How to Complete and File the Rule 7.1 Disclosure Statement

If you represent a corporation in federal civil litigation, a Rule 7.1 disclosure statement is the short filing that tells the judge who owns your client and, in diversity cases, whose citizenship counts toward your client’s. You file it with your first appearance, pleading, or motion. Get it right the first time: the ownership disclosure drives the judge’s conflict check under 28 U.S.C. § 455, and the citizenship disclosure can decide whether the court has jurisdiction at all.¹

Who Has to File

The rule creates two obligations, and they cover different filers.

The first, under Rule 7.1(a)(1), applies to any nongovernmental corporation that is a party to the case and to any nongovernmental corporation seeking to intervene. That party must identify its parent corporations and significant stockholders so the presiding judge can check for financial conflicts.²

The second, added by the 2022 amendment as Rule 7.1(a)(2), applies in cases where federal jurisdiction rests on diversity of citizenship under 28 U.S.C. § 1332(a). In those cases, every party and intervenor — corporate or not — must name each individual or entity whose citizenship is attributed to that party and identify each one’s citizenship.¹

Two boundaries are worth flagging. Government-owned corporations are outside the ownership disclosure; the rule reaches only “nongovernmental” corporate parties. And amicus curiae are not covered by Rule 7.1 in district court, though individual courts may impose their own local requirements.

What Goes in the Ownership Disclosure

Under Rule 7.1(a)(1), the corporate filer does one of two things: identify any parent corporation and any publicly held corporation that owns 10 percent or more of its stock, or affirmatively state that no such corporation exists.¹

The 10 percent figure is the threshold at which a judge holding shares in that owner would have a disqualifying financial interest. Under 28 U.S.C. § 455, even a small financial stake in a party triggers mandatory disqualification, so accuracy is not optional.²

If nothing needs disclosing, do not leave the field blank. Check the box or write “None.” A blank field leaves the judge unsure whether you looked.

What Goes in the Citizenship Disclosure (Diversity Cases)

Rule 7.1(a)(2) exists so the court can confirm it has diversity jurisdiction. You must name every individual or entity whose citizenship is attributed to your party and state each one’s citizenship.¹

For a corporation, that is a two-part answer: its state of incorporation and the state where it has its principal place of business. For unincorporated entities — LLCs, partnerships, joint ventures — the work multiplies. An LLC takes on the citizenship of every one of its members. If a member is itself an LLC or partnership, you trace through that entity’s members, continuing layer by layer until you reach individuals or corporations with independently determined citizenship.

The rule anticipates that this can become impractical for complex structures. The “unless the court orders otherwise” language in Rule 7.1(a)(2) lets a judge limit disclosure where full tracing is unreasonable given the number of remote members. If you lack complete information at the pleading stage, you can file on information and belief and promptly supplement once you confirm the details. Do not paper over a gap. If discovery later reveals that a member shares citizenship with an opposing party, diversity is destroyed and the case can be dismissed for lack of jurisdiction after significant work has already been done.

Completing the Form

There is no single national form number. The U.S. Courts website hosts national forms, and each federal district maintains its own local versions formatted for its electronic filing system.³ Pull the current form from your specific district’s site before you file.

Whatever the layout, expect these fields:

Case caption — full case name and docket number, matching the other filings in the case exactly.
Filing party — the name of the corporation or entity submitting the disclosure.
Parent corporation — the name of any parent, or a statement that none exists.
10-percent stockholders — any publicly held corporation owning 10 percent or more of the filing party’s stock, or a statement that none exists.
Citizenship information, in diversity cases only — the name and citizenship of each individual or entity whose citizenship is attributed to the party. Domicile for individuals; state of incorporation and principal place of business for corporations.
Signature — the attorney of record signs; a self-represented party signs personally.

The signature carries real weight. By signing, you certify under Rule 11 that the contents are accurate to the best of your knowledge after a reasonable inquiry.⁴ False or recklessly inaccurate disclosures can draw sanctions, including fee awards to the opposing side. Review the ownership structure with the client before you sign, not after.

When and Where to File

File with your first appearance, pleading, petition, motion, response, or other request addressed to the court.¹ For a plaintiff, that means alongside the complaint. For a defendant, with the answer or the first motion to dismiss. A proposed intervenor files it with the motion to intervene. In removed cases, the disclosure is due when the case enters federal court, not when it was filed in state court.

Attorneys file through CM/ECF, the federal judiciary’s electronic case files system.⁵ Some courts allow pro se litigants to use CM/ECF; many do not, and prisoners cannot. If you lack electronic access, call the clerk’s office to arrange a paper filing.

Serve a copy on every other party. For parties registered in CM/ECF, the system’s electronic notice usually satisfies service, but confirm the local rule.

Supplementing When Things Change

The obligation is continuing. If any required information changes during the litigation, you must promptly file a supplemental statement.¹ A merger that creates a new parent, a stock transaction that pushes an investor above 10 percent, a new member joining an LLC in a diversity case — each one triggers the duty. The judge’s conflict check and the court’s jurisdictional analysis both depend on current facts.

If You’re in a Different Type of Federal Proceeding

Rule 7.1 governs civil cases in the district courts. Parallel rules cover other proceedings, and if you are outside a civil case you should be looking at those instead:

Bankruptcy adversary proceedings are governed by Federal Rule of Bankruptcy Procedure 7007.1, which reaches partnerships, joint ventures, and LLCs in addition to traditional corporations.
Federal criminal cases are governed by Federal Rule of Criminal Procedure 12.4, which uses the same 10-percent threshold and also requires the government to disclose ownership information for any organizational victim.⁶
Appeals are governed by Federal Rule of Appellate Procedure 26.1, which requires identification of parents up the entire corporate chain, not just the immediate parent.⁷

1
Legal Information Institute. Federal Rules of Civil Procedure Rule 7.1 – Disclosure Statement
2
Office of the Law Revision Counsel. 28 USC 455 – Disqualification of Justice, Judge, or Magistrate Judge
3
United States Courts. Forms
4
Legal Information Institute. Federal Rules of Civil Procedure Rule 11 – Signing Pleadings, Motions, and Other Papers; Representations to the Court; Sanctions
5
United States Courts. Electronic Filing (CM/ECF)
6
Office of the Law Revision Counsel. Federal Rules of Criminal Procedure Rule 12.4 – Disclosure Statement
7
Legal Information Institute. Federal Rules of Appellate Procedure Rule 26.1 – Corporate Disclosure Statement