EFTA Document EFTA01364114

From: Carl Timcke on behalf of PWMUS AMLKYC I I Sent: 2/6/2018 10:45:37 AM To: Cynthia Rodriguez CC: PWMUS AMLKYC Subject: CLEARED: RUSH RDC Alert_ The 2017 Caterpillar Trust DI Attachments: RDC alert_ The 2017 Caterpillar Trust.pdf; ROC alert_ 1 The 2017 Caterpillar Trust.pdf Importance: High Classification: For Internal use only Good morning Cynthia, AML Compliance has reviewed the 2 RDC Alerts generated 2/5/18 for The 2017 Caterpillar Trust, a new account for the Southern Financial relationship; a relationship of the Private Bank since 2013. Both alerts contain the same subject material. Both alerts contain the same subject material. Our Party: The 2017 Caterpillar Trust, Incorporate din 2017 in the U.S, with an address in St. Thomas. This is a grantor retained annuity trust that holds membership interest in IGO Company LLC. Alert Subject: Caterpillar Inc. (NYSE: CAT) is an American Fortune 100 corporation which designs, develops, engineers, manufactures, markets and sells machinery, engines, financial products and insurance to customers via a worldwide dealer network. It is the world's largest construction equipment manufacturer. Caterpillar, founded in 1925, is headquartered in Deerfield, Illinois. AML Compliance clears these alerts from an AML perspective as a company false positive. The company name, company objective, incorporation and/or foundation date and location of Our Party do not match that of the Alert Subject. Regards, Carl Timcke IMP Carl Timcke Associate I AML Compliance Officer DB USA Core Corporation Regulation, Compliance and Anti-Financial Crime Anti-Financial Crime 5201 Gate Parkway, 2nd floor Jacksonville, Florida 32256. USA Tel. + Email ■ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054630 CONFIDENTIAL SDNY_GM_00200814 EFTA01364114