EFTA01364063.pdf

Form December 2014) Ill/-9 Request for Taxpayer Give Form to the requester. Do not (Rev. 0opatment of Me Treasury Identification Number and Certification send to the IRS. Internal flevenqa Sante 1 Name (as shown on your income tax return). Name is requited on this no. Co not lone this line blank. The 2017 Caterpillar Trust 2 Business nannies's...gonad entity name. if different from above See Specific Instructions on page 2. 3 Check appropriate box for federal tax classification: Check only one of the Wowing seven boxes: 4 Exemptions (codes AP* Only lo certain entities, not individuals: see O inowidualisole proprietor or O C Corporation O S Corporation O F-artrorsho Q Trust/estate instructions on page 3): Print or type single-member LLC Npennership) e Exempt payee code (if any) • Limited liability company. Enter the lax censfication (C•C corporation, S•S corporation, Exemption from FATCA reporting Note. For a single-member LLC that is disregarded. do not check LLC: check the eopropiate box In Me line above for the tax classification of Met single-member owner. code (if any) O Other (see MsfrUCtiOne) I. Ames barroH•nei.$aracente es U9J 6 Address (number, street. and apt. or win no.) Requester's name and address (optional) 6100 Red Hook Quarter B3, 6 City. stale. and ZIP code St Thomas 0 .08002 7 List account numbers) hero (optional, Part I Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid Social security number backup withholding. For individuals, this is generally your social security number (SSN). However. Ice a resident alien, sole proprietor. or disregarded entity, see the Part I instructions on page 3. For other entities, it is your employer identification number (ON). If you do not have a number, see How to get a TIN on page 3. or Note. If the account is in more than one name, see the instructions for line I and the chart on page 4 for Employer Identification number guidefineS on whose number to enter. Part II Certification Under penalties of perjury. I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. I am a U.S. citizen or other U.S. person (defined below): and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax retum. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions on page 3. Sign Signature of 0 Here U.B. person e Date e•(,15) . • Form 1098 (home mortgage interest). 1098-E (student loan interest), 1098-T General Instructions (tuition) Section references are to the internal Revenue 0000 unless °Macrae° noted. • Form 10'39-C (canceled dint) Future developments. infoimation about oevelcoments affecting Form W-9 (such • Form 1098-A (acquisition or abandonment of secured property) as legato' ion enacted after we release i0 a at mnvirsgovita9. Use Fawn W-9 only if you are a U.S. person (including a resident alien), to Purpose of Form monde your correct TIN. 11you do not return Form VI-9 to me requester with a TIN, yOu might be sulqIect An IndiVidUal Or entity (Form W-9 requester) who is required to file an information return wish Ms IRS must obtan your correct taxpayer loam:cabal number (TIN) to backup wiethcadihg. See Mat AS backup wehttalcang700 page 2. which may Ws your social cocunty number ISSN). individual taxpayer Identification By signing the elle4-001 form. you: number (MN), adoption taxpayer identification rants WIN). or employer 1. Certify that the TIN you are giving is correct (or you are waiting tor a number identdication number (EN), to report on an Internal:an return the amount paid to to be issued), you. or other amount reportable on an Information rattan. Examples of information returns Include. but am not Smiled to, the following: 2. Candy that you are not subject to backup withholding. or • Form 10994NT (interest earned or Paid) 3. Claim exemption from backup withholding if you ere a U.S. exempt payee. If • Rem 1089-DIV (dividends, Including Mate from stocks or motto! Raids) applicable, you are also Gelding that es • U.S. Parsee. your allocates snare 01 any partnership income from a U.S. trade or business is not subject to the • Fenn 1099-MISC (various types of Income. pram awards. a gross proceeds) withholdirg tax on foreign partners' snare of effectively connected roomer. and • Form 109943 (stock or mutual fund sales and certah other transactions by 4. Certify that FATCA code(a) entered on this form (4 any) Indicating that you arc broken) exempt from the FATCA reporting. a correct. See What Is FATCA tenoning? on • Form 1099-S (Proceeds from real estate transactions) page 2 for further information. • Form 1099-K (merchant card and third party network transaction) Cat No. 10291X Form W9 Rev. 12.2014) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054565 CONFIDENTIAL SDNY_GM_00200749 EFTA01364063