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

[ ] All names spelled correctly; complete legal names used (no trade names)
[ ] Every required category addressed, including negative statements where required
[ ] Corporate ownership chains fully traced
[ ] Consistent with prior trial-court disclosure statements
[ ] Changes in corporate structure or representation since trial court flagged
[ ] Formatting meets circuit specifications (margins, typeface, spacing, page limits)
[ ] Properly dated and signed

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