EFTA Document EFTA01364124

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: Gauntly UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity # 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 http://globallactiva.conVenidu/article.asONAPC=S&AccessionNo=pris000020010712dx3u007oc • Associated Press Newswires, MEDIA Article,United States.Headline:Caterpillar turns profit; says global economy improving, demand rising in emerging markets. http://globalfactiva.corden/du/article.asp?NAPC=S&AccessionNo=APRS000020100426e64q001yh • St. Louis Post-Dispatch, MEDIA Article,United States,Headline:Caterpillar sees 'revival' as global demand increases, http://olobal.factiva corrilenklu/article.asp7NAPC=S&AccessionNorSLMO000020100427e64r000b8 • The Commercial Appeal. MEDIA Article,United States,Headline,Millions of jobs lost in recession most likely are gone for good, http://gtobal.factiva conVen/duiarticle.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/enidu/article.asp?NAPC=S&AccessionNo=APRS000020100602e662001Im • Pittsburgh Tribune-Review, MEDIA Article,United States.Headline:Caterpillar accused of dodging $2 billion in taxes, http://cdobal.factiva.corneenidu/article.asp?NAPC=S&AccessionNo=PBTR000020110710e7790000) • Newsday, MEDIA Article,United States,Headline:IN BRIEF, http.//global.factiva com/erifdu/article.asp?NAPC=S&AccessionNo=NDAY000020050601e1610001a • Financial Times, MEDIA Article,Headline:Caterpillar probed over US tax avoidance claims; CONSTRUCTION; Senate looking at overseas transfers. http://olobal.factiva.conVeniduiarticle.astaNAPC=S&AccessionNo=FTFTA00020140322ea3m00042 • The Wall Street Joumal 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.cordenidu/article.asONAPC=S&AccessionNo=WSJ0000020131101e9b1009na • The Wall Street Journal Online, http://gbbal.factiva.cornien/du/article.asp?NAPC=S&AccessionNo=WSJO000020131101e9b1009na • Reuters News, MEDIA Article,Headline:ANALYSIS-Accounting risk clouds big U.S. business bets in China, http://gtobal.factiva.conVenidu/article.asp?NAPC=S&AccessionNo=LBA0000020130210692a0008r • Reuters News, MEDIA Arlide,Headline:UPDATE 3-Ex-chairman of firm linked to Caterpillar fraud "dismayed", http.figlobal.factrva comienicluiarticle.asp?NAPC=S&AccessionNo=LBA0000020130128e81a000a8 • 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://giobal factiva.conVen/digarticle.asp?NAPC=S&AccessionNo:NYLJ000020130531e95v0008p • Associated Press Newswires, MEDIA Artide,Headline:Caterpillar sued over death of contract worker, http://global.factwa.conVen/dufarticle.asp?NAPC=S&AccessionNo=APRS000020090218e52100110 • Theflyonthewall.com, MEDIA Article,United States.Headline:Caterpillar settles with DOJ over emissions for $2.55M, Bloomberg reports, http://olobal.factiva.com/en/dufarticle.asp?NAPC=S&AccessionNo=FLYVVAL0020110728e77s005mt • The Wall Street Journal Online, MEDIA Article,Headline:Litigation Investors Gain Ground in U.S., http://global.factiva.conVen/du/article.asp?NAPC=S&AccessionNo=WSJO000020140113ealc0015p Consistent %Oh the terms anti cm:titans ol your RDC Sub/saber Agreement the inlorrnahan curtained albadocument is for alert purposes only and re not to be used foe pupas*, ol determining an relroduars °Irately la any aedit or any other FCRA raertrastuble purposes User further agrees to hard such metenal and intotrnaten in strictest coifidence, not to male use thereof other than for authored purposes, lo relate t only to employees reaming such riazgrrabon. and not to release a dada* n to any other party The Alert Somata, contained in the document rray or my not pertain ti the ednidual or ertty referenced n your eouiry. Page 8018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054642 CONFIDENTIAL SDNY GM_00200826 EFTA01364124