EFTA01379067.pdf

Fennvii""9 Mee. DeWitt" 2014) Request for Taxpayer Identification Number and Certification Give Form to the requester. Do not [Bores ..- it ce theTosser, send to the IRS. Interne Rekruo Seance 1 Name (as shown on your income tax return). Name is rewired on the fine: do not leave aus line blank. The 2017 Caterpillar Trust 2 Business name/dIvegarded entity name, if different from above See Specific Instructions on page 2. 3 CMd appropriate box for federal tea classeicationi check only one of me blowing seven bozos: 4 Exemptions (codas apps/ only to Ci Indrviduakscee prooriela or 0 C Corr-ration 0 S Corporation 0 Partnership 0 Trusteuate r " Z ic atlijo t orwt or r ums; in Print or type saga-member LLC Exempt payee coda gf any) 0 Limited tisbity company. Enter the lax canseicatien (CmC corporation. 9.5 oorpotatIon, Papartriershipt• Exemption from FATCA reporting Note. Fora Single-member LLC that is disregarded. do not check LLC: check the epompriate box in the line above !or the tax classiecation of me single-member owner- cute et WW) 0 Other Noe InsirucConsi l' sewn a riirou-i...wee easonmuSu 5 Addinase (number. street, and apt- or suite no.) Theaues!res name and addreW Rrationg: 6100 Red Hook Quarter 83, 6 cay. state. and 2a, code St Thomas 0 .08002 7 List account riaaitalt(S) lien (0CPcnag Pad I Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on Gne 1 to avoid Social security number backup withholding. For individualS, this is generally your social security number (SSN). However, for a resident allen, sole proprietor, or disregarded entity. see the Part I instructions on page 3. For other entities, it is your employer idemification number (EIN). If you do not have a number, see How to get a TIN on page 3. or Note. II the account is in more than one name, see the instructions for line 1 and the chart on page 4 for I Employer Identification number guidelines on whOSO number to enter. Part II Certification Under penalties of pequiy. I certify that 1. The number shown on Otis teem 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 (RS) that I am subject to backup withholding as a result of a failure to report ail imerest 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 h you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and I:Fmk:lands on your tax return. 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 a Sign Signature of Here U.S. person • • Form 1098 agree mortgage intern*. 10984 (Student Man tterest). 1096.7 General Instructions (mann) Section references are to tno internal Revenue Code unless OtreninSe noted. • perm 1099-C lamed debt) Future developments. Information attOdt developments affectiro Fenn W.9 h • Form teSS-R (aolasition or abandonment of secured property) as legislation enacted alter we release it) is at www.iragovinv9. Use Form W-9 only if you aro a U.S. Orson unctions' a resident alien). to Purpose of Form provide your MAIM TIN. An inovidual or entity (Form W-9 requester) who is required to Se en information If you donor 'alum Form W.9 to ire requester Mtn • TIN, you rnighc be sublet? rats" Min the IRS must obtain your correct taxpayer identification number (T4.4) to bade°. riatTheiceng. Soo Waal is boohoo wilMokling? on page 2. which may be your social Sec- wily menber (SSN). indtvklual taxpayer identification By signing toe faledeut form. you: number (TIN). adoption taxpayer hetet:catkin number (ATtN), or employer teensy mat etc TIN you are giving d ccerect (or you are waiting fora number identification number (Elm). to repo: en an Information return Me amount pad to to be owed). you. or other amount reportable on on information MUD EMMA% of taitranerien returns include, but are not baited to. the fotiorring: 2. Cern/ that ',ou are no: subtect to backup withecaling. • Form 10994NT (Interest earned or pale 3 alert exemption from backup withholding If you are a U.S. attempt payee. ir • Form -MOS-DIV (dividends. ncluding those from stocks or mutual Ands) Widliewele you are also certifying that as a US. person. your alocable ware at WY partnership InCOme (?ben a U.S. trade or business is not subject to the • Form 1099-MISC (various types ot ?come. prizes, awards. or gross proceeds) withholdro tax on %reign partners' Share of electively Connected Income, and • Form 1099.8 (stock or mutual fund sales and certain other tame:bons by 4. Cattily that FATCA code(s) entered on bid form (it any) indicating that you are brokers) exempt from Ine FATCA reputing, Is correct. Sea Minis FATCA reporting? on • Form 1099-S (proceeds awn real estate Minsactiass) page 2 for further information • Form 10994( (rnerchant card and :him party network transacttons) Cat No 1023IX Form W-9 (Rev. 12-2010 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076372 CONFIDENTIAL SDNY GM_00222556 EFTA01379067