EFTA Document EFTA01407734

- Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 Entity Information Risk Priority: Critical Entity Riskid Entity Name: Caterpillar Inc. Alias: CAT• • Caterpillar Belgium SA • Caterpillar (NI) Limited • FG Wilson (Engineering) Ltd • Caterpillar International Finance Ltd • Caterpillar Financial Services Corp • Caterpillar SARL • tWanh • Caterpillar Credito, S.A. de C.V. SOFOM E.N:R. Address: Morton, Illinois, UNITED STATES• • AUSTRALIA • SWITZERLAND • Old Glenarm Road, Larne, Northern Ireland, BT40 1EJ, UNITED KINGDOM • Avenue des Etats-Unis 1, Gosselies, Hainaut, 6041, BELGIUM • 100 North East Adams Street, Peoria, Illinois, 61629, UNITED STATES Riskography: In January 2013, Caterpillar was charged with fraud after a disclosure of "deliberate, multi-year, coordinated accounting misconduct" at the Siwei unit of ERA Mining Machinery (ERA). Caterpillar closed the purchase of ERA and its subsidiary Siwei in June 2012, paying $653.4 million. After the deal was closed, Caterpillar found that physical inventory did not match the accounting statements. In January 2013, Caterpillar announced that it would write off most of the $654 million which it had paid to acquire ERA. In 2011, a former Caterpillar executive accused the company of using offshore subsidiaries to avoid payiing $2 billion in U.S. taxes from 2000 to 2009. It paid $2.55 million to settle allegations that it violated the U.S. Clean Air Act, according to the U.S. Justice Department. Recent Event(s): ENV - Environmental Crimes (Poaching, Illegal Logging, Animal Cruelty / ASC - Associated with, Seen with, 12/08/2017 • United Industries LLC, a subsidiary of Progress Rail Services, Inc., which itself is a subsidiary of Caterpillar, Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to EFTA01407734 conceal that it was performing unnecessary and improper repairs for several railcar operators and was imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in restitution to three victim companies - TTX Company, Pacer International and Greenbrier Company. As a result of illegal conduct that spanned the years 2008 through 2014 - including the unnecessary and improper repairs on railcar adapters, brake beams, grating platforms, brake shoes, friction castings, hand brakes, roof liners and side bearings - United Industries earned at least $5 million., 12/08/2017, Dal US Attorneys Offices Press Releases 2017 Event: REG - Regulatory Action / FIM - Fine More than $10,000, 04/04/2003 • Caterpillar, Inc. has remitted $ 18,000.00 to settled allegations of a violations of 515 Sanctions Program. Actual or Alleged Violation of Export (Goods or Services), 04/04/2003, OFAC Civil Penalties List SEC - SEC Violations (Insider Trading, Securities Fraud) / DMS - Dismissed, 02/25/2016 The Securities and Exchange Commission ends tax probe without action against its foreign subsidiary, known as Caterpillar SARL., 02/25/2016, McClatchy Tribune Academic Restricted • IRC - Iran Connect / ASC - Associated with, Seen with, 08/24/2012 • Caterpillar Inc was listed among hundreds of US companies identified by the New York Times on 24 December 2010 that took legal advantage of a controversial loophole in US sanctions legislation to Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 1 of 8 Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 Alert Alert Date: 2/5/2018 EFTA01407735 DB12000P - Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 Risk Priority: Critical Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 • December 2010 that took legal advantage of a controversial loophole in US sanctions legislation to procure a US Treasury Department license to sell selected goods in Iran despite trade sanctions and embargoes. The licenses were granted under a 2000 law mandating that agricultural and medical humanitarian aid be exempted from sanctions; the New York Times notes that this and other entities identified in the article received special licenses to enter into transactions that would otherwise be prohibited by trade embargoes and sanctions rules., 08/24/2012, Iran Connect IRC - Iran Connect / ASC - Associated with, Seen with, 08/24/2012 Caterpillar has performed business in Iran through its wholly-owned subsidiary Lovat, (a Canadian tunnelboring machine company), and Arya Machinery, which states it is the exclusive dealer of Caterpillar in Iran. Solar Turbines, a division of Caterpillar, requested license to bid on a project to build a natural mixing station needed by the Turkish government-owned pipeline company, Botas., 08/24/2012, Iran Connect • IRC - Iran Connect / ASC - Associated with, Seen with, 07/29/2010 Caterpillar Belgium SA is an associate of National Iranian Oil Engineering and Construction Company. On July 29, 2010, Australian Department of Foreign Affairs and Trade has listed National Iranian Oil Engineering and Construction Company (NIOEC) under sub-regulation 17E (3) of the Charter of the United Nations (Sanctions - Iran) Regulations 2008. According to the Official Journal of the European Union Website, dated December 22, 2012, NIOEC was designated under Regulation (EU) No 1264/2012, as an entity which is a subsidiary of National Iranian Oil Refining and Distribution Company., 07/29/2010, Iran Connect • IRC - Iran Connect / ASC - Associated with, Seen with, 07/29/2010 Caterpillar NI Limited is an associate of National Iranian Oil Engineering and Construction Company. On July 29, 2010, Australian Department of Foreign Affairs and Trade has listed EFTA01407736 National Iranian Oil Engineering and Construction Company (NIOEC) under sub-regulation 17E (3) of the Charter of the United Nations (Sanctions - Iran) Regulations 2008 According to the Official Journal of the European Union Website, dated December 22, 2012, NIOEC was designated under Regulation (EU) No 1264/2012, as an entity which is a subsidiary of National Iranian Oil Refining and Distribution Company., 07/29/2010, Iran Connect REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 01/23/2003 Entity appears on the Arizona Corporate Commission Securities Division Enforcement Actions site, 01/23/2003, Arizona - Corp. Commission Securities Division Enforcement Actions • DEN - Denied Entity / ASC - Associated with, Seen with, 07/31/2015 • This entity appears on the Iowa Board of Regents' list of scrutinized companies doing business in Sudan., 07/31/2015, Iowa Board of Regents - Scrutinized Companies FRD - Fraud, Scams, Swindles / SET - Settlement or Suit, 03/14/2017 Daniel Schlicksup in 2009 filed suit and accused Caterpillar of breaking the law and misleading stockholders. (The case was reportedly settled out of court.) Shareholder Judy Pill also sued, accusing Cat of violating its "fiduciary duties" in 2017., 03/14/2017, Register-Mail, The (Galesburg, IL) • TAX - Tax Related Offenses / DMS - Dismissed, 02/25/2016 • The Securities and Exchange Commission ends tax probe without action against its foreign subsidiary, known as Caterpillar SARL., 02/25/2016, McClatchy Tribune Academic Restricted • TAX - Tax Related Offenses / ASC - Associated with, Seen with, 03/03/2017 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 2 of 8 Alert Alert Date: 2/5/2018 EFTA01407737 - Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 Risk Priority: Critical Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 Wsj.com listed an article on 3 March 2017, re: The Caterpillar Inc. locations searched were believed to be connected to the Caterpillar subsidiary known as CSARL. The search was in connection with a possible tax matter. Caterpillar Chief Executive Jim Umpleby said the company believes the search warrant is connected the Switzerland-based subsidiary, which he noted had been under review for more than three years., 03/03/2017, Special Media • TAX - Tax Related Offenses / ACT - Disciplinary, Regulatory Action, 03/14/2017 Cat is accused of being engaged in tax and accounting fraud. Agents from the Internal Revenue Service and other government body raided Cat's World Headquarters and some offices. IRS is already seeking $2 billion in taxes and penalties, which Cat is appealing, and no charges have been filed., 03/14/2017, Register-Mail, The (Galesburg, IL) SEC - SEC Violations (Insider Trading, Securities Fraud) / SET - Settlement or Suit, 04/20/2017 The Law Offices of Vincent Wong announce that a class action lawsuit has been commenced in the United States District Court for the Northern District of Illinois on behalf of investors who purchased Caterpillar, Inc. According to the complaint, throughout the Class Period, the Company issued materially false and misleading statements and/or failed to disclose., 04/20/2017, Legal Monitor Worldwide (Jordan) • REG - Regulatory Action / SET - Settlement or Suit, 04/04/2003 • Caterpillar, Inc. has remitted $ 18,000.00 to settled allegations of a violations of 515 Sanctions Program. Actual or Alleged Violation of Export (Goods or Services), 04/04/2003, OFAC Civil Penalties List • TAX - Tax Related Offenses / SET - Settlement or Suit, 03/21/2017 Caterpillar Inc. was named in a class action lawsuit for unlawfully used foreign subsidiaries to avoid paying billions of dollars in U.S. taxes, heightened regulatory scrutiny and EFTA01407738 potential criminal sanctions, Caterpillars public statements were materially false and misleading at all relevant times., 03/21/2017, Legal Monitor Worldwide (Jordan) • SEC - SEC Violations (Insider Trading, Securities Fraud) / CMP - Complaint Filed, 03/29/2017 This class action seeks to recover damages against Defendants for alleged violations of the federal securities laws under the Securities Exchange Act of 1934 (the Exchange Act)., 03/29/2017, Legal Monitor Worldwide (Jordan) • FRD - Fraud, Scams, Swindles / PRB - Probe, 03/08/2017 A US government-commissioned review concluded Caterpillar intentionally committed tax and financial reporting fraud. Federal agents last week raided the Illinois headquarters of the US industrial giant, which failed to account for $7.9 billion in overseas income for tax purposes.The Internal Revenue Service in November notified Caterpillar that it owed about $2 billion in adjustments and penalties connected to returns from 2010 to 2012., 03/08/2017, Agence France-Presse SEC - SEC Violations (Insider Trading, Securities Fraud) / PRB Probe, 02/19/2016 Securities and Exchange Commission completed an investigation related to its SARL subsidiary, did not recommend an enforcement action, 02/19/2016, Newsbank - North Carolina News Sources • REG - Regulatory Action / PRB - Probe, 04/04/2017 • A federal raid of Caterpillar Inc. offices reveled company's controversial strategy to avoid paying U.S. taxes, and also Securities and Exchange Commission set for inquiries that its business interests in three sanctioned countries: Sudan, Syria and Iran. in 2012 after a series of depositions laid out the company's tax strategy in public for the first time, parts sales generated $5.6 billion in profit over several years - Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 3 of 8 Alert Alert Date: EFTA01407739 2/5/2018 EFTA01407740 Deutsche Bank Private Bank Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 • Risk Priority: Critical dismissed., 04/04/2017, Peoria Journal Star, The (IL) TAX - Tax Related Offenses / PRB - Probe, 10/30/2015 Wsj.com listed an article on 30 October 2015, re: Caterpillar Inc. has received more subpoenas relating to a U.S. grand jury investigation of its tax practices., 10/30/2015, Special Media • BRB - Bribery, Graft, Kickbacks, Political Corruption / ALL - Allege, 06/30/2010 The named entity was identified publicly in a 30 June 2010 document leaked to Global Witness -- an international NGO focused on examining the relationship of natural resources and international trade systems with corruption -- that detailed Western banking institutions holding Libyan oil money as well as investments by the Libyan Investment Authority (LIA) in foreign businesses. The NY Times on 26 May 2011 noted that it had independently verified the leaked document as authentic and described it as a "summary of LIA investments." Global Witness cited the information as justification for a new laws requiring banks and investment funds to disclose all managed state funds to make it more difficult for sanctioned persons or companies to move the proceeds of corruption through the global financial system., 06/30/2010, Special Media • ENV - Environmental Crimes (Poaching, Illegal Logging, Animal Cruelty / ASC - Associated with, Seen with, 12/08/2017 United Industries LLC, a subsidiary of Progress Rail Services, Inc., which itself is a subsidiary of Caterpillar, Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to conceal that it was performing unnecessary and improper repairs for several railcar operators and was imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in restitution to three victim companies - TTX Company, Pacer International and Greenbrier Company. As a result of illegal conduct that spanned the years 2008 through 2014 - EFTA01407741 including the unnecessary and improper repairs on railcar adapters, brake beams, grating platforms, brake shoes, friction castings, hand brakes, roof liners and side bearings - United Industries earned at least $5 million., 12/08/2017, DOJ US Attorneys Offices Press Releases 2017 • ENV - Environmental Crimes (Poaching, Illegal Logging, Animal Cruelty / SET - Settlement or Suit, 07/28/2011 The U.S. Department of Justice says Caterpillar Inc. has agreed to pay $2.55 million to settle allegations that it violated the U.S. Clean Air Act., 07/28/2011, Associated Press Newswires Relationship: W Frank Blount, Associate • • Solar Turbines Incorporated, Associate • Associate of National Iranian Oil Engineering and Construction Company Alert Notes Notes: Caterpillar Inc., United Industries LLC, a subsidiary of Progress Rail Services, Inc., which itself is a subsidiary of Caterpillar, Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to conceal that it was performing unnecessary and improper repairs for several railcar operators and was imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in restitution to three victim companies. Source Information RDC URL: https://grid.rdc.com/wss/entity.html?- entityld=d6b78c2d3114a8ce5d3f3d53eb346cc4 Source Name: RiskConnect, 02/04/2018 Entity URL: http://www.treasury.gov/resource-center/sanctions/OFAC- Enforcement/Documents/04042003.pdf. Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 4 of 8 Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 Alert Alert Date: 2/5/2018 EFTA01407742 EFTA01407743 Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 • Risk Priority: Critical Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 • http://www.treasury.gov/resource-center/sanctions/CivPen/Pages/2003.aspx • http://www.nytimes.com/2011/05/27/world/africa/27qaddafi.html?_r=l&hp http://www.globalwitness.org/sites/default/files/library/- Libyan%20lnvestment%20Authority,9620as%20of%2 Nune96202010.pdf • http://www.cat.com • http://www.regents.iowa.gov/Reports/sudanannualreport1014.pdf • https://www.fgwilson.com • http://www.azcc.gov/Divisions/Securities/Enforcement/Actions/2003/- Tierra Group_1-23-03.pdf • http://www.wsj.com/articles/SB10001424052702304527504579172123767258440 • http://www.wsj.com/articles/caterpillar-gets-more-grand-jury-subpoenas-in- tax-probe-1446232494 • https://www.wsj.com/articles/federal-agents-search-caterpillar- locations-1488475293 https://www.justice.gov/usao-cdca/pr/subsidiary-caterpillar-inc-pleads- guilty-federal-offense-dumping-partsocean-after • Sources: Associated Press Newswires, MEDIA Article,United States,Headline:Caterpillar to pay $2.55 million for Clean Air Act violations, • http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=APRS000020110728e77s00369 • OFAC Civil Penalties List, OFAC Civil Penalties List, http://- www.treasury.gov/resourcecenter/sanctions/CivPen/Pages/civpen-index2.aspx • Special Media, Special Media, http://www.rdc.com/ • Iran Connect, Iran Connect, http://www.rdc.com • Arizona - Corp. Commission Securities Division Enforcement Actions, Arizona - Corp. Commission Securities Division Enforcement Actions, http://www.azcc.gov/divisions/- securities/enforcement/enforceactions.asp Iowa EFTA01407744 Board of Regents - Scrutinized Companies, Iowa Board of Regents - Scrutinized Companies, http://www.regents.iowa.gov/Reports/iranannualreport1014.pdf • Newsbank - North Carolina News Sources, MEDIA Article,Headline:The briefcase • McClatchy Tribune Academic Restricted, MEDIA Article,Headline:CAT tax probe ends without action • McClatchy Tribune Academic Restricted • Agence France-Presse • Register-Mail, The (Galesburg, IL), MEDIA Article,Headline:Guest column Change 'tax avoidance' laws • Legal Monitor Worldwide (Jordan) • • Peoria Journal Star, The (IL) • Legal Monitor Worldwide (Jordan), MEDIA Article,Headline:SHAREHOLDER ALERT: Bronstein, Gewirtz & Grossman, LLC Reminds Investors of Class Action Against Caterpillar Inc. (CAT) & Lead Plaintiff Deadline: May 2, 2017 Legal Monitor Worldwide (Jordan), MEDIA Article,Headline:CAT INVESTOR ALERT: The Law Offices of Vincent Wong Reminds Investors of a Class Action Involving Caterpillar, Inc. and a Lead Plaintiff Deadline of May 2, 2017 • • DOJ US Attorneys Offices Press Releases 2017, DOJ US Attorneys Offices Press Releases 2017, http://www.justice.gov/usao/about/usattorneys.html Peoria Journal Star, MEDIA Article,United States,Headline:Decatur woman sues for coverage -- Debbie Robinson's attorney will file class action lawsuit, Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 5 of 8 Alert Alert Date: 2/5/2018 EFTA01407745 IIIMIIII Deutsche Bank Private Bank Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 • Risk Priority: Critical Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=prjs000020010712dx3u007oc Associated Press Newswires, MEDIA Article,United States,Headline:Caterpillar turns profit; says global economy improving, demand rising in emerging markets, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=APRS000020100426e64q001yh • St. Louis Post-Dispatch, MEDIA Article,United States,Headline:Caterpillar sees 'revival' as global demand increases, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=SLM0000020100427e64r000b8 • The Commercial Appeal, MEDIA Article,United States,Headline:Millions of jobs lost in recession most likely are gone for good, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=MMPH000020100514e65e0000n • Associated Press Newswires, MEDIA Article,United States,Headline:Moody's raises credit outlook for heavy equipment maker Caterpillar, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=APRS000020100602e662001lm • Pittsburgh Tribune-Review, MEDIA Article,United States,Headline:Caterpillar accused of dodging $2 billion in taxes, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=PBTR000020110710e7790000j • Newsday, MEDIA Article,United States,Headline:IN BRIEF, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=NDAY000020050601e1610001a • Financial Times, MEDIA Article,Headline:Caterpillar probed over US tax avoidance claims; CONSTRUCTION; Senate looking at overseas transfers, EFTA01407746 http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=FTFTA00020140322ea3m00042 The Wall Street Journal Online, MEDIA Article,Headline:U.S. Prosecutors Investigate Caterpillar Unit; Progress Rail Services Is a Target of a Criminal Investigation in California, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=WSJ0000020131101e9b1009na • The Wall Street Journal Online, • http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=WSJ0000020131101e9b1009na • • Reuters News, MEDIA Article,Headline:ANALYSIS-Accounting risk clouds big U.S. business bets in China, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=LBA0000020130210e92a0008r Reuters News, MEDIA Article,Headline:UPDATE 3-Ex-chairman of firm linked to Caterpillar fraud "dismayed", http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=LBA0000020130128e91s000a8 • New York Law Journal, MEDIA Article,Headline:Oscar Buitrago and Maria Buitrago, Plaintiffs v. H.O. Penn Machinery Company, Inc., H.O. Penn Machinery Leasing, LLC and Caterpillar Inc., Defendants, 100154/08; Supreme Court, New York County, Part 7; Torts, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=NYLJ000020130531e95v0008p • • Associated Press Newswires, MEDIA Article,Headline:Caterpillar sued over death of contract worker, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=APRS000020090218e52i0011o Theflyonthewall.com, MEDIA Article,United States,Headline:Caterpillar settles with DOJ over emissions for $2.55M, Bloomberg reports, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=FLYWAL0020110728e77s005mt • The Wall Street Journal Online, MEDIA Article,Headline:Litigation Investors Gain Ground in U.S., http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=WSJ0000020140113ealc0015p Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in EFTA01407747 strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 6 of 8 Alert Alert Date: 2/5/2018 EFTA01407748 Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 • • Risk Priority: Critical Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=WSJ0000020140113ealc0015p Dow Jones Institutional News, MEDIA Article,Headline:Caterpillar Settles Engine-Fire Suit for $46 Million, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=DJDN000020140610ea6a003tk Daily Record (Rochester, NY), MEDIA Article,Headline:Appellate Division, Third Department Case Summaries: May 7, 2008.(Case overview), http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=DRRC000020080509e45700008 • The Pioneer (India), MEDIA Article,Headline:Accounting fraud opens can of worms Reuters News, MEDIA Article,Headline:U.S. multinationals fear fallout from U.S.-China audit row, http://global.factiva.com/en/du/article.asp?- NAPC=S&AccessionNo=LBA0000020121207e8c70006c • • New York Times Online, MEDIA Article,Headline:Feature: Should You Be Allowed to Invest in a Lawsuit? • Newcastle Journal (England), MEDIA Article,Headline:North firm's 'David v Goliath' battle to start • Newcastle Journal (England) • City A.M., MEDIA Article,Headline:Caterpillar loses $73m trade secrets verdict in US against UK supplier • San Angelo Standard-Times (TX), MEDIA Article,Headline:Murder trial will stretch into third week • Reuters, MEDIA Article,Headline:Caterpillar is sued by a shareholder after federal raid Rapid City Journal, The (SD), MEDIA Article,Headline:Caterpillar offices raided in probe related to Swiss unit, http://rapidcityjournal.com/caterpillar-offices-raided-in-probe- related-to-swiss-unit/article_f3aab49b3da7-5f29-81f1-3f0eca56ec6f.html • • New York Times, The, MEDIA Article,Headline:Caterpillar Is Accused in a Report of Fraud EFTA01407749 Emirates News Agency (WAM) (United Arab Emirates), MEDIA Article,Headline:CAT Investor Alert: Hagens Berman Alerts Investors in Caterpillar, Inc. to Securities Class Action Related to Possible Tax Fraud and to the May 2, 2017 Lead Plaintiff Deadline • • Peoria Journal Star, The (IL), MEDIA Article,Headline:Caterpillar eliminating 'middleman,' alright • Register-Mail, The (Galesburg, IL) • Legal Monitor Worldwide (Jordan), MEDIA Article,Headline:CAT SHAREHOLDER ALERT: The Law Offices of Vincent Wong Notifies Investors of a Class Action Involving Caterpillar, Inc. and a Lead Plaintiff Deadline of May 2, 2017 • • Peoria Journal Star, The (IL), MEDIA Article,Headline:EXCLUSIVE: Federal raid resurrects questions about company's business dealings in Sudan, Syria and Iran Legal Monitor Worldwide (Jordan), MEDIA Article,Headline:SHAREHOLDER ALERT: Lundin Law PC Announces Securities Class Action Lawsuit against Caterpillar Inc. and Encourages Investors with Losses to Contact the Firm • Peoria Journal Star, The (IL), MEDIA Article,Headline:Cat backs Trump tax reform effort At White House event, company pledges support for grass-roots campaign • Oman Observer (Jordan), MEDIA Article,Headline:Caterpillar, a Trump favourite, under pressure Caterpillar NI Limited Website, Source provides the address of Caterpillar NI Limited, https://www.fgwilson.com/contactUs • • National Iranian Oil Engineering and Construction Company Website, Source provides alias and relationship of Caterpillar NI Limited with National Iranian Oil Engineering and Construction Company, http://www.nioec.org/AnalyticsReports/A.V.L9620BASED96200N9620PRODUCTS.pdf • Caterpillar NI Limited Website, Source provides aliases of Caterpillar NI Limited https://www.fgwilson.com/about_us/history Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in strictest confidence, not to make use thereof other than for authorized EFTA01407750 purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 7 of 8 Alert Alert Date: 2/5/2018 EFTA01407751 - Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 • Risk Priority: Critical https://www.fgwilson.com/about_us/history National Iranian Oil Engineering and Construction Company Website, Source provides alias and relationship of Caterpillar Belgium SA with National Iranian Oil Engineering and Construction Company, http://www.nioec.org/AnalyticsReports/A.V.L9620BASED96200N9620PRODUCTS.pdf • • Bloomberg Businessweek Website, Source provides alias and address of Caterpillar Belgium SA, http://investing.businessweek.com/research/stocks/private/snapshot.asp?- privcapid=6447405 New York Times, 24 December 2010, "Companies with Permission to Bypass Sanctions", List of top licensees and examples of licenses granted by US Government to American companies to enter into transactions with Iran., http://www.nytimes.com/interactive/2010/12/24/world/- 24-sanctions-list.html • New York Times, 24 December 2010, "US Approved Business With Blacklisted Nations", New York Times article on controversial Treasury-Department issued trade sanction licenses., http://www.nytimes.com/2010/12/24/world/24sanctions.html?- r=l&emc=etal&pagewanted=all • Caterpillar Inc Website, Source provides the address of Caterpillar Inc, http://www.cat.com/contact United Against Nuclear Iran Website, Source provides details on Caterpillar Inc, http://www.unitedagainstnucleariran.com/company/caterpillar-inc • Country:VIRGIN ISLANDS, U.S. Reporting ID: Alert ID: 12612432.11620920.86458141 Alert Alert Date: 2/5/2018 Consistent with the terms and conditions of your RDC Subscriber Agreement, the information contained in this document is for alert purposes only and is not to be used for purposes of determining an individual's eligibility for any credit or any other FCRA permissible purposes. User further agrees to hold such material and information in EFTA01407752 strictest confidence, not to make use thereof other than for authorized purposes, to relate it only to employees requiring such information, and not to release or disclose it to any other party. The Alert information contained in this document may or may not pertain to the individual or entity referenced in your inquiry. Page 8 of 8 EFTA01407753