EFTA Document EFTA01409081

EFTA01409081 EFTA01409082 EFTA01409083 EFTA01409084 Deutsche Bank Wealth Management Business Deposit Account Opening Application The .20.17_Caterpillar_Trus.t. ,0_1/0.3/2017_ Account Tide Date of Incorporation The 2017. Caterpillar Trust Taxpayer 10 Number (TIN) Entity/Company Name St Thomas 00802, _ .6.100.Red.Hook_OuaiteiLB3^ Mailing Address City State Zip Business Telephone Number Business Fax Number Other Number Legal Address (if different from mailing address) City State Zip Client Relationship K Corporation l' Foundation C Limited Liability Company (LLC) K Partnership K Limited Liability Partnership (LLP) K Attorney Escrow Account K Landlord Master Escrow Trust Non-Profit Organization ' Estates Private Wealth Premium`" DBTCA Accounts Deutsche Bank AG NY Branch Accounts S"; Checking Account G Checking with Interest Ti Money Market Deposit K DBTCA Certificate of Deposit K Deutsche Bank AG NY Preferred Banking Account K Deutsche Bank AG NY Preferred Certificate of Deposit APY Term EFTA01409085 Promo term (DBTCA deposit account required, along with a DB AG Preferred Terms and Conditions) APY Term K Cash Master Sweep Account Target Amount Trigger Amount Banking Services C i Deluxe Checkbook K Debit Cards—Business Debit Card K Name Only U Name and Address Duplicate Statement Style Code Color Name Internet Banking Services Address K DB Private Wealth Online Plus K Link to existing online relationship: City State Zip Code WM16724 5 015624.092017 Page i of 3 Notice of Customer Identification Policy Important Information To help the government fight the funding of terrorism and money laundering activities. Federal law requires all financial institutions to obtain, verify and record information that identifies each person who establishes an account, investment or other business relationship with a financial institution. This means that we will ask for your name, address and other information that will allow us to identify you. We may also ask to see identifying documents such as a certificate of formation or good standing (legal entities) or a passport or other photo identification (individuals). Information Sharing You authorize Deutsche Bank to share information about you and your Account as set forth in our Privacy Policy, including any disclosures that (1) Deutsche Bank believes are required by applicable law and regulations that apply to Deutsche Bank or others, including disclosure of information about you and your Account to any government agency or self-regulatory body on request, (2) is necessary or appropriate in connection with Deutsche Bank's provision of services under this Agreement, or (3) is requested by a financial institution, financial intermediary, or other third party in order to assist such person with compliance with law applicable to such person in connection with services provided to you or on your behalf. EFTA01409086 3rd EL) Notice Governmental rules have also broadened the scope of the Bank's obligations to aid in the fight against money laundering and terrorist financing; these rules call for an active involvement of both asset management firms and their clients. For new and existing clients we currently have a legal obligation to ask our customers questions regarding their identities, addresses, source of funds and, if necessary, legal representatives, authorized signatories, beneficial owners or control structures and to collect requisite documentation to substantiate the information. Also, enhanced anti-money laundering requirements require that should any of the above personal or institutional information change, our clients would be obliged to immediately notify us of the change(s) and provide us with relevant documentation to verify these changes. ATM/Debit Service You agree that the retention or use of the ATM/Debit card constitutes acceptance of the terms and conditions of the Cardholder Agreement contained in the Terms and Conditions of Deposit Accounts. Internet Banking Service If you have selected to receive Internet Banking Services, you understand that you will be required to enter into a separate Internet Banking Services Agreement with DBTCA before you can access the Internet Banking Service. Acknowledgement of Receipt of Privacy Notice By signing below, you acknowledge receipt of DBTCA's Privacy Notice included in the Application Package. Non-U.S. Organizations: Confirmation of Tax and Compliance Responsibilities You confirm that it is your responsibility to fulfill any tax obligations and any other regulatory reporting duties applicable to it in any relevant jurisdictions that may arise in connection with assets, income or transactions in your account(s) and your business relationship with DBTCA. Furthermore, you confirm that the necessary information (to the best of your knowledge and capabilities) is made available no less than annually to the relevant beneficial owner(s), settlor(s), beneficiary(ies), paitner(s), etc., to enable him/her/them to fulfill any respective tax obligations that may arise for him/her/them in connection with your business relationship with DBTCA. Please complete and attach separate W-8 or W-9 documentation as applicable. Terms and Conditions and Representations By signing below, you acknowledge receipt of the Terms and Conditions for Deposit Accounts attached to this Application and agree to be bound by them. In addition, you agree to notify us immediately of any material change to the information provided by you on this Application. You represent and warrant that all of the information provided by you on this Application is accurate. The Terms and Conditions for Deposit Accounts are subject to change EFTA01409087 WM167245 015624.092017 Page 2 of 3 Acceptance You understand that this application is subject to acceptance by DBTCA. Authorized Signer Authorized Signer Si P<int Name &- Print Name Date Date For Bank Use Only Reviewed by: Signature Name Title Date Accepted by DBTCA: Signature Name Title Date Account numbers: DDA NOW MMDA CD/DBAG WM167245 015624.092017 W-9 Request for Taxpayer Identification Number and Certification Give Form to the requester. Do not send to the IRS. Form (Rev. December 2014) Department of the Treasury Internal Revenue Service 1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank. The 2017 Caterpillar Trust 2 Business name/disregarded entity name, if different from above CM <u 0) Q. 3 Check appropriate box for federal tax classification; check only one of the following seven boxes; I I Individual/sole proprietor or [Zl C Corporation C] S Corporation Q EFTA01409088 Partnership single-member LLC [ I Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=partnership) Note. For a single-member LLC that is disregarded, do not check LLC: check the appropriate box in the line above for the tax classification of the single-member owner. [ I Other (see instructions) . 4 Exemptions (codes apply only to certain entities, not individuals; see instructions on page 3); Exempt payee code (if any) Exemption from FATCA reporting code (if any) (Applies la accounts malnlelne^ oulstee the U.S.) f/1 Trust/estate 1.1 o E .si a 5 Address (number, street, and apt. or suite no.) 6100 Red Hook Quarter B3, Requester's name and address (optional) 0 V) 6 City, state, and ZIP code CD CO St Thomas 0 ,08002 7 List account number(s) here (optional) Parti Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid backup withholding. For individuals, this is generally your social security number (SSN). However, for a resident alien, sole proprietor, or disregarded entity, see the Part 1 instructions on page 3. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3. Social security number III::ll or EFTA01409089 Employer Identification number Note. If the account is in more than one name, see the instructions for line 1 and the chart on page 4 for guidelines on whose number to enter. Part II Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or 1 am waiting for a number to be issued to me); and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that 1 am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding: and 3. I am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must oross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 3 Sign Here Signature of U.S. person ^ g) Date *- General Instructions • Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition) • Form 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN. If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding? on page 2. By signing the filled-out form, you: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable EFTA01409090 share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected income, and 4. Certify that FATCA code(s) entered on this form (if any) indicating that you are exempt from the FATCA reporting, is correct. See What is FATCA reporting? on page 2 for further information. Section references are to the Internal Revenue Code unless otherwise noted. Future developments. Information about developments affecting Form W-9 (such as legislation enacted after we release it) is at www.irs.gov/fw9. Purpose of Form An individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) which may be your social security number (SSN), individual taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of information returns include, but are not limited to, the following; • Form 1099-INT (interest earned or paid) • Form 1099-DIV (dividends, including those from stocks or mutual funds) • Form 1099-MISC (various types of income, prizes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds from real estate transactions) • Form 1099-K (merchant card and third party network transactions) Form W"9 (Rev. 12-2014) Cat. No. 10231X Deutsche Bank Wealth Management Signature Card Deutsche Bank Trust Company Americas The 2017 Caterpillar Trust Account Holder Title Q Individual Account Number Q Limited Liability Corporation iZj Other; K ITF/POD/ATF* IJ Corporate Number of Signatures Required: .7 K Joint, with Rights K Joint, Tenants K Partnership of Survivorship in Common EFTA01409091 Daphne Wallace Print Name Print Name Signature Signature Print Name Signature Signature Print Name Date Approved Power of Attorney Specimen Signature * For ITF/POD/ATF See Supplemental Terms and Conditions Date of Power of Attorney WM178934 006678.062817 EFTA01409092