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.4license: Apache-2.05---67# Certificate of Interested Persons89Discloses 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.1011## Prerequisites12131. **Case caption** — appellate case number, full party names as on the notice of appeal142. **Lower court filings** — complaints, answers, corporate disclosure statements, settlement agreements153. **Corporate structure** — ownership charts, parent/subsidiary relationships, merger/acquisition records164. **Representation details** — all law firms and attorneys of record per party175. **Target circuit** — specific U.S. Court of Appeals (requirements vary)1819## Process2021### 1. Identify Circuit Requirements2223[VERIFY] Research the destination circuit's local rules. Key variations:2425| Requirement | Variation |26|---|---|27| Document title | "Certificate of Interested Persons" vs. "Corporate Disclosure Statement" vs. "Disclosure of Corporate Affiliations and Financial Interests" |28| Listing order | Alphabetical vs. categorical by party |29| Amici disclosure | Anticipated amici vs. only filed briefs |30| Negative statements | Some circuits require explicit "none" for empty categories |31| Formatting | Single- vs. double-spaced; page limits |3233### 2. Extract Interested Persons3435Search all uploaded documents for every disclosable person/entity:3637| Category | Disclose |38|---|---|39| **Named parties** | All parties including dismissed/settled; complete legal names |40| **Counsel** | Law firms, office locations, individual attorneys of record |41| **Parent corporations** | Every layer to ultimate parent; note wholly-owned subsidiaries |42| **Subsidiaries** | Those affected by litigation outcome |43| **10%+ stockholders** | Publicly held companies owning ≥10% of a party's stock |44| **Insurers** | Companies covering claims at issue |45| **Litigation funders** | Third-party financiers with recovery interest |46| **Indemnitors/guarantors** | Entities obligated to satisfy judgment |47| **Bankruptcy parties** | Trustee, DIP, creditors' committee if applicable |48| **Amici curiae** | Orgs that have filed or indicated intent to file |4950### 3. Draft the Certificate5152**Caption:** Full court name, appellate case number, party names exactly as on notice of appeal, document title per local rule.5354**Disclosure body:**55- Complete legal name for each person/entity — no abbreviations or trade names56- Relationship descriptor (e.g., "Parent corporation of Defendant XYZ Corp.")57- Full corporate ownership chain for corporate parties5859**Certification statement:**60- Reference FRAP 26.1 and applicable local rule by number61- Attest completeness after reasonable inquiry62- Acknowledge continuing duty to supplement63- Include FRAP 32(g) certification6465**Signature block:** Attorney name, signature (CM/ECF compliant), bar number, jurisdiction, firm name, address, phone, email, date.6667### 4. Quality Checks6869- [ ] All names spelled correctly; complete legal names used (no trade names)70- [ ] Every required category addressed, including negative statements where required71- [ ] Corporate ownership chains fully traced72- [ ] Consistent with prior trial-court disclosure statements73- [ ] Changes in corporate structure or representation since trial court flagged74- [ ] Formatting meets circuit specifications (margins, typeface, spacing, page limits)75- [ ] Properly dated and signed7677## Guidelines7879- **Completeness over brevity** — omitting an interested person risks recusal motions and procedural delays; when in doubt, disclose80- **Verify corporate structures with client** — public filings may be outdated; confirm current ownership before filing81- **Flag changes from trial court** — note any corporate structure or representation changes explicitly82- **Never abbreviate entity names** — courts use these for automated conflict checks83- **Supplement promptly** — file a supplemental certificate immediately upon discovering new interested persons84- **Circuit rules control** — FRAP 26.1 sets the floor, not the ceiling; always check local rules
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