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Prepare, Save, and Attach an Organizational Chart

June 4, 2024

The following step-by-step guide is provided to assist filers in preparing and attaching an organizational chart to Form 13H.  

An organizational chart attached to Form 13H must be a PDF document. (A document that consists of scanned images of text cannot be read by EDGAR because the content represents a graphic, not searchable text.) In addition, the organizational chart cannot contain excessive formatting or validation errors will result. 

The steps to assemble a (simple) organizational chart, save it as a PDF, and use the text recognition feature in Adobe are as follows.

1. Create an Organizational Chart in Microsoft Word

  • Open Microsoft Word.
  • Select Insert > SmartArt.
  • Select a hierarchical structure under Hierarchy; the chart illustrated below as an example is titled “Organizational Chart.”

Screenshot depicting Microsoft Word SmartArt Graphic options

  • Right click in each box to change the Shape Fill to No Fill; Shape Outline to Automatic; or change the font color or size.

2. Save the Organizational Chart as a PDF

After you have completed your organizational chart and ensured it does not contain excessive formatting, save it in Microsoft Word.

Select File > Save As. To convert your chart to PDF, select File > Save as Adobe PDF and rename the file. Ensure your file is named according to EDGAR naming requirements:

  • File name must be 32 characters or less.
  • All characters must be lowercase.
  • File name must start with a letter.
  • File name cannot contain any spaces.
  • It may contain digits 0-9.
  • It may have up to one period (.), one hyphen (-), and one underscore character (_).

 3. Use Adobe Acrobat to Recognize Text in the Image

Open Adobe Acrobat Pro DC. Select File > Open > and select your organizational chart. Select View > Tools > Scan & OCR (or Enhance Scans depending on the version of Adobe).

Screenshot depicting the path to find the Scan & OCR function in Adobe Acrobat Pro

  • The Tools Window will display on the right side of the page.
  • Under Recognize Text, select In This File.

Illustration depicting the recognize text options in the Adobe Acrobat Pro tools window

  • Select the blue Recognize Text button.

Screenshot depicting the blue recognize text button selection

  • A progression bar will appear on the bottom right corner of your screen.
  • Rename and save your document by choosing Select File > Save As and renaming the file.

4. Attach to 13H Filing

To confirm that your document will pass EDGAR validation,

  • Attach the PDF document to your 13H filing by selecting the Add Document button under the Documents List section.
  • Browse your computer files and select the organizational chart in PDF you just created to attach it to the 13H filing.

Screenshot depicting the attach documents list error validation screen

  • Put a check mark in the white box next to your uploaded PDF and select Validate Document.
  • A “0” should appear in the column marked “Errors.”
  • If errors are detected, select the number marked in red in the Errors column to see the list of document errors.

Last Reviewed or Updated: Oct. 31, 2024