rdc DB12000P - Deutsche Bank Private Bank Batch Date: 2/5/2018 Added to Monitoring: 02/05/2018 Alert Date: Alert 2/5/2018 Organization: The 2017 Caterpillar Trust Address: County UNITED STATES Tracking ID: Reporting ID: Alerted Entity # 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620919.86458141 Sources: • http://vwwv.treasury.gov/resource-center/sanctions/CivPeruPages/2003.aspx • http://www.nytimes.conV2011/05/27/world/africa/27qaddafi. html?_r=16hp • http://www.globalwitness,org/sites/default/files/library/Libyan%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/Enforcement/Actions/2003/Tierra Group_1-23-03.pdf • http://www.wsiconVarticles/SB10001424052702304527504579172123767258440 • http://www.wsj.com/articles/caterpillar-gets-more-grand-jury-subpoenas-in-tax-probe-1446232494 • https://www wsj.conVarticles/federal-agents-search-caterpillar-locations-1488475293 • https://www.jusbce.gov/usao-cdca/pr/subsidiary-caterpillar-inc-pleads-guilty-federal-offense-dumping•parts- ocean-after • 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 Articie,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-modest %eh the terms and condstons d you RDC Sutsonber Agreement the rriorrnaban curtained n ths document Is for alert purposes only and not to be used la purposes of deteernrang an relooluafs avidly la any areal or any arse FCRA permissible purposes User further agrees to hold such national and 'Moms/race in totes! C011idOnCe. not to matte use thereof other than la authorged purposes to Side a Only to employees rogueing such tralarrohon, and not to release a disclosed to any other party The Alert Somata, contained n the cicourrent nay or my not pertain to the offelrftdual a 'May referenced et your Elquily. Page 5 0l 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053667 CONFIDENTIAL SDNY_GM_00199851 EFTA01363586