EFTA01255385.pdf

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monkoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Alert Date: Alert 2/5/2018 Address: Country-UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity #: 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 Entity Information Entity ID: 86458141 Ris k id: 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 • 3441O • Caterpillar Credito, SA de C.V. SOFOM E.N:R. Address: . Morton. Illinois. UNITED STATES • AUSTRALIA • SWITZERLAND • Old Glenarm Road. Lame. Northern Ireland. BT40 1EJ, 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. Cater illar 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, DO,I US Attorneys 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.. 0225/2016. McClatchy Tribune Academic Restricted • IRC - Iran Connect / ASC - Associated with, Seen with, 08/242012 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 Ccesatent w0 the teem and condecetsol yap ROC Suteater Agreemevt the intarrobon cantered in this decurnent is fix alert purposes only and is not tote used for purposes of delermning an incendters Mgldlfy ex any ate, or any COO, FCRA perms le pupates user halter nrees to had SOCA matenal and ,nlo'maton .amrctest conndeoce na to make use thereof Ws t4 lot sualcated purposes tO relate t only to erroloyeos requiring such intormaton and rot to f41403la Of delete t any other NM Tr* Med informatm oontanna n Ina document may a may net potting tie indmdued a entity referenced in your equity Pape SDNY_GM_00080810 I 8I 8 CONFIDENTIAL - PURSUANT TO FED R.ctQN(E IDENTIAL DB-SDNY-0023635 EFTA_00171324 EFTA01255385  rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/0512018 Organization: The 2017 Caterpillar Trust Alert Date: Alert 2/5/2018 Address: :51Wriry UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 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, 08/24/2012 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. 07/31/2015 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 / 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, 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 • TAX - Tax Related Offenses / ASC - Associated with, Seen with, 03/03/2017 Ccosetent wea the team and cantina-not yo.ii ROC Sul:sal:et Agreemea. the infarroloo contaned in this document is la sal purposesonly arel is not tote used fa outposts of determntro an ondaquars &awhile/tor any cell or any other FCRA pernassbee purposes user halter agrees to hold such material and intormatoo o 011Ctfit conhOtece. net So make ("a tivareor cow than 'or 0611101¢00 ;organ to relate t only to rrokayoes requiring such infornoton and rot to release or dscioso rt 10 any other party Treated intoonahoa confined .1104 00:urnal1 may a may not polar to tae ino,oduai a entity retteerced pn your rotary SDNY_GM_00060811 page 2 ci CONFIDENTIAL - PURSUANT TO FED. R.cON(F IDENTIAL DB-SDNY-0023636 EFTA 00171325 EFTA01255386  rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Alert Date: Alert 2/5/2018 Address: Olt dry UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 Wsj.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 Cat's 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. 04/20/2017 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 - Ccosatent wth the terns and cam:tealsa you. ROC Subscript' Agreement the 'Narration oontaned in this document is la etch purposesonly and is not lobe used la purposesof cletermsntro an inctscheds &epithet tot any ate, of any ohe FCRA permissbte purposes Usti hotter agrees to hold such neatens, and intonhatsto A sttctest conitdence net ito make tee theroot dew man 'or aaM0IVal purposes, to relate tardy to ershoyees requiring such information and f.311O MbaaSO Of dechosert to any cater pany 1rat Alen intormation confined o INS 0C<urnOM May a may not pinta n to Ma ifidmdayal a entity referenced in your inquiry SDNY_OM_00060812 P.2e 3 as CONFIDENTIAL - PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0023637 EFTA 00171326 EFTA01255387  rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Alert Date: Alert 2/5/2018 Address: C51WrIry UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 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, Graff 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 I SET - Settlement or Suit. 07128/2011 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 Ccosetent we, the terms and constons of yon ROC Sutsabei Agteemert. the inforrobon oantaned m this document is fa stat purposesonly and is not to be used to: purposes of delermntro an indeduars &Vain,/ for any atOt or any Me, FORA peorissbk, purposes User twiner agrees to hold sum maims, sea intormanc.14 stictect conhOtmee. net to make use thereof Mei Man 'or aaMOIVal purpeees, to relate t only to erehayeos roqumng such tnforrnatoo and rot to release or dachas* rt t0 any omet pally 1rs) Alm intomumem contaned n INS occurrent rrey at may MIX paten to me ineuoduai or entity retererced in you' inawry SDNY_GM_00060813 Pepe 4 44 8 CONFIDENTIAL — PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0023638 EFTA 00171327 EFTA01255388  rdc Organization: The 2017 Caterpillar Trust DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Alert Date: Alert 2/5/2018 Address: C!iuntiy UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity 1 of 1 Risk Priority: Critical Alert ID: 12612432.1162091916458141 • http/iWww.treasuiy.gov/resource-center/sanctions/CivPen/F'ages/2003.aspx • http://www.nytimes.com/2011/05/27tworld/africa/27qaddaiihtml?_r=l&hp • http:/Awnv.globaloritness.org/sites/defaultffilesnibraiy/Libyan%20Investrnent%20Authority %20as%20of%2 oJune%202010. pdf • http:/Avww.cat.com • http:/Awnvregents.iowa.gov/Reports/sudanannualreport1014.pdf • https://Www.igwilson.com • http://Www.azcc.gov/Divisions/Securities/Enforcement/Actions/2003/Tierra_Group 1-23-03 pdf • http:/Nnwi.wsj.comearticles/S810001424052702304527504579172123767258440 • http://Www.watcomtarticles/caterpillar-gets-more-grand-jury-subpoenas-in-tax-probe-1446232494 • https://www.wsj.corrilarticles/tederal-agents-search-caterpillar-locations-1488475293 • https://www.justice.gov/usao-cdca/pr/subsidiary-caterpillar-inc-pleads-guitty-federal-offense-dumping-parts- ocean-after Sources: • Associated Press Newswires, MEDIA Article,United States,Headline:Caterpillar to pay 52.55 million for Clean Air Act violations. http://globatfactiva.cornren/du/a rticle.asp?NAPC =S&AccessionNo=APRS600020110728e77s00369 • OFAC Civil Penalties List, OFAC Civil Penalties List. http://www.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, httphsAww.azcc.gov/divisions/secunties/enlorcement/enforce- actions.asp • Iowa Board of Regents - Scrutinized Companies, Iowa Board of Regents - Scrutinized Companies. http://www.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 Attomeys Offices Press Releases 2017, DOJ US Attomeys Offices Press Releases 2017, http://Www.iuslice.gov/usao/about/usattorneys:html • Peoria Journal Star, MEDIA Article,United States,Headline:Decatur woman sues for coverage — Debbie Robinson's attorney will file class action lawsuit, Ccosettent was the teems and careers ol you, ROC Sul:saber Agreernert. the trIcerrobon cant:inert trt this document .5 lc, alert purposes only and ts net tote used to, pep:isnot oeleenntrg an onehodusts elobaty tot any mot of any other FCRA pemssabte ptspotes use, further agrees to hold such material are ,nbo'maton n s,,rcMct oonhOence net to make toe thertt othe than 'Of atmchtel aurae*** to relate t only to erchayees requiting WO Ifinaffrliten and fa t° release or dachas* Ft 10 any other pity Tr* Alm mtormattort COrtinial n Ins dcognent n'ay or may not wan:etre inchnouat or entely referenced in you( mew), Pear 5 af 8 SDNY_GM_00060814 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023639 EFTA_00I 71328 EFTA01255389  rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Alert Date: Alert 2/5/2018 Address: Cf;unlry UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity U 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 http://global.factiva.com/en/du/article.asp7NAPC=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.cornien/du/article.asp7NAPC=S&AccessionNo=APRS000020100426e64q001yh • St. Louis Post-Dispatch, MEDIA Article,United States.Headline:Caterpillar sees 'revival' as global demand increases. http://global.factiva.cornien/dWarticie.asp7NAPC=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:Moody's raises credit outlook for heavy equipment maker Caterpillar, http://global. factiva.com/en/du/articie.asp7NAPC=S&AccessionNo=APRS0000201006026662001Im • 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.comlenklufarticie.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/dufartide.asp7NAPC=S&AccessionNo=WSJ0000020131101e9b1009na • The Wall Street Journal Online, http://global.factiva.conVenMulartide.asp?NAPC=S&AccessionNo=VVSJ0000020131101e9b1009na • Reuters News, MEDIA Artide,Headline:ANALYSIS-Accounting risk clouds big U.S. business bets in China, http://global.factiva.comien/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.asp7NAPC=S8AccessionNo=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/article.asp?NAPC=S&AccessionNo=NYLJ000020130531e95v0008p • Associated Press Newswires, MEDIA Article,Headline:Caterpillar sued over death of contract worker, http://global.factiva.com/en/dukilicle.asp?NAPC=S&AccessionNo=APRS000020090218e52i00110 • Theflyonthewall.com, MEDIA Article.United States,Headline:Caterpillar settles with DOJ over emissions for $2.55M, Bloomberg reports, http://global.factiva.comien/dufarticle.asp?NAPC=S&AccessionNo=FLYWAL0020110728e77s005mt • The Wall Street Journal Online, MEDIA Article.Headline:Litigation Investors Gain Ground in U.S., http: //global.factiva .cornien/du/artide.asp?NAPC=S&AccessionNo=WSJ0000020140113ea1c0015p Ccasetent was the teens and conciacersol your ROC Solna bet Aptemet the INCCITObal contaned in this &orientate, alert purposes only anti is net tote used to, purposes of teletnintro an ineadduars argibilly tot any aeat *tattletale( FORA pemssabto propates User hornet' eaten to had such Material and intamaten n giant conndence nct to make use thartor caw than •Or atthei¢N purposes, to relate t only to employees taquiting such informaton and rd to WOOS° or dada* t to any Sat pony T re AIM information contaned n MIS dc<utrent May a may na polar to the ifiCnolduil a entity referenced in you' merry SDNY_GM_00060815 P.2`6°8 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023640 EFTA_OOI 71329 EFTA01255390  rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Alert Date: Alert 2/5/2018 Address: :51:i! :Try UNITED STATES Tracking ID: KYC 01898372 Reporting ID: Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.1162091916458141 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.corriffin/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.comrcaterpillar-offices-raided-in-probe-related-to-swiss-uniVarticle f3aab49b- 3da7-5t29-81H-3f0eca56ec6fhtml • 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