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Guide: Link the Exhibit Index

You can use ActiveLink to create an exhibit index (or exhibit listing) in Excel and link it to Word. In addition, you can use ActiveLink to add links in Excel to cells referring to exhibits posted on the SEC website (incorporated by reference).

The process for linking an exhibit index is as follows:

  1. Enter the Exhibit Index in Excel
  2. Create a Named Range for a Table Comprising the Exhibit Index
  3. Add Hyperlinks to Cells Referring to Exhibits Posted on the SEC Website
  4. Add the Exhibit Index to the Word Document
  5. Update the Exhibit Index

Note: After you link the exhibit index, you'll need to use Word to link to exhibits included with the project (filed herewith) and link to exhibits included in the main filing document (filed herewith). You cannot link to these types of exhibits in Excel.

Enter the Exhibit Index in Excel

To get started, open an Excel file and enter the contents of the exhibit index in Excel. Be sure to follow these best practices when entering the exhibit index:

Exhibit Number column

  • In the first row of the exhibit index, you can optionally enter a heading for the column containing the exhibit numbers. If you do this, you can name the column Exhibit Number or Exhibit No. Enter this title in the first cell of the first column of the exhibit index (the left-most column). See the picture below for an example.
  • In the cells in the Exhibit Number column, list each exhibit number.

  • Be sure to include an exhibit number for each exhibit listed in the exhibit index.

    Examples: 31.1, 32.2

  • You can optionally enter footnote symbols next to an exhibit number

    Examples: 10.1*, 32.2**

    When entering footnote symbols, use one of the following symbols: # * † ‡ § + ^ ? ( )

Description Column

  • In the first row of the exhibit index, you can optionally enter a heading for the column containing the exhibit descriptions such as Description. If you do this, enter this title in the first cell of the column to the right of the Exhibit Number / Exhibit No. column you named above. See the picture below for an example.
  • In the cells in the Description column, list each exhibit description.  
  • Be sure to include a description for each exhibit listed in the exhibit index.

Rules for Table Formatting

Do not merge cells in the table comprising the exhibit index.

Create a Named Range for the Table Containing the Exhibit Index

To link the exhibit index from Excel to your Word document, you must first create a named range for the group of cells that comprise the exhibit index in Excel.

To create a named range for the table containing the exhibit index

  1. Open the Microsoft Excel document that contains the exhibit index you want to link to a Microsoft Word document.
  2. Using the mouse, highlight the range of cells that comprise the exhibit index.
  3. Click the Name box (highlighted in the figure below), type 'ExhibitIndex', and then press Enter. To follow best practice, you should enter 'ExhibitIndex' for the name of this named range instead of another name.

    Note: If you are also linking an exhibit list (located above the signature page), type 'ExhibitList' and press Enter. To follow best practice, you should always enter 'ExhibitList' as the named range for the exhibit list instead of any other name.

Add Hyperlinks to Cells Referring to Exhibits Posted on the SEC Website

You can add hyperlinks to the cells in Excel referring to exhibits posted on the SEC website (incorporated by reference).

Note: You cannot use Excel to link to exhibits included with the ActiveDisclosure project in Excel (filed herewith). This includes exhibits included in the master document such as a Power of Attorney document for which you need to insert a Bookmark link. After you link the exhibit index to Word using ActiveLink, you'll need to use Word to insert links to these exhibits. You should only do this after you no longer need to refresh or reload changes to the exhibit index from Excel to Word. If you refresh or reload the exhibit index after you link to exhibits using Word, the links you inserted in Word will be removed.

Note: Beginning September 1, 2017 the SEC requires that certain form types must include a link to each exhibit listed in the exhibit index for the filing. This requirement includes the following form types supported in ActiveDisclosure: S-8, 8-K, 10-D, 10-K, 10-Q, and 20-F.

  1. Open the Excel file containing the exhibit index.

  2. Using the mouse, highlight the desired cell value in a named range to which you want to insert a hyperlink.

  3. Right-click the highlighted cell and click Hyperlink.

  4. In the Address field, insert the link.

    Note: The hyperlink address must begin with 'http://' or 'https://' or the hyperlink will not be added to Word.

  5. Click OK.
  6. Save your changes.

Add the Exhibit Index to Microsoft Word

After you enter the exhibit index or exhibit listing in Excel and link to exhibits posted on the SEC website, follow these steps to add the exhibit index to Word:

To add the exhibit index in Word

  1. In Microsoft Excel, open the spreadsheet that contains the exhibit index.
  2. In Microsoft Word, open the document to which you want to add the exhibit index.

  3. Place the cursor in the Word document where you want the exhibit index to appear.

    Note: Make sure there are at least two blank lines separating the content above and below the desired location for the linked exhibit index.

  4. From the ActiveLink ribbon, click Add Link to open the Add Link pane in the Index panel, Add Link tab.

  5. From the Index panel, Add Link tab, select the named range you want to add. The named range becomes highlighted.

    The named range from Excel for the exhibit index is displayed under the Tables folder.

  6. When you select to add a table link, the following options are available:
    • Table Width
    • Column format
    • Alignment

    For information on these options, see Add Link pane.

  7. Do one of the following to add the link:
    • Double-click the named range. The exhibit index is added to Word.
    • With the named range selected that you want to add, click Add Link. The exhibit index is added to Word.

Best Practices for Table Formatting in Word

Keep the following formatting best practices in mind after adding the exhibit index in Word:

  • In Word, do not use complex splitting of columns in the table comprising the exhibit index.
  • In Word, do not merge cells in the table comprising the exhibit index.

Update the Exhibit Index

When you make changes to the exhibit index in Excel, you can then update Word to reflect the changes.

Note: Keep in mind that when you refresh or reload the exhibit index in Word to update the exhibit index, all of the links to exhibits you inserted in Word will be removed. This includes links to exhibits included with the project and included in the main filing document.

To update the exhibit index

Follow these steps to update the exhibit index:

  1. In Microsoft Excel, open the document that contains the exhibit index and edit the exhibit index as needed and save your changes.
  2. In Microsoft Word, place your cursor inside a cell in the exhibit index to select the exhibit index.

  3. From the ActiveLink ribbon, click Refresh Link on the ActiveLink ribbon. The Refresh Links window opens.

    Note: Do not click the drop-down arrow below Refresh Link.

    Note: If you added or removed row or columns in the exhibit index, you'll need to reload the changes in Word. To do this, select the Reload Row/Column Mismatches Automatically check box in the Refresh Links window and then proceed to step 4. You need to do this when the following message is listed in the status column in the Refresh Links window: 'Row/Column count mismatch. This table cannot be Refreshed, and instead, must be Reloaded.'

  4. From the Refresh Links window, click Apply.

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