Local Rule Rule 2.09: Disclosure Statements in Civil and Criminal Cases

Rule 2.09 (FRCP 7.1 and FRCrP 12.4) Disclosure Statements in Civil and Criminal Cases.

(A) Civil Cases (Fed. R. Civ. P. 7.1).

Every nongovernmental corporation that is a party, intervenor, or proposed intervenor in any case must file a Disclosure Statement. Unless the Court orders otherwise, every party, intervenor, or proposed intervenor in an action in which jurisdiction is based upon diversity under 28 U.S.C. § 1332(a) must file a Disclosure Statement. Disclosure Statement forms are provided by and available from the Clerk of Court. Information provided in the Disclosure Statement may be used by the judge assigned to a case to determine recusal and jurisdictional issues. The Disclosure Statement may be filed under seal if so ordered by the Court in accordance with Local Rule 13.05(A). When a negative or "not applicable" response is required, the Disclosure Statement must so state.

(1) Content.

(a) If the subject is a nongovernmental corporation that is a party, intervenor, or proposed intervenor in any case, the Disclosure Statement must identify whether the subject is publicly traded and if so on which exchange(s), parent companies or corporations, subsidiaries not wholly owned, and any publicly held corporation or company that owns five percent (5%) or more of the subject's stock.

(b) If the subject is a party, intervenor, or proposed intervenor in an action in which jurisdiction is based on diversity under 28 U.S.C. § 1332(a), the Disclosure Statement must identify the subject's name and the citizenship of every individual or entity whose citizenship is attributed to the subject, including all members, sub-members, general and limited partners, and corporations. "Sub-members" include the members of members (i.e., first-tier sub-members), and the members of first-tier sub-members (i.e., second-tier sub-members), the members of second-tier sub-members (i.e., third-tier sub-members), and so on, until the Court knows the citizenship of all persons and entities within the ownership structure. Further, if a corporation is a member or sub-member of the subject, that corporation's state of incorporation and principal place of business must be disclosed.

(2) Time to File; Supplemental Filing.

A party, intervenor, or proposed intervenor must file the Disclosure Statement with its first appearance, pleading, petition, motion, response, or other request addressed to the Court. If any required information changes and/or if any later event occurs that could affect the Court's jurisdiction under 28 U.S.C. § 1332(a), the party, intervenor, or proposed intervenor must file a supplemental Disclosure Statement within seven (7) days after the change or event.

(B) Criminal Cases (Fed. R. Crim. P. 12.4).

Any nongovernmental corporate party to a proceeding must file a Disclosure Statement. Unless the government shows good cause, it must file a Disclosure Statement identifying any organizational victim of the alleged criminal activity. The Disclosure Statement form is provided by and available from the Clerk of Court. The Disclosure Statement may be filed under seal if so ordered by the Court in accordance with Local Rule 13.05(A). When a negative or "not applicable" response is required, the Disclosure Statement must so state.

(1) Content.

(a) If the subject is a nongovernmental corporate party, the Disclosure Statement must identify whether the subject is publicly traded and if so on which exchange(s), parent companies or corporations, subsidiaries not wholly owned, and any publicly held corporation or company that owns five percent (5%) or more of the subject's stock.

(b) Unless the government shows good cause, it must identify any organizational victim of the alleged criminal activity. If the victim is a corporation, the government must also disclose the information required by E.D. Mo. L.R. 2.06(B)(1)(a) to the extent that information can be obtained through due diligence.

(2) Time to File; Supplemental Filing.

A party must file the Disclosure Statement within 28 days after the defendant's initial appearance. A party must file a supplemental Disclosure Statement within seven (7) days after any change in any required information.

(Amended December 9, 1998, effective February 1, 1999; Amended July 10, 2006, effective August 28, 2006; Amended November 5, 2014, effective December 15, 2014; Amended October 2, 2019, effective November 1, 2019; Amended December 14, 2022, effective March 1, 2023; Amended October 1, 2025; effective December 15, 2025)