EFTA01297505.pdf

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rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/5/2018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Cmuhtiy VIRGIN ISLANDS. U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141
Entity Information
Entity ID: 86458141
Riskid: R2238037
Entity Name: Caterpillar Inc.
Alias: • CAT
• Caterpillar Belgium SA
• Caterpillar (NI) Limited
• FG Wilson (Engineering) Ltd
• Caterpillar International Finance Ltd
• Caterpillar Financial Services Corp
• Caterpillar SARL
• 3141U
• Caterpillar Credito. SA de C.V. SOFOM E.N:R.
Address: • Morton. Illinois. UNITED STATES
• AUSTRALIA
• SWITZERLAND
• Old Glenarrn Road. Lame. Northern Ireland, BT40 lEJ. UNITED KINGDOM
• Avenue des Etats-Unis 1, Gosselies, Hainaut. 6041, BELGIUM
• 100 North East Adams Street, Peoria, Illinois, 61629. UNITED STATES
Riskography: In January 2013. Caterpillar was charged with fraud after a disclosure of "deliberate. multi-year. coordinated
accounting misconduct" at the Siwei unit of ERA Mining Machinery (ERA). Caterpillar closed the purchase of
ERA and its subsidiary Siwei in June 2012. paying $653.4 million. After the deal was closed. Caterpillar
found that physical inventory did not match the accounting statements. In January 2013. Caterpillar
announced that it would write off most of the $654 million which it had paid to acquire ERA. In 2011, a former
Caterpillar executive accused the company of using offshore subsidianes to avoid payiing $2 billion in U.S.
taxes from 2000 to 2009. II paid $2.55 million to settle allegations that it violated the U.S. Clean Air Act.
according to the U.S. Justice Department.
Recent Event(s): • ENV - Environmental Crimes (Poaching, Illegal Logging, Animal Cruelty! ASC - Associated with. Seen
with. 12/08/2017
United Industries LLC, a subsidiary of Progress Rail Services. Inc., which itself is a subsidiary of
Caterpillar. Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to
conceal that it was performing unnecessary and improper repairs for several railcar operators and was
imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in
restitution to three victim companies - TTX Company. Pacer International and Greenbrier Company. As a
result of illegal conduct that spanned the years 2008 through 2014 - including the unnecessary and
improper repairs on railcar adapters, brake beams, grating platforms, brake shoes, friction castings, hand
brakes, roof liners and side bearings - United Industries earned at least $5 million.. 12/08/2017, DOJ US
Attomeys Offices Press Releases 2017
Event: • REG - Regulatory Action / FIM - Fine - More than $10.000, 04/04/2003
Caterpillar. Inc. has remitted $ 18,000.00 to settled allegations of a violations of 515 Sanctions Program.
Actual or Alleged Violation of Export (Goods or Services), 04/04/2003, OFAC Civil Penalties List
• SEC - SEC Violations (Insider Trading. Securities Fraud)! DMS - Dismissed, 02/25/2016
The Securities and Exchange Commission ends tax probe without action against its foreign subsidiary,
known as Caterpillar SARL., 02/25/2016, McClatchy Tribune Academic Restricted
• IRC - Iran Connect / ASC - Associated with, Seen with, 08/24/2012
Caterpillar Inc was listed among hundreds of US companies identified by the New York Times on 24
December 2010 that took legal advantage of a controversial loophole in US sanctions legislation to
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IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.QPN(F DB-SDNY-0023627
EFTA_00I71316
EFTA01297505

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/512018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Countiy:VIRGIN ISLANDS. U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141
December 2010 that took legal advantage of a controversial loophole in US sanctions legislation to
procure a US Treasury Department license to sell selected goods in Iran despite trade sanctions and
embargoes. The licenses were granted under a 2000 law mandating that agricultural and medical
humanitarian aid be exempted from sanctions: the New York Times notes that this and other entities
identified in the article received special licenses to enter into transactions that would otherwise be
prohibited by trade embargoes and sanctions rules., 08/24/2012, Iran Connect
• IRC - Iran Connect / ASC - Associated with, Seen with, 08/242012
Caterpillar has performed business in Iran through its wholly-owned subsidiary Loyal, (a Canadian tunnel-
boring machine company), and Arya Machinery, which states it is the exclusive dealer of Caterpillar in Iran.
Solar Turbines, a division of Caterpillar, requested license to bid on a project to build a natural mixing
station needed by the Turkish government-owned pipeline company, Botas., 08/24/2012, Iran Connect
• IRC - Iran Connect / ASC - Associated with, Seen with, 07/29/2010
Caterpillar Belgium SA is an associate of National Iranian Oil Engineering and Construction Company. On
July 29, 2010. Australian Department of Foreign Affairs and Trade has listed National Iranian Oil
Engineering and Construction Company (NIOEC) under sub-regulation 17E (3) of the Charter of the United
Nations (Sanctions - Iran) Regulations 2008. According to the Official Journal of the European Union
Website, dated December 22, 2012, NIOEC was designated under Regulation (EU) No 1264/2012, as an
entity which is a subsidiary of National Iranian Oil Refining and Distribution Company., 07/29/2010, Iran
Connect
• IRC - Iran Connect / ASC - Associated with, Seen with, 07/29/2010
Caterpillar NI Limited is an associate of National Iranian Oil Engineering and Construction Company. On
July 29, 2010, Australian Department of Foreign Affairs and Trade has listed National Iranian Oil
Engineering and Construction Company (NIOEC) under sub-regulation 17E (3) of the Charter of the United
Nations (Sanctions - Iran) Regulations 2008. According to the Official Journal of the European Union
Website, dated December 22, 2012, NIOEC was designated under Regulation (EU) No 1264/2012, as an
entity which is a subsidiary of National Iranian Oil Refining and Distribution Company., 07/29/2010, Iran
Connect
• REG - Regulatory Action / ACT - Disciplinary, Regulatory Action, 01/23/2003
Entity appears on the Arizona Corporate Commission Securities Division Enforcement Actions site,
01/23/2003, Arizona - Corp. Commission Securities Division Enforcement Actions
• DEN - Denied Entity / ASC - Associated with, Seen with, 07/312015
This entity appears on the Iowa Board of Regents' list of scrutinized companies doing business in Sudan.,
07/31/2015, Iowa Board of Regents - Scrutinized Companies
• FRD - Fraud. Scams. Swindles I SET - Settlement or Suit, 03/14/2017
Daniel Schlicksup in 2009 filed suit and accused Caterpillar of breaking the law and misleading
stockholders. (The case was reportedly settled out of court.) Shareholder Judy Pill also sued, accusing
Cat of violating its "fiduciary duties" in 2017., 03/14/2017, Register-Mail, The (Galesburg, IL)
• TAX - Tax Related Offenses / DMS - Dismissed, 02252016
The Securities and Exchange Commission ends tax probe without action against its foreign subsidiary,
known as Caterpillar SARL.. 02/25/2016, McClatchy Tribune Academic Restricted
• TAX - Tax Related Offenses / ASC - Associated with, Seen with. 03/03/2017
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IDENTIAL
R.cONF
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0023628
EF1'A_00171317
EFTA01297506

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/5/2018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Cmuhtry VIRGIN ISLANDS. U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID 12612432 11620920.86458141
VVsj.com listed an article on 3 March 2017, re: The Caterpillar Inc. locations searched were believed to be
connected to the Caterpillar subsidiary known as CSARL. The search was in connection with a possible
tax matter. Caterpillar Chief Executive Jim Umpleby said the company believes the search warrant is
connected the Switzerland-based subsidiary, which he noted had been under review for more than three
years., 03/03/2017. Special Media
• TAX - Tax Related Offenses / ACT - Disciplinary. Regulatory Action. 03/14/2017
Cat is accused of being engaged in tax and accounting fraud. Agents from the Internal Revenue Service
and other government body raided Cars World Headquarters and some offices. IRS is already seeking $2
billion in taxes and penalties. which Cat is appealing, and no charges have been filed., 03/14/2017,
Register-Mail The (Galesburg, IL)
• SEC - SEC Violations (Insider Trading, Securities Fraud) / SET - Settlement or Suit. 0420/2017
The Law Offices of Vincent Wong announce that a class action lawsuit has been commenced in the United
States District Court for the Northern District of Illinois on behalf of investors who purchased Caterpillar.
Inc. According to the complaint, throughout the Class Period, the Company issued materially false and
misleading statements and/or failed to disclose., 04/20/2017, Legal Monitor Worldwide (Jordan)
• REG - Regulatory Action / SET - Settlement or Suit, 04/04/2003
Caterpillar, Inc. has remitted $ 18,000.00 to settled allegations of a violations of 515 Sanctions Program.
Actual or Alleged Violation of Export (Goods or Services), 04/04/2003, OFAC Civil Penalties List
• TAX - Tax Related Offenses / SET - Settlement or Suit, 03/21/2017
Caterpillar Inc. was named in a class action lawsuit for unlawfully used foreign subsidiaries to avoid paying
billions of dollars in U.S. taxes, heightened regulatory scrutiny and potential criminal sanctions, Caterpillars
public statements were materially false and misleading at all relevant times., 03/21/2017, Legal Monitor
Worldwide (Jordan)
• SEC - SEC Violations (Insider Trading, Securities Fraud) / CMP - Complaint Filed, 03/29/2017
This class action seeks to recover damages against Defendants for alleged violations of the federal
securities laws under the Securities Exchange Act of 1934 (the Exchange Act)., 03/29/2017, Legal Monitor
Worldwide (Jordan)
• FRD - Fraud, Scams, Swindles / PRB - Probe, 03/08/2017
A US government-commissioned review concluded Caterpillar intentionally committed tax and financial
reporting fraud. Federal agents last week raided the Illinois headquarters of the US industrial giant, which
failed to account for $7.9 billion in overseas income for tax purposes.The Internal Revenue Service in
November notified Caterpillar that it owed about $2 billion in adjustments and penalties connected to
returns from 2010 to 2012., 03/08/2017, Agence France-Presse
• SEC - SEC Violations (Insider Trading, Securities Fraud) / PRB - Probe, 02/19/2016
Securities and Exchange Commission completed an investigation related to its SARL subsidiary, did not
recommend an enforcement action. 02/19/2016. Newsbank - North Carolina News Sources
• REG - Regulatory Action / PRB - Probe, 04/04/2017
A federal raid of Caterpillar Inc. offices reveled company's controversial strategy to avoid paying U.S.
taxes, and also Securities and Exchange Commission set for inquiries that its business interests in three
sanctioned countries: Sudan, Syria and Iran. in 2012 after a series of depositions laid out the company's
tax strategy in public for the first time, parts sales generated $5.6 billion in profit over several years -
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IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0023629
EFTA_00I713l8
EFTA01297507

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/5/2018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Cr:wiry VIRGIN ISLANDS. U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141
dismissed., 04/04/2017, Peoria Journal Star. The (IL)
• TM - Tax Related Offenses / PRB - Probe, 10/30/2015
Wsj.com listed an article on 30 October 2015. re: Caterpillar Inc. has received more subpoenas relating to
a U.S. grand jury investigation of its tax practices.. 10/30/2015. Special Media
• BRB - Bribery, Graft, Kickbacks, Political Corruption / ALL - Allege, 06/30/2010
The named entity was identified publicly in a 30 June 2010 document leaked to Global Witness -- an
international NGO focused on examining the relationship of natural resources and international trade
systems with corruption — that detailed Western banking institutions holding Libyan oil money as well as
investments by the Libyan Investment Authority (LIA) in foreign businesses. The NY Times on 26 May
2011 noted that it had independently verified the leaked document as authentic and described it as a
"summary of LIA investments." Global Witness cited the information as justification for a new laws
requiring banks and investment funds to disclose all managed state funds to make it more difficult for
sanctioned persons or companies to move the proceeds of corruption through the global financial system..
06/30/2010. Special Media
• ENV - Environmental Crimes (Poaching. Illegal Logging, Animal Cruelty / ASC - Associated with. Seen
with, 12/08/2017
United Industries LLC, a subsidiary of Progress Rail Services. Inc.. which itself is a subsidiary of
Caterpillar, Inc., pleaded guilty to a federal environmental offense of dumping parts into the ocean to
conceal that it was performing unnecessary and improper repairs for several railcar operators and was
imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in
restitution to three victim companies - TTX Company, Pacer International and Greenbrier Company. As a
result of illegal conduct that spanned the years 2008 through 2014 - including the unnecessary and
improper repairs on railcar adapters, brake beams, grating platforms, brake shoes, friction castings, hand
brakes, roof liners and side bearings - United Industnes earned at least $5 million., 12/08/2017, DOJ US
Attorneys Offices Press Releases 2017
• ENV - Environmental Crimes (Poaching, Illegal Logging, Animal Cruelty / SET - Settlement or Suit,
07/282011
The U.S. Department of Justice says Caterpillar Inc. has agreed to pay $2.55 million to settle allegations
that it violated the U.S. Clean Air Act.. 07/28/2011, Associated Press Newswires
Relationship:
W Frank Blount, Associate
• Solar Turbines Incorporated, Associate
• Associate of National Iranian Oil Engineering and Construction Company
Alert Notes
Notes: Caterpillar Inc., United Industries LLC, a subsidiary of Progress Rail Services, Inc., which itself is a
subsidiary of Caterpillar, Inc., pleaded guilty to a federal environmental offense of dumping parts into the
ocean to conceal that it was performing unnecessary and improper repairs for several railcar operators and
was imposed a sentence that required United Industries to pay a $5 million criminal fine and $20 million in
restitution to three victim companies.
Source Information
RDC URL: https://gnd.rdc.com/wss/entity html?entityld=d6b78c2d3114a8ce5d3f3d53eb346cc4
Source Name: RiskConnect, 02/04/2018
Entity URL: • http://www treasury.gov/resource-center/sanctions/OFAC-EnforcementiDocuments/04042003.pdf
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IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.QPN(E DB-SDNY-0023630
EFTA_00I71319
EFTA01297508

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/5/2018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Ct;u”try VIRGIN ISLANDS. U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141
• http/iWww.treasuiy.gov/resource-center/sanctions/CivPen/F'ages/2003.aspx
• http://www.nytimes.com/2011/05/27tworld/africa/27qaddati.html?_r=l&hp
• http:/Awnv.globalwitness.org/sites/defaultffilesilibraiy/Libyan%20Investrnent9520Authority %20as%20of%2
0June%202010 . pdf
• http://www.cat.com
• http/AvvAvregents.iowa.gov/Reports/sudanannualreport1014.pdf
• https://Www.fgwilson.com
• httpiNtww.azcc.gov/Divisions/Securities/Enforcement/Actions/2003/Tierra_Group 1-23-03 pdf
• http://www.wsj.comearticles/S810001424052702304527504579172123767258440
• http://Www.wsj.comtarticles/caterpillar-gets-more-grand-jury-subpoenas-in-tax-probe-1446232494
• https:/Avww.wsj.corrilarticlesffederal-agents-search-caterpillar-locations-1488475293
• https://www.justice.gov/usao-cdca/pr/subsidiany-caterpillar-inc-pleads-guitty-federal-offense-dumping-parts-
ocean-after
Sources:
• Associated Press Newswires, MEDIA Article,United States,Headline:Caterpillar to pay 52.55 million for
Clean Air Act violations.
http://globatfactiva.cornren/du/article.asp?NAPC=S&AccessionNo=APRSG00020110728e77s00369
• OFAC Civil Penalties List, OFAC Civil Penalties List. http:/Avww.treasury.gov/resource-
center/sanctions/CivPen/Pages/civpen-index2.aspx
• Special Media, Special Media, http://Www.rdc.cony
• Iran Connect, Iran Connect. http//www.rdc.com
• Arizona - Corp. Commission Securities Division Enforcement Actions. Arizona - Corp. Commission
Securities Division Enforcement Actions, http://www.azcc.gov/divisions/secunties/entorcement/entorce-
actions.asp
• Iowa Board of Regents - Scrutinized Companies, Iowa Board of Regents - Scrutinized Companies.
http://wvvw.regents.iowa.goviReportsnranannualreport1014.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 'tax 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 Attorneys Offices Press Releases 2017, DOJ US Attorneys Offices Press Releases 2017,
http://Www.justice.gov/usao/abouVusattorneys.html
• Peoria Journal Star, MEDIA Article,United States,Headline:Decatur woman sues for coverage — Debbie
Robinson's attorney will
file class action lawsuit.
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IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.QQN(F DB-SDNY-0023631
EFTA_00I 71320
EFTA01297509

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/5/2018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Ciiiirtry VIRGIN ISLANDS: U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity it 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141
http://global.factiva.com/en/du/article.asONAPC=S&AccessionNo=prjs000020010712dx3u007oc
• Associated Press Newswires. MEDIA Article,United States.Headline:Caterpillar turns profit: says global
economy improving, demand rising in emerging markets,
http://global.factiva.cornren/du/article.asONAPC=S8AccessionNo=APRS000020100426e64q001yh
• St. Louis Post-Dispatch, MEDIA Article,United States.Headline:Caterpillar sees 'revival' as global demand
increases.
http://global.factiva.comeen/du/article.asp9NAPC=S&AccessionNo=SLM0000020100427e64r000b8
• The Commercial Appeal. MEDIA Article,United States,Headline:Millions of jobs lost in recession most likely
are gone for good.
http://global.factiva.conVen/du/article.asp?NAPC=S&AccessionNo=MMPH000020100514e65e0000n
• Associated Press Newswires. MEDIA Article,United States.Headline:Moodys raises credit outlook for
heavy equipment maker Caterpillar,
http://globaffactiva.conVen/du/article.asp2NAPC=S&AccessionNo=APRS000020100602e662001Im
• Pittsburgh Tribune-Review, MEDIA Article,United States,Headline:Caterpillar accused of dodging $2 billion
in taxes.
http: //global. factiva.cornien/du/article.asp7NAPC=S&AccessionNo=PBTR000020110710e7790000j
• Newsday, MEDIA Article,United States,Headline:IN BRIEF,
http://global.factiva.comlen/didarticle.asp?NAPC=S&AccessionNo=NDAY000020050601e1610001a
• Financial Times, MEDIA Article,Headline:Caterpillar probed over US tax avoidance claims:
CONSTRUCTION: Senate looking at overseas transfers,
http://global.factiva.cornlen/du/artide.asp?NAPC=S&AccessionNo=FTFTA00020140322ea3m00042
• The Wall Street Journal 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.com/en/didarticle.asp?NAPC=S&AccessionNo=WSJ0000020131101e9b1009na
• The Wall Street Journal Online,
http://global.factiva.coriVen/du/artide.asp?NAPC=S&AccessionNo=VVSJ0000020131101e9b1009na
• Reuters News, MEDIA Artide,Headline:ANALYSIS-Accounting risk clouds big U.S. business bets in China,
hrip://global.factivaconYen/dufarticle.asONAPC=S&AccessionNo=LBA0000020130210e92a0008r
• Reuters News, MEDIA Artide,Headline:UPDATE 3-Ex-chairman of firm linked to Caterpillar fraud
"dismayed",
http://global.factiva.cornien/du/article.aspNAPC=S&AccessionNo=LBA0000020130128.391s000a8
• 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://global.factiva.com/en/du/artide.asp?NAPC=S&AccessionNo=NYLJ000020130531e95v0008p
• Associated Press Newswires, MEDIA Article,Headline:Caterpillar sued over death of contract worker,
http://global.factiva.com/en/dWarlicle.asp7NAPC=S&AccessionNo=APRS000020090218e52i00110
• Theflyonthewall corn, MEDIA Article,United States,Headline:Caterpillar settles with DOJ over emissions for
$2.55M, Bloomberg reports,
http://qlobal.factiva.com/en/dufarticle.asp?NAPC=S&AccessionNo=FLYWAL0020110728e77s005mt
• The Wall Street Journal Online, MEDIA Article:Headline:Litigation Investors Gain Ground in U.S.,
http: //global. factiva .com/en/dukitide.asp?NAPC=S&AccessionNo=WSJ0000020140113ea1c0015p
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IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.WN(E DB-SDNY-0023632
EFTA_00171321
EFTA01297510

rdc
DB12000P - Deutsche Bank Private Bank Alert
Batch Date: 2/5/2018 Alert Date: 2/5/2018
Added to Monitoring: 02/05/2018
Organization: The 2017 Caterpillar Trust
Address: Cmuhtry VIRGIN ISLANDS. U.S.
Tracking ID: KYC 01898372 Reporting ID:
Alerted Entity it. 1 of 1 Risk Priority: Critical Alert ID: 12612432.11620920.86458141
http://global.factiva.corrilen/du/article.asONAPC=S&AccessionNo=WSJO000020140113ea1c0015p
• Dow Jones Institutional News, MEDIA Article.Headline:Caterpillar Settles Engine-Fire Suit for $46 Million.
http://global.factiva.com/en/du/article.asp?NAPC=S&AccessionNo=DJDN000020140610ea6a003tk
• Daily Record (Rochester, NY), MEDIA Article,Headline:Appellate Division, Third Department Case
Summaries: May 7. 2008.(Case overview).
http://globallactiva.conVen/du/article.asp?NAPC=S&AccessionNo=DRRC000020080509e45700008
• The Pioneer (India). MEDIA Article,Headline:Accounting fraud opens can of worms
• Reuters News. MEDIA Article,Headline:U.S. multinationals fear fallout from U.S.-China audit row,
http://global.factiva.cornlen/du/article.asp?NAPC=S&AccessionNo=LBA0000020121207e8c70006c
• New York Times Online, MEDIA Article,Headline:Feature: Should You Be Allowed to Invest in a Lawsuit?
• Newcastle Journal (England). MEDIA Article.Headline:North firm's 'David v Goliath' battle to start
• Newcastle Journal (England)
• City A.M., MEDIA Article,Headline:Caterpillar loses $73m trade secrets verdict in US against UK supplier
• San Angelo Standard-Times (TX). MEDIA Articlekleadline:Murder trial will stretch into third week
• Reuters, MEDIA Article.Headline:Caterpillar is sued by a shareholder after federal raid
• Rapid City Journal, The (SD), MEDIA Article,Headline:Caterpillar offices raided in probe related to Swiss
unit, http://rapidcityjournal.com(catemillar-offices-raided-in-probe-related-to-swiss-unit/article f3aab49b-
3da7-5t29-81H-3f0eca56ec6f.html
• New York Times, The, MEDIA Article,Headline:Caterpillar Is Accused in a Report of Fraud
• Emirates News Agency (WAM) (United Arab Emirates), MEDIA Article.Headline:CAT Investor Alert:
Hagens Berman Alerts Investors in Caterpillar, Inc. to Securities Class Action Related to Possible Tax
Fraud and to the May 2, 2017 Lead Plaintiff Deadline
• Peoria Journal Star, The (IL), MEDIA Article,Headline:Caterpillar eliminating 'middleman:alright
• Register-Mail. The (Galesburg, IL)
• Legal Monitor Worldwide (Jordan), MEDIA Article.Headline:CAT SHAREHOLDER ALERT: The Law Offices
of Vincent Wong Notifies Investors of a Class Action Involving Caterpillar, Inc. and a Lead Plaintiff Deadline
of May 2, 2017
• Peoria Journal Star. The (IL). MEDIA Article.Headline:EXCLUSIVE: Federal raid resurrects questions
about company's business dealings in Sudan. Syna and Iran
• Legal Monitor Worldwide (Jordan). MEDIA Article.Headline.SHAREHOLDER ALERT: Lundin Law PC
Announces Securities Class Action Lawsuit against Caterpillar Inc. and Encourages Investors with Losses
to Contact the Firm
• Peoria Journal Star. The (IL). MEDIA Article,Headline:Cat backs Trump tax reform effort
At White House event, company pledges support for grass-roots campaign
• Oman Observer (Jordan). MEDIA Article,Headline:Caterpillar, a Trump favourite, under pressure
• Caterpillar NI Limited Website, Source provides the address of Caterpillar NI Limited,
https://www.fgwilson.com/contactUs
• National Iranian Oil Engineering and Construction Company Website, Source provides alias and
relationship of Caterpillar NI Limited with National Iranian Oil Engineering and Construction Company,
httplAtoww.nioec.org/AnalyticsReports/A.V.L%20BASED%20ON%20PRODUCTS.pdf
• Caterpillar NI Limited Website, Source provides aliases of Caterpillar NI Limited.
https://www.fgwilson.com/about_us/history
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