,.

GUIDE TO FILING A BRIEF

WITH THE UNITED STATES COURT OF APPEALS

FOR THE NINTH CmCUIT

From:

Thomas J. McDermott
Robert E. Hinerfeld
Mark E. Goldman

May 18,1998

MANATT, PHELPS & PHILLIPS, LLP

11355 Welt Olympic Boulevard, Los Angeles, California 90064 -1614 . 310-312-4000· FAX 310-312-4224

Los Angeles' Washington, D.C .. Nashville

 TABLE OF CONTENTS

I. INTRODUCTION 1

II. INITIATING THE APPEAL ...................................... 1

A. Notice of Appeal 1

III. THE BRIEF [NCLR 28 and 32] 2

A. Format of Brief 2

1. Length Restrictions 2
2. Font [NCLR 32 (b),(c)] 2
3. Spacing [NCLR 32 (c)] 2
4. Margins [NCLR 32 (c)] 2
5. Proper Citation To The Record [NCLR 28-2.8] 3
6. Cover [FRAP 32(a), NCLR 32(h)] · 4
7. Binding 5

B. Contents of Brief - Appellant's Opening Brief [NCLR 28] 5

1. Corporate Disclosure Statement [FRAP 26] 5

2. Table of Contents [FRAP 28(a)(1)] 5
3. Table of Authorities [FRAP 28(a)(I)] 6
4. Opinion Below (optional) 6
5. Statement of Issue/Questions Presented [FRAP 28 (a)(3)] 6
6. Statement of Jurisdiction [NCLR 28-2.2] 7
7. Statement of the Case [FRAP 28(a)(4)] 7
8. Standard of Review [NCLR 28-2.5] 7
9. Summary of Argument 7
10. Argument [FRAP 28(a)(6)] 7
11. Conclusion [FRAP 28( a)(7)] 8
12. Statement of Related Cases [NCLR 28-2.6] 8
13. Certificate of Compliance [NCLR 32(e)(4)] 8
14. Note on Addendum to Briefs [NCLR 28-2.7] 9

C. Contents of Appellee's Responding Brief [FRAP 28 (b)] 9

D. Contents of Reply Brief [FRAP 28(c)] : 9

 TABLE OF CONTENTS (cont'd)

E. Final Editing Check List 9

F. Filing the Brief 11

1. Where 11
2. How [NCLR 31-2] 11
3. Timing [FRAP 31(a)] 11
4. Copies [NCLR 31-1] 11
5. Proof of Service 12

IV. EXCERPTS OF RECORD 12

A. Purpose [NCLR 30-1.1] 12

B. Format [NCLR 30-1.5] 12

1. Volumes 12
2. Cover 12
3. Order of Documents and Pagination 13
4. Tabs 13
5. Index 13

C. Content. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

D. Supplemental Excerpts of Record ~ 14

E. Filing Excerpts of Record/Supplemental Excerpts of Record 14

1. Copies [NCLR 30-1.2] 14

2. Proof of Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

11
I. INTRODUCTION

This memorandum outlines basic substantive and procedural requirements for filing
briefs with the United States Court of Appeals for the Ninth Circuit. It is based on both the
Federal Rules of Appellate Procedure ("FRAP") and the Ninth Circuit Local Rules ("NCLR").
However, since these rules are frequently amended, it is not intended to replace the need for
practitioners to consult and keep up to date with the rules governing the filing of briefs with the
Ninth Circuit. If a more substantive discussion of state and federal appellate writing is needed,
one should reference Bob Hinerfeld's memorandum on state and federal appeals. Additionally, the
authors of this guide have compiled a number of sample briefs which are located in our library and
are available for review.

II. INITIA TING THE APPEAL

A. Notice of Appeal

• To invoke appellate jurisdiction, one must file a notice of appeal. A notice

of appeal in a civil case must be filed in the United States District Court
within 30 days after entry of the judgement or order appealed from.
However, if the United states or its officer or agency is a party, then any
party has 60 days in which to notice an appeal. [FRAP 4(a)(1)]

• A notice of appeal is very straight-forward. It simply identifies the

judgement or appealable order being appealed and the court to which the
appeal is being taken.

• The clerk of the trial court will copy the notice and serve it upon all other
parties who have appeared in the action. A fee is payable when the notice
of appeal is filed. Although a notice of appeal may be the one document
that can be filed without proof of service upon the opponent, service is
recommended.

• See FRAP 10(b) and NCLR 10-3.1 for rules regarding the ordering of the
record. This must be done within ten days of filing the notice of appeal.

[See Exhibit A for a sample Notice of Appeal]

1
m. THE BRIEF [NCLR 28 and 32]

A. Format of Brief

1. • ength Restrictions

• Briefs may not exceed 14,000 words. There is no longer a page

limitation. However, for reference, this is approximately 65 pages
using a 14 point Roman font. [NCLR 32 (e)(1)]

• Reply briefs may not exceed 7, 000 words. This is approximately

35 pages using a 14 point Roman font. [NCLR 32(e)(1)]

• The Corporate Disclosure Statement, Table of Contents, Table of

Citations, Certificate of Compliance, Statement of Related Cases
and any addendum containing statutes, rules, or regulations, is not
included for purposes of the word count. [NCLR 32 (e)(3)]

• Remember that the Court disfavors lengthy briefs; shorter is always

better.

2. Font [NCLR 32 (b),(c)]

14 point Roman. However, the Court will accept any derivative of Roman
font. We typically use New Times Roman.

3. Spacing [NCLR 32 (c)]

Double space the brief. Quotations more than two lines long may be
indented and singe-spaced, and headings and footnotes may be single-
spaced.

4. Margins [NCLR 32 (c)]

• Left and right margins must be no smaller than 1 inch. Please note
that the left margin should be at least 1.25 inches to allow for velo-
binding.

• Top and bottom margins must be no smaller than 1 114inch.

2
 »=-«,

Note: Always physically measure margins to insure that the brief complies
with the local rules. It is often the case that properly setting
margins on the computer does not result in margins that conform to
the above rule.

5. Proper Citation To The Record [NCLR 28-2.8]

Proper citation to the record requires citing the Court to a separately

bound Excerpts of Record which is tabbed and individually paginated in
chronological order. A proper citation should first delineate the volume of
the Excerpt of Record and then the page number, tab number and docket
number. The cite should be offset in brackets. In addition to citing to the
Excerpts of Record, you may also cite to the original district court clerk's
file by docket and page number. However, if you include original district
court clerk's documents in the Excerpt of Record, then the brief should
only cite to the Excerpts of Record. Remember to keep your Excerpts of
Record as short as possible.

Examples oj Excerpts oj Record Citations

[II E.R. 1284; Dkt. No. 59; Tab No. 25]

This means the referenced document is found at volume two of the

excerpted record on page 1284, the docket number of the document is 59
and the reference can be found behind tab number 25 in the Excerpts of
Record. If it is necessary to cite the Court to a specific paragraph or line,
simply note this after the page number and before the docket number.

Example

[I E.R. 1284 ~ 3; Dkt. No. 59, Tab No. 25] adds a paragraph cite.

[I E.R. 1284: 3- 12; Dkt. No. 59, Tab No. 25] adds line citations.

Note:

It is important to include a footnote explaining your citation format to the

Court. A footnote should be inserted at your first citation to the Excerpt
of Record or to the Clerk's docket in the district court.

3
 Sample Footnote:

11 Individual pages are cited by volume number and page

number, e.g.~,I E.R. 101 is volume one of the Excerpts of
Record page 101. This is followed with the docket number
[Dkt. No.] and a tab number [Tab No.] reference to the
E.R. Documents in the district court clerk's file which are
not included in the Excerpts of Record are cited to the
docket number in the district court's file followed by the
page and line or paragraph number.

6. Cover [FRAP 32(a), NCLR 32(h)]

• Appellant cover sheets are printed on blue cardstock paper.

• The cover of Appellee's answering brief is printed on red

card stock paper.

• Reply cover sheets are printed on grey cardstock paper.

• Back cover sheets are the same color as the cover and are blank.

• Remember to include a regular white copy of the cover page as the

first page following the colored card stock cover.

Cover should include:

• Name of court and number of the case

• Title of the case

• Nature of the proceeding (appeal or writ)

• Name of the court, agency or board below

• Title of the document (opening or reply brief for appellant

or appellee)

• Name and address of counsel representing the party filing

the brief

• Though not required, it is a good idea to include counsel's

phone number, fax number, and e-mail address.

4
 Note: If a Corporate Disclosure Statement is required (see below) it
should be printed on the inside of the red, blue, or grey cardstock
cover because FRAP 26.1 requires that it precede the table of
contents.

[See Exhibit B for sample brief cover}

7. Binding

The Firm's standard practice is to velo-bind its Ninth Circuit briefs and
Excerpts volumes on the left margin. Omit optional transparent cover.
Tabbed divider pages should have the tabs on the right rather than the
bottom of the divider.

B. Contents of Brief - Appellant's Opening Brief [NCLR 28]

1. Corporate Disclosure Statement [FRAP 26]

Any non-governmental corporate party to a civil or bankruptcy case or

agency review proceeding and any non-governmental corporate defendant
in a criminal case must file a statement identifying "all parent companies,
subsidiaries (except wholly-owned subsidiaries), and affiliates that have
issued shares to the public." This statement allows members of the Court
to readily evaluate whether a conflict of interest exists requiring recusal.

FRAP 26.1 requires that the Corporate Disclosure Statement be filed with
the party's first substantive pleading whether moving papers or the party's
principal brief and must be repeated in the brief.

If a Corporate Disclosure Statement is required, it must precede the table

of contents. Therefore, it should be printed on the inside of the red, blue,
or grey card stock cover.

[See Exhibit C for sample corporate disclosure statement}

2. Table of Contents [FRAP 28(a)(1)]

a. The Court will often review this section first as an outline of your
argument; point headings must be succinct and persuasive.

b. Check page number references in the Table for accuracy when you
have finished the brief. Directing the Court to the wrong location
will diminish the credibility of the brief and annoy the reader.

5
 c. Remember to include references to the Corporate Disclosure
Statement, Statement of Related Cases, Certificate of Compliance,
Addendum to Brief, and Proof of Service By Mail (Proof of Service
is not paginated).

3. Table of Authorities [FRAP 28(a)(1)]

a. This is a complete list of all authorities cited in the brief

b. As with the Table of Contents, check the accuracy of each authority

cited.

c. Organize the authorities in the Table into case law, constitutions,

statutes, rules, and secondary authorities. In addition, subdivide the .
case law into cases decided by the US. Supreme Court, US.
Courts of Appeals, US. District Courts, and then state courts in
descending order of authority.

4. Opinion Below (optional)

This section is often included in a brief since the Court likely will want to
read the opinion of the court below in its consideration of the appeal. This
section simply cites the Court to the official reporter if the case was
reported or to a transcript or Excerpt of Record in the event the opinion
was not published.

5. Statement of Issue/Questions Presented [FRAP 28 (a)(3)]

Each issue or question should be concise, usually in one sentence, phrased

in the form of a question. This section is important because it is the first
persuasive section of the brief

Example

Bad: Does drug testing violate the Fourth Amendment?

Good: Does drug testing taken without consent, probable cause, or

confidentiality agreements violate the Fourth Amendment where
there is no special need for such testing?

6
6. Statement of Jurisdiction [NCLR 28-2.2]

The statement of jurisdiction cites the statutes and applicable facts

conferring jurisdiction upon the Ninth Circuit to hear the appeal.
Remember, unlike the state courts, the district and circuit courts of the
United States are courts of limited rather than general jurisdiction.

7. Statement of the Case [FRAP 28(a)(4)]

This is an accurate and persuasive account of the case. It introduces the

parties and their dispute as well as the procedural history of the case and
the relief sought followed by a statement of the facts relevant to the issues
presented for review with appropriate reference to the record. The fact
statement usually is the most important section in an appellate brief The
sufficiency and precision of the record references for each fact and
awareness of the applicable rule on which side's evidence is presumed
correct on appeal are initial to creating an effective statement of facts. A
well-crafted Statement of the Case should grab the reader's attention and
make her want to rule in your favor. This is your best chance to prejudice
the reader to your cause for bringing the appeal.

8. Standard of Review [NCLR 28-2.5]

This section cites the appropriate standard of review the Court must
employ in reviewing the case, citing proper authority therefor.

9. Summary of Argument

Like the Table of Contents and the Questions Presented, the Court may
review this section for a succinct overview of your arguments.

In a few concise paragraphs, tell the Court why your client should win the
appeal, identifying the main parts of the brief without simply restating the
argument headings.

10. Argument [FRAP 28(a)(6)]

This is the fundamental section of the brief. Here, the practitioner sets
forth the confrontation, legal analysis, and supporting authority.
Remember to phrase the headings in this section as argumentative
assertions that clearly state the essential point being made.

7
 Nate: The Court strongly dislikes the repetitive use of referring to parties
as "appellant" and "appellee." It prefers designations used in the
lower court or the actual names of the parties, or descriptive terms
such as "the employee," "the injured person," etc. [FRAP 28(d)]

11. Conclusion [FRAP 28(a)(7)]

This section should be no more than a couple of sentences stating the

precise relief sought.

12. Statement of Related Cases [NCLR 28-2.6]

This mandatory section states whether there are related cases pending.
Remember to date and sign this section if it is included as a separate page
insert. This statement must appear on the last page of a party's initial brief

Examples of Text of Statement of Related Cases

• Pursuant to NCLR 28-2.6, the undersigned states that to its

knowledge, there are no related cases pending in this Court.

• This action has not previously been before this Court or any other
appellate court under the same or similar title. The following
pending cases may be directly affected by the Court's decision on
this appeal:

1) Yukiyo, Ltd v. X-L Dental Carp, No. C-93-20191 JW

(N.D. Cal.) is the subject of this appeal. Yukiyo's
infringement claims have been stayed pending this
disposition of Defendant's invalidity claim.

2) Yukiyo, Ltd. v. Technique Dental Ceramics, Inc.,

No. 93-3805. This infringement action, brought against
another Defendant, is stayed pending disposition of
Defendant's invalidity claim.

13. Certificate of Compliance [NCLR 32(e)(4)]

This mandatory section states that the brief is proportionately spaced, and
indicates the type face, point size, and word count. Remember to date and
sign this section if it is included as a separate page insert.

8
 Example of Text of Certificate of Compliance

Pursuant to Ninth Circuit Rule 32(e)(4) the undersigned states that this
brief is proportionally spaced, the typeface is Roman 14 pt. and the word
count is 9136.

14. Note on Addendum to Briefs [NCLR 28-2.7]

If determination of the issues presented requires the study of statutes,

regulations or rules, relevant parts thereof shall be reproduced in an
addendum at the end of a party's brief The addendum should be separated
from the briefby a distinctively colored page.

C. Contents of Appellee's Responding Brief [FRAP 28 (b)]

The brief of the appellee mirrors the brief of the Appellant except that none of
following sections need appear unless the appellee is dissatisfied with the statement
of the appellant:

a. the jurisdictional statement;

b. the statement of the issues;
c. the statement of the case (including a statement offacts);
d. the statement of the standard of review.

However, it is generally a better idea to include these sections in the Appellee's

brief so that it is a self-contained document. Some judges read this brief first.

D. Contents of Reply Brief [FRAP 28(c)]

The basic reply brief shall contain a table of contents, with page references, and a
table of cases (alphabetically arranged) statutes and other authorities cited, with
references to the pages of the reply brief where they are cited. Some judges read
this brief first on the assumption that the first two briefs of the parties will have
crystallized to genuine issues to be decided.

E. Final Editing Check List

1. Check to see if the brief is complete. It should include:

a. Corporate Disclosure Statement (if required)

b. Table of Contents
c. Table of Authorities
d. Opinion Below (not requiredlbut recommended)

9
 e. Statement ofIssue / Questions Presented
f Statement of Jurisdiction
g. Statement of Case
h. Summary of Argument
1. Argument
j. Conclusion
k. Statement of Related Cases
l. Certificate of Compliance
m. Proof of Service
n. Addendum to Brief (if applicable)

2. Edit for content, persuasiveness, grammar, syntax, and writing style. Try
to have an intelligent non-lawyer read your edited brief for comprehension
and persuasiveness.

3. Spell-check the document.

4. Check to see that the table of contents and the table of authorities cites the
Court to the correct pages of the brief

5. Check all references made to the record to ensure for 100% accuracy.

6. "Shepardize" or Key Cite all authorities cited in the brief. Because the
Shepard's system is updated only semi-annually, it is imperative that one
utilize either Westlaw or Lexis' electronic cite checking services since these
services are updated every 48 hours. West's key cite system is updated in
real time with entry of new authorities into the Westlaw database.

Note: Remember.just because a case states law which could by itself

support your argument does not mean it is persuasive or should be
cited. Check to see if the facts, outcome, and reasoning employed
by the court should persuade a judge to rule in your client's favor.

7. Check all jump cites in the brief for accuracy. Each case cited should cite
the Court to the specific page of the official reporter you are citing. Citing
the court to a case in its entirety should be avoided.

8. Sign and stamp "ORIGINAL" on the original brief.

10
F. Filing the Brief

1. Where

Briefs must be filed in San Francisco at the following address:

U.S. Court of Appeals for the Ninth Circuit

Office of the Clerk
95 Seventh Street, P.O. Box 193939
San Francisco, CA 94119-3939

2. How [NCLR 31-2]

Filing may be done by physical delivery to the Court Clerk's office in San
Francisco or by first class mail. In the latter case, the filing date is deemed
the date of such mailing. When filing is done by mail, the proof of service
of copies of the brief and any Excerpts of Record shall also state the date
and manner of mailing or dispatch to the clerk. [FRAP 25(d)].

3. Timing [FRAP 31(a)]

Opening Brief: Appellant is given 40 days from the presumed date

of the filing of the certificate of record in district
court to file its opening brief.

Answering Brief: The answering brief is due 30 days after the due date
for appellant's opening brief.

Reply Brief: The due date for the optional reply brief is within
14 days after service of appellee's answer brief.

4. Copies [NCLR 31-1]

• An original and 15 copies of the brief must be filed with the Court.
If a suggestion for hearing or rehearing en bane is granted, each
party shall file 20 additional copies.

• Remember to stamp the original pleading "ORIGINAL."

• In addition, two copies must be served on counsel for each party

separately represented.

11
 5. Proof of Service

A Federal Proof of Service notice must be signed and dated and appear as
the last page of the brief. While it is not numbered, it is a good idea to
include a reference to it in the table of contents.

{See Exhibit D for sample 1

IV. EXCERPT OF RECORD

A. Purpose [NCLR 30-1.1]

The purpose of the Excerpts of Record is to provide each member of the panel
with those portions of the record necessary to reach a decision. The Court is not
interested in the entire record because (1) the Ninth Circuit may have the entire
Clerk's file in the district court delivered to the Ninth Circuit, and often does; and
(2) a separately bound condensed excerpted record makes review of the case more
manageable. For example, a concise Excerpts of Record enables a circuit judge to
review the brief and the record while traveling or at home. Therefore, in order to
make it succinct and portable, it is essential to include only documents cited in the
brief which a careful judicial reader most likely would be interested to see. Less
critical court documents cited in the brief may be cited to the district court clerk's
file by clerk's docket number and page and line or page and paragraph numbers.
[NCLR 30-l.4]. Sanctions may be imposed by the court for inclusion of too much
or too little in the Excerpt of Record. [NCLR 30-2].

B. Format [NCLR 30-1.5]

1. Volumes

In the unusual case where the total number of pages of the excerpts exceed
300 pages, multiple volumes of the Excerpts of Record must be filed. Each
volume must be consecutively numbered and contain 300 pages or less.

2. Cover

• The front and back cover of the Excerpts or Record must be tan
card stock paper.

• The information on the front cover of the Excerpts of Record

should be styled exactly as the cover of the brief except that the
wording "Excerpts of Record" should be substituted for "Brief of
Appellant. "

12
 • The first page appearing after the tan cardstock is an Identical cover
sheet printed on regular white paper.

[See Exhibit Efor sample cover}

3. Order of Documents and Pagination

• The documents in the excerpts should be arranged by file date in

chronological order with the earliest document file date on top.

• Each individual page must be consecutively numbered starting with

the number 1.

• Remember, since last minute changes are common, always number

the pages of the Excerpts of Record last.

4. Tabs

• Right margin numbered tabs should be used to separate each

document in the Excerpts of Record.

5. Index

• The excerpts must begin with an index organized chronologically

describing the documents in the Excerpts of Record and indicating
the docket number of each document referenced.

Example of Index:

APPELLANT JOHN DOE'S EXCERPTS OF RECORD

Volume I and IT

Page No.
Tab No. Document Volume No.
1 Complaint for Breach of 000001 - 000057
Contract Filed October 16, Vol. I
1996. (Docket No.1)

2 Answer of Defendant John 000058 - 000067

Doe, filed January, 29, Vol. I
1997.
(Docket No. 10)

13
C. Content

1. The documents which comprise the Excerpts of Record need not be

certified as true copies, but if possible, the district court or agency's "filed"
stamp should appear on each document. [NCLR 30-1.5]

2. See Ninth Circuit Local Rule 30-1.3 for a list of excerpts that must be
included in the record.

3. The trial court docket sheet should always be the last document in the
Excerpts of Record. [NCLR 30-1.5]

D. Supplemental Excerpts of Record [NCLR 30-1.6]

If the appellee believes that the Excerpts of Record filed by the appellant
excluded items which are required under the FRAP or NCLR or if
argument in the answering brief requires review of documents not included
in the appellant's Excerpts of Record, the appellee can file its own
Supplemental Excerpts of Record comprised of the omitted items.

E. Filing Excerpts of Record/Supplemental Excerpts of Record

The Excerpt of Record is filed with the brief.

4. Copies [NCLR 30-1.2]

• The appellant must file five copies of the Excerpts of Record and
must serve one copy of the Excerpts on each of the other parties. If
a suggestion for hearing or rehearing en bane is granted, each party
must file 20 additional copies of the Excerpts of Record.

5. Proof of Service

• A Federal Proof of Service should be signed and dated and appear

as the last page of the Excerpts of Record.

14
 1 THOMAS J. MCDERMOTI, JR. (State Bar No. 29273)
MANATI, PHELPS & PHILLIPS, LLP
2 11355 West Olympic Boulevard -.. " .'

Los Angeles, -CA 90064-1614

3 Telephone: (310) 312-4000
:;il ---~r---::::::--- .n 251997
4 MARK B. CHASSMAN (State Bar No. 119ffl8))i Pd ----::0.....---.
5
STAN K. YANG (State Bar No. 121757)
CHASSMAN, YANG & SEELIG, LLP
333 South Grand Avenue, 33rd Floor
FrmsGvn----" •.•...----:::'>"'"--1
CAD
TOO --::::;...._---
~- ••••• ~~=-~~
6 Los Angeles, California 90071-3193
Telephone: (213) 626-6700 Ntc/Dkt MId -----
FP Frms Gvn _
7

10
8

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UNITED S~::~~~C"f>
Attorneys for Defendant PHILLIP YANG.... _" ...-

~:-UR~~·~'-ORIGIN A L
CENTRAL DISTRICT OF CALIFORNIA
.. ' .-... ~.. '''.~;'.'M'.~~

11 WESTERN DIVISION

12

13 MANCIPLE LIMITED, a Hong Kong ) Case No. CV 96-7226 JSL (Ex)

corporation, )
14 )
)
15 Plaintiff, ) DEFENDANT PHILLIP YANG'S
) NOTICE OF APPEAL TO THE
16 v. ) UNITED STATES COURT OF APPEAL
) FOR THE NINTH CIRCUIT
17 EDWARD YANG, an individual; and . )
PHILLIP YANG, an individual, )
18 )
Defendants. )
19 )
)
20

21

22 Defendant Phillip Yang hereby appeals to the United States Court of Appeals for the

23 Ninth Circuit from the Order and Judgment Re: Plaintiff's Renewed Motion for Partial

24 Summary Judgment on Plaintiff's First Claim for Relief (Breach of Contract) entered in this

25

26 ///

27 ///

28 ///

\P. Y cncs OF APPEAL

 1 case on July 10, 1997, and all previously entered interlocutory orders and decisions of the

2 District Court.

4 Thomas J. McDermott, Jr.

MANATT, PHELPS & PHILLIPS, LLP
5

:~r;;;;;;;J1G.~
DATED: July 25, 1997 Mark B. Chassman .
6

8 Attorneys for Defendant and

Appellant
9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28
001288
\P.Y O'l1CE OF APPEAl. 2
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No. 97-56163
(C.D.Cal. No. CV 96-07226 JSL (Ex)
In The
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT

MANCIPLE LIMITED, a Hong Kong corporation

Appellee, Plaintiff
vs.

EDWARD YANG, an individual

Non-Appellant, Defendant
PHILLIP YANG, an individual
Appellant, Defendant

Appeal from the United States District Court for the Central District of California,
Hon. J. Spencer Letts, United States District Judge

BRIEF FOR APPELLANT PHILLIP YANG

THOMAS J. McDERMOTT (State Bar No. 29273)

ROBERT E. HINERFELD (State Bar No. 30148)
MANA IT, PHELPS & PHILLIPS, LLP
11355 West Olympic Boulevard
Los Angeles, California 90064
Telephone: (310) 312-4000

MARK B. CHASSMAN (State Bar No. 119619)

STAN K. YANG (State Bar,No. 121757)
CHASSMAN , YANG & SEELIG, LLP
333 South Grand Avenue, 33rd Floor
Los Angeles, California 90071
Telephone: (213) 626-6700

Attorneysfor Appellant and Defendant Phillip Yang

m
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 CERTIFICATE AS TO INTERESTED PARTIES
/
Case No. 88-6ofl'-;

AMERICAN SPECIFIC FINANCE, INC.,

Appellant, Plaintiff,

VS.

CHRISTOPHER SCLIMENTI, an individual,

Appellee, Defendant.

Plaintiff -Appellant American Specific Finance, Inc. has no parent, subsidiaries

or affiliates that have issued shares of stock to the public other than as follows:

American Specific Finance Inc.'s parent company, American Specific

Corporation, and American Specific Finance, Inc.'s subsidiaries, American Specific

Capital, L.L.C. and American Specific Delaware, L.L.C., have issued shares of stock

to the public.

DATED: January 26, 1998 MANATT, PHELPS & PIDLLIPS

ROBERT E. HINERFELD

By: _
Robert E. Hinerfeld
Attorney for Appellee
AMERICAN SPECIFIC FINANCE,
INC.
 CERTIFICATE AS TO {NTERESTED PARTIES

Case Nos. 88-6021 and 88-5834

HAMILTON COPPER & STEEL CORPORATION, a California corporation,

,\)JJJdllllIL Plaintiff, and Counter-Defendant

V5.

PRIMARY STEEL, INC., a Connecticut corporation,

,

Apptll~e. Deiendant, and Counter-Claimant.

The undersigned, counsel of record for HAMILTON COPPER & STEEL

CORPORATION, certifies that there are no known interested parties other than

those participating of record in the case.

DATED: March 13, 1989.

ROBERT E. HINERFELD
LAURIE L. SORIANO
MANA TI, PHELPS, ROTHENBERG
& PHILLIPS

ROBERT E. HINERFELD .

AttonI!:Y!> for /\ppdlant, Plaintiff, and

CO ZI II icr- 0 cicnd an t
HAMILTO7\!COPPER & STEEL
CORPORATION
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 FEDERAL PROOF OF SERVICE BY MAIL
STATE OF CALIFORNIA, COUNTY OF LOS ANGELES

I am employed in the County of Los Angeles, State of California, in the office of an

attorney admitted to the Bar of or permitted to practice before this court, and that service was
made at that attorney's direction or shall comply with the requirements of state law for proof
of service by mail. I am over the age of 18 and not a party to the within action; my business
address is 11355 West Olympic Boulevard, Los Angeles, California 90064-1614.

On November 9, 1997, I served two (2) true copies of the foregoing document
described as BRIEF FOR APPELLANT PHILLIP YANG on the interested parties in this
action addressed as stated on the attached mailing list.

I am "readily familiar" with the firm's practice of collection and processing

correspondence for mailing. Under that practice it would be deposited with U.S.
Postal Service on that same day with postage thereon fully prepaid at Los Angeles,
California in the ordinary course of business. I am aware that on motion of the party
served, service is presumed invalid if postal cancellation date or postage meter date is
more than one day after date of deposit for mailing in affidavit.

Executed on November 9, 1997, at Los Angeles, California.

I declare under penalty of perjury under the laws of the United States of America that
the above is true and correct.

(Type or print N arne) Signature

Proofst-3 Recycled & Recyclable Paper Page I

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 ,...•
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• •

No. 97-56163
(C.D.Cal. No. CV 96-07226 JSL (Ex)
In The
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT

MANCIPLE LIMITED, a Hong Kong corporation

Appellee, Plaintiff
vs.

EDWARD YANG, an individual

Non-Appellant, Defendant
PHILLIP YANG, an individual
Appellant, Defendant

Appeal from the United States District Court for the Central District of California,
Hon. 1. Spencer Letts, United States District Judge

APPELLANT PHILLIP YANG'S EXCERPT OF RECORD

VOLUME IV OF VI

THOMAS J. McDERMOTT (State Bar No. 29273)

ROBERT E. HINERFELD (State Bar No. 30148)
MANATT, PHELPS & PHILLIPS, LLP
11355 West Olympic Boulevard
Los Angeles, California 90064
Telephone: (310) 312-4000

MARKB. CHASSMAN (State Bar No. 119619)

STAN K. YANG (State Bar No. 121757)
CHASSMAN , YANG & SEELIG, LLP
333 South Grand Avenue, 33rd Floor
Los Angeles, California 90071
Telephone: (213) 626-6700

Attorneys for Appellantand Defendant PhillipYang