EFTA01363591.pdf

rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust 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. Constent mitt the terms and condstons d you RDC Sutsonber Agreement the odormaban contained n ths document is for alert purposes only and not to be used la purposes of deteernntng an relreeluafs avidly la any aerie or any other FCRA permissible purposes User further agrees to hold such mistral and intonation in totes! ccedIdence. rot to matte use thereof other than la aumaged purposes to Silted Only to employees revering such oterrohno, 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 onewdual a 'May referenced et your ilquily. Page 50'8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053675 CONFIDENTIAL SDNY_GM_00199859 EFTA01363591