EFTA Document EFTA01363588

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: C,ouritly UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity # 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 http://global.factiva.conVerildigarticleasp?NAPC=S&AccessionNo=WSJO000020140113ea1c0015p • Dow Jones Institutional News, MEDIA Article.Headline:Caterpillar Settles Engine-Fire Suit for $46 Million, httpl/global factiva.conVen/dWarticle asp?NAPC=S&AccessionNorDJDN000020140610ea6a0031k • Daily Record (Rochester, NY), MEDIA Article,Headline:Appellate Division, Third Department Case Summaries: May 7, 2008.(Case overview), http://global.factiva.comieri/dutarticle 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.conVen/du/articleasp?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 Joumal (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, httplirapidcityjournal.comicaterpillar-offices-raided-in-probe-related-to-swiss-uniVarticle f3aab49b- 3da7-5129-81f1-3f0eca56ec6thtml • New York Times, The, MEDIA Article,Headline:Caterpillar Is Accused in a Report of Fraud • Emirates News Agency (WAM) (United Arab Emirates), MEDIA Artide,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 Articletleadline: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, httpslAvww.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.L%20BASED%20ON%20PRODUCTS.pdf • Caterpillar NI Limited Website. Source provides aliases of Caterpillar NI Limited, https://www.fgwilson.com/about us/history Censatent uith the terms and tractions d you RDC Sutoonber Agreement the inkernaban contained in ths document is for alert purposes only and is not to be used la purposes of deteernntng an relweluafs eligially la any credit or any &ha FCRA permissible purposes User further agrees to hold such mistral and information in Mickel cadidence. not to matte use thereof other than la aumaged purposes. to 'Ste a Only to employees requiring such traferrnahen, and not to release a disclosed to any other party The Alert nfarnabon contapnedntha &current nay or nay not pertain to the ondrodual a 'May referenced o your ilquily. Page 7 o18 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053669 CONFIDENTIAL SDNY_GM_00199853 EFTA01363588