EFTA01297502.pdf

The 2017 Caterpillar Trust
NAME SEARCHED:
PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches
on your subject name(s) in the required databases and have attached the search results under the correct heading below.
Significant negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated.
Search: Result: Click here for results: Reviewer Comments (as necessary):
0 No Ili' 0 Not Required I. RDC Alert(mail sent separately)
RUC RDC Results
e tilt
No Hit • Not Required
FIRCOSOFT II. PCR Results No FIRCOSOFT Alert(please see attached)
0 Hit
No Information Found
III. Negative Media
BIS D Yes CO No
No Information Found
IV. Non-Negative Media
Not Required
No Information Found
V. Other Language Media
No Information Found
Results'? E Yes No VI,
D&B D•B
0 Not Required
No Information Found
Smartlinx Results? M Yes /8) No
0 Not Required VII. Sinattlinx
• Review by Legal May No Information Found
Court Cases be Required El No Results VIII. Court Caen
CI Search not required
Prepared by: Priyanka Rathore Date: 02/05/2018 Research Analyst
Instructions:
I. Review and confirm that all results arc returned for your client.
2. Please note that you are still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindale-Hubbellhttpalwww.martindale.com/xp/Martindak/home.xml
3. As needed, provide comment for any negative results.
4. If applicable, please obtain clearance from Compliance for all alerts.
S. Save any changes you make to this document and attach file to your KYC.
Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents.
For intense' use only
For internal use only
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0023624
EFTA_00171313
EFTA01297502

Page 2
OFAC RESULTS
RDC:
S
11620919 Alerted KYC 01898372 Ccuriti.v:UNITED STATES
The 2017 Caterpillar Trust
Ccur it VIRGIN ISLANDS,
11620920 Alerted KYC 01898372
The 2017 Caterpillar Trust U.S.
FIRCOSOFT:
Alert(s)
Request ID Record ID Type Name
ADM INT PEP SAE
The 2017
2078384 WR_20783842182 Company Caterpillar No Alert No Alert No Alert No Alert
Trust
The 2017
2078385 WR_20783852182 Company Caterpillar No Alert No Alert No Alert No Alert
Trust
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
No Information Found
Public Record:
No Information Found
D&B:
No Information Found
For internal use only
For internal use only
SDNY_GM_00060800
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CONE DB-SDNY-0023625
EFTA_00171314
EFTA01297503

LEGAL RESULTS:
Court Cases:
No Intbrination Found
For internal use only
For internal use only
SDNY_GM_00060801
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.ctc)N(F DB-SDNY-0023626
EF1'A_00171315
EFTA01297504