EFTA Document EFTA01297505

rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/5/2018 Alert Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Cmuhtiy VIRGIN ISLANDS. U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 Entity Information Entity ID: 86458141 Riskid: R2238037 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 • 3141U • Caterpillar Credito. SA de C.V. SOFOM E.N:R. Address: • Morton. Illinois. UNITED STATES • AUSTRALIA • SWITZERLAND • Old Glenarrn Road. Lame. Northern Ireland, BT40 lEJ. 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 subsidianes to avoid payiing $2 billion in U.S. taxes from 2000 to 2009. II 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 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, DOJ US Attomeys 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 Ccosetent wes the terms and condecets of year ROC Subsater Agree-meet the rrfarrobon content( in this document is be alert purposes only and is na lobe used fo, purposesof deleanntr° an oncadquars &ICAO/ for any cleat or any other FCRA perrensbee purposes User halter agrees to had such melons, and intamaeon n grotekt confidence nct to make use mew( one. man 'Of where." ;crocus, to relate t only to ofreahoyees requiem° such Warnaco's and rot to release or dachas* rt 10 any met pity T re ell informanon Cortinittl s":114 deCuM0,1 nny a may not paten to no incikcgai a entity referenced in your inquiry SDNY_GM_00060802 Pepe I a 8 CONFIDENTIAL — PURSUANT TO FED. R.QPN(F IDENTIAL DB-SDNY-0023627 EFTA_00I71316 EFTA01297505 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/5/2018 Alert Date: 2/512018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Countiy:VIRGIN ISLANDS. U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it 1 of 1 Risk Priority: Critical 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, 08/242012 Caterpillar has performed business in Iran through its wholly-owned subsidiary Loyal, (a Canadian tunnel- boring 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 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, 07/312015 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 I 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, 02252016 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 Ccosatent was the teens and conditions of your ROC Suteatei AgreemeN. the inkerrotion conbred in this document is In Yet purposes only and is not tote used foi purposes of cielearrang an offal:SASS INKlibtity Mt any cell or any Mee FCRA ovens's* purposes User hinter agrees to hold such matenal and intoirration fn gritting confidence net to mat tee thereof ogler than for Olifileated purpose& to relate t oNy to errolOyeeS requiring such informanon and rot to knees.: of deffeoee t t any Other party 7r Med sedonnitm contamol n tin do:ufnoot may cr may not pontam to ow risomoord a entity referenced in your nosey SDNY_GM_00060803 Rage 2 el 8 CONFIDENTIAL - PURSUANT TO FED. R.cONFIDENTIAL DB-SDNY-0023628 EF1'A_00171317 EFTA01297506 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Alert Date: Alert 2/5/2018 Organization: The 2017 Caterpillar Trust Address: Cmuhtry VIRGIN ISLANDS. U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID 12612432 11620920.86458141 VVsj.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 Cars 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. 0420/2017 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 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 - Can...tent wth the teems and comfortsof yoat ROC Subscript' Agreement the infarrobon oantaned in this document is fa alert purposes only and is nee to be used fo, outposts of 0010000rd an indeduars eagefillytof any cleat of any other FORA p.nrneble paroses Use' hotter agrees b Add std, material and iniamanon 0 graeft confidence nct to make use mewl one• man 'Of at.miftead surpcsos, to Matt toNy to •mpbyen requiring such ineofrnabal and rot to rekrasa or dachas* 2 to any WIN pony Tee alert ciformanon contanna n trifs dotomont may a may nee portant° To incifocivai a erney teleran:Klayman' Mary SDNV_GM_00060804 rin e 3 af 8 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023629 EFTA_00I713l8 EFTA01297507 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/5/2018 Alert Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Cr:wiry VIRGIN ISLANDS. U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 dismissed., 04/04/2017, Peoria Journal Star. The (IL) • TM - 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 - 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 Industnes 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, 07/282011 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://gnd.rdc.com/wss/entity html?entityld=d6b78c2d3114a8ce5d3f3d53eb346cc4 Source Name: RiskConnect, 02/04/2018 Entity URL: • http://www treasury.gov/resource-center/sanctions/OFAC-EnforcementiDocuments/04042003.pdf Ccosatent wfb the tennis and conctoons or yon ROC Subset bet Agreemet the mfcc motion oontsned in this document Is la atert purposesonty and is not to be used for Nip:nesof determining an inetsduars aligibilly for any cleat or any other FCRA1)0014$6610 papacies Ow hinter agrees to had suchmataWlandintamatonn stictast conhdfoce. net lb make tn.. tnerect other man 'Of authorize" purposes, to relate [only to employees requiring such information, and rat to release or dachas* rt 10 any arta pony Tr* Alan int0001.11rOn contaned n the flOrturneat fray a may not paten to the ifidrotkial a entity referenced in your Murry SDNY_GM_00060805 Page 4 4" CONFIDENTIAL — PURSUANT TO FED. R.QPN(E IDENTIAL DB-SDNY-0023630 EFTA_00I71319 EFTA01297508 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Alert Date: Alert 2/5/2018 Organization: The 2017 Caterpillar Trust Address: Ct;u”try VIRGIN ISLANDS. U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 Sources: • http/iWww.treasuiy.gov/resource-center/sanctions/CivPen/F'ages/2003.aspx • http://www.nytimes.com/2011/05/27tworld/africa/27qaddati.html?_r=l&hp • http:/Awnv.globalwitness.org/sites/defaultffilesilibraiy/Libyan%20Investrnent9520Authority %20as%20of%2 0June%20201 0. pdf • http://www.cat.com • http/AvvAvregents.iowa.gov/Reports/sudanannualreport1014.pdf • https://Www.fgwilson.com • httpiNtww.azcc.gov/Divisions/Securities/Enforcement/Actions/2003/Tierra_Group 1-23-03 pdf • http://www.wsj.comearticles/S810001424052702304527504579172123767258440 • http://Www.wsj.comtarticles/caterpillar-gets-more-grand-jury-subpoenas-in-tax-probe-1446232494 • https:/Avww.wsj.corrilarticlesffederal-agents-search-caterpillar-locations-1488475293 • https://www.justice.gov/usao-cdca/pr/subsidiany-caterpillar-inc-pleads-guitty-federal-offense-dumping-parts- ocean-after • Associated Press Newswires, MEDIA Article,United States,Headline:Caterpillar to pay 52.55 million for Clean Air Act violations. http://globatfactiva.cornren/du/article.asp?NAPC=S&AccessionNo=APRSG00020110728e77s00369 • OFAC Civil Penalties List, OFAC Civil Penalties List. http:/Avww.treasury.gov/resource- center/sanctions/CivPen/Pages/civpen-index2.aspx • Special Media, Special Media, http://Www.rdc.cony • 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/secunties/entorcement/entorce- actions.asp • Iowa Board of Regents - Scrutinized Companies, Iowa Board of Regents - Scrutinized Companies. http://wvvw.regents.iowa.goviReportsnranannualreport1014.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) • 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 • Peoria Journal Star, The (IL) • 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/abouVusattorneys.html • Peoria Journal Star, MEDIA Article,United States,Headline:Decatur woman sues for coverage — Debbie Robinson's attorney will file class action lawsuit. 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R.QQN(F IDENTIAL DB-SDNY-0023631 EFTA_00I 71320 EFTA01297509 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Alert Date: Alert 2/5/2018 Organization: The 2017 Caterpillar Trust Address: Ciiiirtry VIRGIN ISLANDS: U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 http://global.factiva.com/en/du/article.asONAPC=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.cornren/du/article.asONAPC=S8AccessionNo=APRS000020100426e64q001yh • St. Louis Post-Dispatch, MEDIA Article,United States.Headline:Caterpillar sees 'revival' as global demand increases. http://global.factiva.comeen/du/article.asp9NAPC=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.conVen/du/article.asp?NAPC=S&AccessionNo=MMPH000020100514e65e0000n • Associated Press Newswires. MEDIA Article,United States.Headline:Moodys raises credit outlook for heavy equipment maker Caterpillar, http://globaffactiva.conVen/du/article.asp2NAPC=S&AccessionNo=APRS000020100602e662001Im • Pittsburgh Tribune-Review, MEDIA Article,United States,Headline:Caterpillar accused of dodging $2 billion in taxes. http: //global. factiva.cornien/du/article.asp7NAPC=S&AccessionNo=PBTR000020110710e7790000j • Newsday, MEDIA Article,United States,Headline:IN BRIEF, http://global.factiva.comlen/didarticle.asp?NAPC=S&AccessionNo=NDAY000020050601e1610001a • Financial Times, MEDIA Article,Headline:Caterpillar probed over US tax avoidance claims: CONSTRUCTION: Senate looking at overseas transfers, http://global.factiva.cornlen/du/artide.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/didarticle.asp?NAPC=S&AccessionNo=WSJ0000020131101e9b1009na • The Wall Street Journal Online, http://global.factiva.coriVen/du/artide.asp?NAPC=S&AccessionNo=VVSJ0000020131101e9b1009na • Reuters News, MEDIA Artide,Headline:ANALYSIS-Accounting risk clouds big U.S. business bets in China, hrip://global.factivaconYen/dufarticle.asONAPC=S&AccessionNo=LBA0000020130210e92a0008r • Reuters News, MEDIA Artide,Headline:UPDATE 3-Ex-chairman of firm linked to Caterpillar fraud "dismayed", http://global.factiva.cornien/du/article.aspNAPC=S&AccessionNo=LBA0000020130128.391s000a8 • 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/artide.asp?NAPC=S&AccessionNo=NYLJ000020130531e95v0008p • Associated Press Newswires, MEDIA Article,Headline:Caterpillar sued over death of contract worker, http://global.factiva.com/en/dWarlicle.asp7NAPC=S&AccessionNo=APRS000020090218e52i00110 • Theflyonthewall corn, MEDIA Article,United States,Headline:Caterpillar settles with DOJ over emissions for $2.55M, Bloomberg reports, http://qlobal.factiva.com/en/dufarticle.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/dukitide.asp?NAPC=S&AccessionNo=WSJ0000020140113ea1c0015p Ccosatent was the terms and condos.", ol your ROC Suteater Apreemert the mfccrrobon contaned m this dccumenl's la alert purposes only and na tote used fa ppposes of delemintro an onearrasers elartelly tot any atel 01 any Mee FORA pernsubte ptepases User runner agrees to had such maternal and informant., n Pretest connerence na to make tete thernor one, than 'or atm.:feta purposes, tO relate [Only to employees Nguema Wel 10,01700t01 and rct 10 release Or dacha* Ft 10 any caw pany 1re Alen 'Nowt-mon confined n INS OCCurnOnt May a may not pena n 10 me ind,odual a entity referenced el your merry SDNY_GM_00060807 el" CONFIDENTIAL - PURSUANT TO FED. R.WN(E IDENTIAL DB-SDNY-0023632 EFTA_00171321 EFTA01297510 rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Alert Date: Alert 2/5/2018 Organization: The 2017 Caterpillar Trust Address: Cmuhtry VIRGIN ISLANDS. U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 http://global.factiva.corrilen/du/article.asONAPC=S&AccessionNo=WSJO000020140113ea1c0015p • 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://globallactiva.conVen/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.cornlen/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 Articlekleadline: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(catemillar-offices-raided-in-probe-related-to-swiss-unit/article f3aab49b- 3da7-5t29-81H-3f0eca56ec6f.html • New York Times, The, MEDIA Article,Headline:Caterpillar Is Accused in a Report of Fraud • 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. Syna 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, httplAtoww.nioec.org/AnalyticsReports/A.V.L%20BASED%20ON%20PRODUCTS.pdf • Caterpillar NI Limited Website, Source provides aliases of Caterpillar NI Limited. https://www.fgwilson.com/about_us/history Crested, wie. the teems and condomsof year ROC Subscript' Apreernvt the decerrobon contaned in this dccument is Ice stat purposesonly and is not lobe used for porpases al determnirg an incedbears elgesNyfor any ate, or any Mee FCRA permissbie perrices User hirer agrees to hold such meters, and intormatico in diciest conMence ea Op make did Thereat err than *or aithexem surpass. to relate toNy to mcloyees requiring Suet Intolnlabal and rat to 1010.E or dischose rt to any other pany Tr* AIM intonnatre GMt≥Md di INS do:urn:km Tay Or may nor penan to the inantana a tritely reterensed in your awry SDNY_GM_00060808 page 7 el 8 CONFIDENTIAL — PURSUANT TO FED. R.QQN(F I DENTIAL DB-SDNY-0023633 EFTA_00I 71322 EFTA01297511 rdc DB12000P - Deutsche Bank Private Bank Alert Batch Date: 2/5/2018 Alert Date: 2/512018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Country-VIRGIN ISLANDS, U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 https://www.fgwilson.comtabout 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:/Nemsnioec.org/AnalyticsReports/A.V.L%20BASED%20ON%20PRODUCTS.pdf • Bloomberg Businessweek Website, Source provides alias and address of Caterpillar Belgium SA, http://investing businessweek cam/research/stocks/private/snapshot asriprivcapid=644740, • 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., httplAvww.nytimes.comlinteractive/2010/12/24tworld/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:/Aw✓w.nytimes.corn/2010/1224Mrorldt24sanctions.html? ral&emc=etal&pagewanted=all • Caterpillar Inc Website, Source provides the address of Caterpillar Inc. http:/Mmv+.cat.con✓contact • United Against Nuclear Iran Website, Source provides details on Caterpillar Inc, http:/A•smv.unitedagainstnucleariran.cornicompanykaterpillar-inc Canotent wth the tams and conciacns al your ROC Sutacasa Apreemnt the eccrrobon cantered in this document is la alert purposes only and is na to be used to, pavanesof deleanang an ,nclu bunts ehaityity to any aeatorany Os KRA parnisable pr/poses User further egrees to /WEI sus, MatAnal 5r4 intonranon.Amrctest confidence net to make use therKA oma than lot Stifilefeed 0urPasea to relate 'only to AMPSOYOOS, OteAnng loth meonTatcn. and "'Ito re* 0A. 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