Prepare, Save, and Attach an Organizational Chart

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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.”

• 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).

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

• Select the blue Recognize Text button.

• 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.

• 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.