Certificate of Interested Persons
Discloses all persons and entities with a financial or legal interest in the outcome of a federal appeal per FRAP 26.1 and circuit local rules.
Prerequisites
- Case caption — appellate case number, full party names as on the notice of appeal
- Lower court filings — complaints, answers, corporate disclosure statements, settlement agreements
- Corporate structure — ownership charts, parent/subsidiary relationships, merger/acquisition records
- Representation details — all law firms and attorneys of record per party
- Target circuit — specific U.S. Court of Appeals (requirements vary)
Process
1. Identify Circuit Requirements
[VERIFY] Research the destination circuit's local rules. Key variations:
| Requirement |
Variation |
| Document title |
"Certificate of Interested Persons" vs. "Corporate Disclosure Statement" vs. "Disclosure of Corporate Affiliations and Financial Interests" |
| Listing order |
Alphabetical vs. categorical by party |
| Amici disclosure |
Anticipated amici vs. only filed briefs |
| Negative statements |
Some circuits require explicit "none" for empty categories |
| Formatting |
Single- vs. double-spaced; page limits |
2. Extract Interested Persons
Search all uploaded documents for every disclosable person/entity:
| Category |
Disclose |
| Named parties |
All parties including dismissed/settled; complete legal names |
| Counsel |
Law firms, office locations, individual attorneys of record |
| Parent corporations |
Every layer to ultimate parent; note wholly-owned subsidiaries |
| Subsidiaries |
Those affected by litigation outcome |
| 10%+ stockholders |
Publicly held companies owning ≥10% of a party's stock |
| Insurers |
Companies covering claims at issue |
| Litigation funders |
Third-party financiers with recovery interest |
| Indemnitors/guarantors |
Entities obligated to satisfy judgment |
| Bankruptcy parties |
Trustee, DIP, creditors' committee if applicable |
| Amici curiae |
Orgs that have filed or indicated intent to file |
3. Draft the Certificate
Caption: Full court name, appellate case number, party names exactly as on notice of appeal, document title per local rule.
Disclosure body:
- Complete legal name for each person/entity — no abbreviations or trade names
- Relationship descriptor (e.g., "Parent corporation of Defendant XYZ Corp.")
- Full corporate ownership chain for corporate parties
Certification statement:
- Reference FRAP 26.1 and applicable local rule by number
- Attest completeness after reasonable inquiry
- Acknowledge continuing duty to supplement
- Include FRAP 32(g) certification
Signature block: Attorney name, signature (CM/ECF compliant), bar number, jurisdiction, firm name, address, phone, email, date.
4. Quality Checks
Guidelines
- Completeness over brevity — omitting an interested person risks recusal motions and procedural delays; when in doubt, disclose
- Verify corporate structures with client — public filings may be outdated; confirm current ownership before filing
- Flag changes from trial court — note any corporate structure or representation changes explicitly
- Never abbreviate entity names — courts use these for automated conflict checks
- Supplement promptly — file a supplemental certificate immediately upon discovering new interested persons
- Circuit rules control — FRAP 26.1 sets the floor, not the ceiling; always check local rules
1---2name: certificate-of-interested-persons3description: Drafts a FRAP 26.1-compliant Certificate of Interested Persons identifying all parties, entities, and affiliates with financial or legal interests in a federal appeal. Adapts to circuit-specific local rules. Use when filing appeals, corporate disclosure statements, or conflict-of-interest certificates in U.S. Courts of Appeals.4---5
6# Certificate of Interested Persons
7
8Discloses all persons and entities with a financial or legal interest in the outcome of a federal appeal per FRAP 26.1 and circuit local rules.
9
10## Prerequisites
11
121. **Case caption** — appellate case number, full party names as on the notice of appeal
132. **Lower court filings** — complaints, answers, corporate disclosure statements, settlement agreements
143. **Corporate structure** — ownership charts, parent/subsidiary relationships, merger/acquisition records
154. **Representation details** — all law firms and attorneys of record per party
165. **Target circuit** — specific U.S. Court of Appeals (requirements vary)
17
18## Process
19
20### 1. Identify Circuit Requirements
21
22[VERIFY] Research the destination circuit's local rules. Key variations:
23
24| Requirement | Variation |
25|---|---|
26| Document title | "Certificate of Interested Persons" vs. "Corporate Disclosure Statement" vs. "Disclosure of Corporate Affiliations and Financial Interests" |
27| Listing order | Alphabetical vs. categorical by party |
28| Amici disclosure | Anticipated amici vs. only filed briefs |
29| Negative statements | Some circuits require explicit "none" for empty categories |
30| Formatting | Single- vs. double-spaced; page limits |
31
32### 2. Extract Interested Persons
33
34Search all uploaded documents for every disclosable person/entity:
35
36| Category | Disclose |
37|---|---|
38| **Named parties** | All parties including dismissed/settled; complete legal names |
39| **Counsel** | Law firms, office locations, individual attorneys of record |
40| **Parent corporations** | Every layer to ultimate parent; note wholly-owned subsidiaries |
41| **Subsidiaries** | Those affected by litigation outcome |
42| **10%+ stockholders** | Publicly held companies owning ≥10% of a party's stock |
43| **Insurers** | Companies covering claims at issue |
44| **Litigation funders** | Third-party financiers with recovery interest |
45| **Indemnitors/guarantors** | Entities obligated to satisfy judgment |
46| **Bankruptcy parties** | Trustee, DIP, creditors' committee if applicable |
47| **Amici curiae** | Orgs that have filed or indicated intent to file |
48
49### 3. Draft the Certificate
50
51**Caption:** Full court name, appellate case number, party names exactly as on notice of appeal, document title per local rule.
52
53**Disclosure body:**
54- Complete legal name for each person/entity — no abbreviations or trade names
55- Relationship descriptor (e.g., "Parent corporation of Defendant XYZ Corp.")
56- Full corporate ownership chain for corporate parties
57
58**Certification statement:**
59- Reference FRAP 26.1 and applicable local rule by number
60- Attest completeness after reasonable inquiry
61- Acknowledge continuing duty to supplement
62- Include FRAP 32(g) certification
63
64**Signature block:** Attorney name, signature (CM/ECF compliant), bar number, jurisdiction, firm name, address, phone, email, date.
65
66### 4. Quality Checks
67
68- [ ] All names spelled correctly; complete legal names used (no trade names)
69- [ ] Every required category addressed, including negative statements where required
70- [ ] Corporate ownership chains fully traced
71- [ ] Consistent with prior trial-court disclosure statements
72- [ ] Changes in corporate structure or representation since trial court flagged
73- [ ] Formatting meets circuit specifications (margins, typeface, spacing, page limits)
74- [ ] Properly dated and signed
75
76## Guidelines
77
78- **Completeness over brevity** — omitting an interested person risks recusal motions and procedural delays; when in doubt, disclose
79- **Verify corporate structures with client** — public filings may be outdated; confirm current ownership before filing
80- **Flag changes from trial court** — note any corporate structure or representation changes explicitly
81- **Never abbreviate entity names** — courts use these for automated conflict checks
82- **Supplement promptly** — file a supplemental certificate immediately upon discovering new interested persons
83- **Circuit rules control** — FRAP 26.1 sets the floor, not the ceiling; always check local rules
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