EFTA01364131.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. Ccnsatent sath the terms and cendstans d you RDC Sutacnber Agreement the inkernaban careened in ths document is for alert purposes only and .s not to be used fa purposes of deteernning an ecleveluars *Avidly lot any <Todd or any other FCRA permissible purposes User further agrees to hold such mistral and intomvittoo in totes! co-dIdence. not to matte use thereof other than le authorued purposes to relate a only to employees rogueing such rrearrnahon, and not to release a disclosed to any other party The Alert Somata, contained n the document nay or troy not penain to :he ,ndr.idual Ct 'Kay referenced n your ilquily. Page 5 old CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054649 CONFIDENTIAL SDNY_GM_00200833 EFTA01364131