EFTA Document EFTA01297502

NAME SEARCHED: The 2017 Caterpillar Trust PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RUC 0 No Ili' 0 Not Required I. RDC Results RDC Alert(mail sent separately) e tilt FIRCOSOFT No Hit • Not Required II. PCR Results No FIRCOSOFT Alert(please see attached) 0 Hit BIS D Yes CO No Not Required III. Negative Media No Information Found IV. Non-Negative Media No Information Found V. Other Language Media No Information Found D&B VI, D•B No Information Found Results'? E Yes No 0 Not Required Smartlinx VII. Sinattlinx No Information Found Results? M Yes /8) No 0 Not Required Court Cases • Review by Legal May VIII. Court Caen No Information Found be Required El No Results CI Search not required Prepared by: Priyanka Rathore Date: 02/05/2018 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttpalwww.martindale.com/xp/Martindak/home.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For intense' use only For internal use only CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023624 EFTA_00171313 EFTA01297502 Page 2 OFAC RESULTS RDC: 11620919 Alerted 11620920 Alerted FIRCOSOFT: KYC 01898372 KYC 01898372 S The 2017 Caterpillar Trust The 2017 Caterpillar Trust Request ID Record ID Type Name Ccuriti.v:UNITED STATES Ccur it U.S. VIRGIN ISLANDS, Alert(s) ADM INT PEP SAE The 2017 2078384 WR_20783842182 Company Caterpillar No Alert No Alert No Alert No Alert Trust The 2017 2078385 WR_20783852182 Company Caterpillar No Alert No Alert No Alert No Alert Trust BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: No Information Found D&B: No Information Found For internal use only For internal use only SDNY_GM_00060800 CONFIDENTIAL - PURSUANT TO FED R.CONE IDENTIAL DB-SDNY-0023625 EFTA_00171314 EFTA01297503 LEGAL RESULTS: Court Cases: No Intbrination Found For internal use only For internal use only SDNY_GM_00060801 CONFIDENTIAL - PURSUANT TO FED R.ctc)N(F IDENTIAL DB-SDNY-0023626 EF1'A_00171315 EFTA01297504