update, Hogan & Hartson LLP
22 July 2009
"SEC Proposes Changes to Compensation and Governance Disclosure and Proxy Solicitation Regulation." SEC Update, Hogan & Hartson LLP
10 October 2008
"Third Circuit Reverses Controversial Section 16(b) Decision." SEC Update, Hogan & Hartson LLP
Practices
- Corporate
- Corporate Governance
- Private Equity/Venture Capital
- Mergers and Acquisitions
- Finance
Industry Sectors
- Life Sciences and Healthcare
Areas of Focus
- Insider Trading
- Stock Exchange Listing Requirements
- Public Offerings
- SEC Reporting Requirements
Education
- J.D., salutatorian, Order of the Coif, University of Georgia, 1978
- B.A., with high honors, Emory University, 1975
Memberships
- Member, American Bar Association
- Chairman, Securities, Commodities and Exchange Committee, Administrative Law and Regulatory Practice Section, American Bar Association
- Member, Securities Law Committee of American Society of Corporate Secretaries
- Member, Advisory Board, National Association of Stock Plan Professionals
Awards / Rankings
- International Who's Who of Corporate Governance Lawyers, 2009
- The Best Lawyers in America, Corporate Law and Securities Law, 2006-2010
- Washington, D.C. Super Lawyers, 2007-2009
- Chambers USA, Securities Regulation: Advisory, 2006-2009; Corporate/M&A and Private Equity, 2007-2008
- Washingtonian, Top Lawyers, 2009
Bar Admissions / Qualifications
- District of Columbia
- Georgia
- New York
Court Admissions
- Georgia Court of Appeals
- Supreme Court of Georgia
- U.S. Court of Appeals, Fifth Circuit
- U.S. Court of Appeals, Eleventh Circuit
- U.S. District Court, Middle District of Georgia
