DB12000P - Deutsche Bank Private Bank 2/5/2018 Batch Date: Added to Monitoring: 02/05/2018 Organization: The 2017 Caterpillar Trust Address: Tracking ID: KYC 01898372 Alerted Entity #: 1 of 1 Entity Information Risk Priority: Critical 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 • tWanh • Caterpillar Credito, S.A. de C.V. SOFOM E.N:R. Address: Morton, Illinois, UNITED STATES• • AUSTRALIA • SWITZERLAND • Old Glenarm Road, Larne, Northern Ireland, BT40 1EJ, 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 subsidiaries to avoid payiing $2 billion in U.S. taxes from 2000 to 2009. It 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