EFTA01364254.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 • http://vwwv.treasury.gov/resource-center/sanctions/CivPeruPages/2003.aspx • http://www.nytimes.conV2011/05/27/world/africa/27qaddafi. html?_r=l&hp • http://www.globalwitness.org/sites/default/files/library/Ubyan%20Investment%20Authority,%20as%20of%2 0June%202010.pdf • httpliwww.catcom • http://www.regents.iowa.gov/Reports/sudanannualreport1014.pdf • https://www.fgwilson.com • http://www.azcc gov/Divisions/Securities/Enforcementthetions/2003/Tierra Group_1-23-03.pdf • http://www.wsicomfarticles/SB10001424052702304527504579172123767258440 • http://www.wsj.com/articles/caterpillar-gets-more-grand-jury-subpoenas-in-tax-probe-1446232494 • httpslAvww wsj.conVarticles/federal-agents-search-caterpillar-locations-1488475293 • https:/hvww.jusbce.gov/usao-cdca/pr/subsidiary-caterpillar-inc-pleads-guilty-federal-offense-dumping•parts- ocean-after Sources: • Associated Press Newswires, MEDIA Article,United States,Headline:Caterpillar to pay $2.55 million for Clean Air Act violations, http://global.factiva.conVen/du/articleasp?NAPC=S&AccessionNo=APRS000020110728e77s00369 • OFAC Civil Penalties List, OFAC Civil Penalties List, http:/iWww.treasury gov/resource- centerisanctions/CivPen/Pages/civpen-index2.aspx Special Media, Special Media, http://www.rdc.com/ Iran Connect. Iran Connect. http://www.rdc.com Arizona - Corp. Commission Securities Division Enforcement Actions. Arizona - Corp. Commission Securities Division Enforcement Actions, http://wwwazcc.gov/divisions/securities/enforcement/enforce- actions.asp Iowa Board of Regents - Scrutinized Companies, Iowa Board of Regents - Scrutinized Companies. http://www.regents.iowa.gov/Repons/iranannualrepon1014.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 lax 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 Attorneys Offices Press Releases 2017. http://www.justice.gov/usao/abouttusattorneys.html • Peoria Journal Star, MEDIA Article,United States,Headline:Decatur woman sues for coverage — Debbie Robinson's attorney will file class action lawsuit. Co-ostent mitt the terms and condstons d yoer RDC Sutsonber Agreement the rricernaban curtained n ths document Is for alert purposes only and not to be used la purposes of deteernntng an reclreeluafs avidly la any aerie or any other FCRA permissible purposes User further agrees to hold such mistral and intonation in totes! ooM,dence, not to matte use thereof other than la authaged purposes to Safe a Only to employees revering such tralarrohno, and not to release a disclose n to any other party The Alert Somata, contained in the cicourrent nay or troy not pertain to the ,ndrndual a 'May referenced et your ilquily. Page 5 ol CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054780 CONFIDENTIAL SDNY_GM_00200964 EFTA01364254