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.4tags:5 - drafting6 - litigation7 - pleading8---910# Certificate of Interested Persons1112Discloses 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.1314## Prerequisites15161. **Case caption** — appellate case number, full party names as on the notice of appeal172. **Lower court filings** — complaints, answers, corporate disclosure statements, settlement agreements183. **Corporate structure** — ownership charts, parent/subsidiary relationships, merger/acquisition records194. **Representation details** — all law firms and attorneys of record per party205. **Target circuit** — specific U.S. Court of Appeals (requirements vary)2122## Process2324### 1. Identify Circuit Requirements2526[VERIFY] Research the destination circuit's local rules. Key variations:2728| Requirement | Variation |29|---|---|30| Document title | "Certificate of Interested Persons" vs. "Corporate Disclosure Statement" vs. "Disclosure of Corporate Affiliations and Financial Interests" |31| Listing order | Alphabetical vs. categorical by party |32| Amici disclosure | Anticipated amici vs. only filed briefs |33| Negative statements | Some circuits require explicit "none" for empty categories |34| Formatting | Single- vs. double-spaced; page limits |3536### 2. Extract Interested Persons3738Search all uploaded documents for every disclosable person/entity:3940| Category | Disclose |41|---|---|42| **Named parties** | All parties including dismissed/settled; complete legal names |43| **Counsel** | Law firms, office locations, individual attorneys of record |44| **Parent corporations** | Every layer to ultimate parent; note wholly-owned subsidiaries |45| **Subsidiaries** | Those affected by litigation outcome |46| **10%+ stockholders** | Publicly held companies owning ≥10% of a party's stock |47| **Insurers** | Companies covering claims at issue |48| **Litigation funders** | Third-party financiers with recovery interest |49| **Indemnitors/guarantors** | Entities obligated to satisfy judgment |50| **Bankruptcy parties** | Trustee, DIP, creditors' committee if applicable |51| **Amici curiae** | Orgs that have filed or indicated intent to file |5253### 3. Draft the Certificate5455**Caption:** Full court name, appellate case number, party names exactly as on notice of appeal, document title per local rule.5657**Disclosure body:**58- Complete legal name for each person/entity — no abbreviations or trade names59- Relationship descriptor (e.g., "Parent corporation of Defendant XYZ Corp.")60- Full corporate ownership chain for corporate parties6162**Certification statement:**63- Reference FRAP 26.1 and applicable local rule by number64- Attest completeness after reasonable inquiry65- Acknowledge continuing duty to supplement66- Include FRAP 32(g) certification6768**Signature block:** Attorney name, signature (CM/ECF compliant), bar number, jurisdiction, firm name, address, phone, email, date.6970### 4. Quality Checks7172- [ ] All names spelled correctly; complete legal names used (no trade names)73- [ ] Every required category addressed, including negative statements where required74- [ ] Corporate ownership chains fully traced75- [ ] Consistent with prior trial-court disclosure statements76- [ ] Changes in corporate structure or representation since trial court flagged77- [ ] Formatting meets circuit specifications (margins, typeface, spacing, page limits)78- [ ] Properly dated and signed7980## Guidelines8182- **Completeness over brevity** — omitting an interested person risks recusal motions and procedural delays; when in doubt, disclose83- **Verify corporate structures with client** — public filings may be outdated; confirm current ownership before filing84- **Flag changes from trial court** — note any corporate structure or representation changes explicitly85- **Never abbreviate entity names** — courts use these for automated conflict checks86- **Supplement promptly** — file a supplemental certificate immediately upon discovering new interested persons87- **Circuit rules control** — FRAP 26.1 sets the floor, not the ceiling; always check local rules
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