EFTA01363589.pdf

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,ourilly VIRGIN ISLANDS, U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity # 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 • -Mica • Caterpillar Credit°, S.A. de C.V. SOFOM E.N:R. Address: • Morton, Illinois, UNITED STATES • AUSTRALIA • SWITZERLAND • Old Gentian 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, Caterillar 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. It 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 Attorneys Offices Press Releases 2017 Event: • REG - Regulatory Action / FIM - Fine - More than 510,000. 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 Censatent sath the terms and condstons d yoer RDC Soto:rte. Agreement the Samoa:in contained in the document is for alert purposes only and is not to be used la purposes ol deteernrang an relreoluafs eligbilly lot any credit a any other FCRA permeable purposes User further agrees to hold such motional and information in sacks! conlidence. not to none use thereof other than la authaved purposes to Sate a Only to employees requiring such sternahon, and not to release a disclosed to any other party The Alert recernabon contained n the &current nay or troy not pertain to the ondr.dual a 'May referenced et your ilquily. Page I ol 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053671 CONFIDENTIAL SDNY_GM_00199855 EFTA01363589