EFTA Document EFTA01364132

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: Gauntly VIRGIN ISLANDS, U.S. Tracking ID: KYC 01898372 Reporting ID: Alerted Entity ft: 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141 http://globallactiva.conVenidu/article.asONAPC=S&AccessionNo=pris000020010712cbc3u007oc • Associated Press Newswires, MEDIA Article,United States.Headline:Caterpillar turns profit; says global economy improving, demand rising in emerging markets. http://globalfactiva.corden/du/article.asp7NAPC=S&AccessionNo=APRS000020100426e64q001yh • St. Louis Post-Dispatch, MEDIA Article,United States,HeadlIne:Caterpillar sees 'revival' as global demand increases, http://olobal.factiva corrilenklu/article.asp7NAPC=S&AccessionNorSLMO000020100427e64r000b8 • The Commercial Appeal. MEDIA Article,United States,Headline,Millions of jobs lost in recession most likely are gone for good. http://obbal.factiva conVen/du/article.asp?NAPC=S&AccessionNo=MMPH000020100514e65e0000n • Associated Press Newswires, MEDIA Article,United States,Headline:Moody's raises credit outlook for heavy equipment maker Caterpillar. http://global.factiva.com/enidu/article.asp?NAPC=S&AccessionNo=APRS000020100602e662001Im • Pittsburgh Tribune-Review, MEDIA Article,United States.Headline:Caterpillar accused of dodging $2 billion in taxes, http://cdobal.factiva.corrden/du/arlicle.asp?NAPC=S&AccessionNo=PBTR000D20110710e7790000) • Newsday, MEDIA Article,United States,Headline:IN BRIEF, http.11global.factiva com/ertfdu/a rti cle.asp?NAPC=S&AccessionNo=NDAY000020050601e 1610001a • Financial Times, MEDIA Article,Headline:Caterpillar probed over US tax avoidance claims; CONSTRUCTION; Senate looking at overseas transfers. http://olobal.factiva.conVen/duiarticle.astaNAPC=S&AccessionNo=FTFTA00020140322ea3m00042 • The Wall Street Joumal Online, MEDIA Article.Headline:U.S. Prosecutors Investigate Caterpillar Unit; Progress Rail Services Is a Target of a Criminal Investigation in California, http://global.factiva.corden/du/article.asp?NAPC=S&AccessionNo=WSJO000020131101e9b1009na • The Wall Street Journal Online, http://abbal.factiva.cornien/du/article.asp?NAPC=S&AccessionNo=WSJO000020131101e9b1009na • Reuters News, MEDIA Article,Headline:ANALYSIS-Accounting risk clouds big U.S. business bets in China, http://giobal.factiva.conVen/du/article.asp?NAPC=S&AccessionNo=LBA0000020130210692a0008r • Reuters News, MEDIA Anide,HeadlIne:UPDATE 3-Ex-chairman of firm linked to Caterpillar fraud "dismayed", http.figlobal.factrva comienicluiarticle.asp?NAPC=S&AccessionNo=LBA0000020130128e81a000a8 • New York Law Journal, MEDIA Article,Headline:Oscar Buitrago and Maria Buitrago, Plaintiffs v. H.O. Penn Machinery Company, Inc., H.O. Penn Machinery Leasing, LLC and Caterpillar Inc., Defendants, 100154/08; Supreme Court, New York County, Part 7; Torts, http://g)pbal factiva.cornien/dufarticle.asp7NAPC=S&AccessionNo:NYLJ000020130531e95v0008p • Associated Press Newswires, MEDIA Artide,Headline:Caterpillar sued over death of contract worker, http://globallactwa.conVen/du/article.asp?NAPC=S&AccessionNo=APRS000020090218e52100110 • Theflyonthewall.com, MEDIA Article,United States,Headline:Caterpillar settles with DOJ over emissions for $2.55M, Bloomberg reports, htlp://olobal.factiva.com/en/dufarticle.asp?NAPC=S&AccessionNo=FLYVVAL0020110728e77s005mt • The Wall Street Journal Online, MEDIA Article,Headline:Litigation Investors Gain Ground in U.S., http://global.factiva.cornien/du/article.asp?NAPC=S&AccessionNo=WSJO000020140113ealc0015p Consistent nth the terms and coectrbonsol your RDC Sub/saber Agreement the inlorrnahan oartarned albadocument is for alert purposes only and re not to be used foe pupas*, ol determining an relroduars °Irately la any aedit or any othe• FCRA penrestuble purposes User further agrees to hard such metenal and inloirretion m str cleat coifidence, not to nine use thereof other than for authored purposes, lo relate I only to employees reaming such riazgrrabon. and not to release a decrees n to any other party The Alert Somata, contained in the document rray or my not penal. ti the ednidual or ertty referenced el your eouiry. Page 8018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054650 CONFIDENTIAL SDNY GM_00200834 EFTA01364132