CATERPILLAR OEM SOLUTIONS / CAT ® WATER TREATMENT

What’s Up with Lithium?

2 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

SUSTAINABILITY

BUILDING A BETTER WORLD

•  At Cat® Water Treatment, sustainability is our commitment to building a better world. Sustainability is part of who we are and what we do every single day. We recognize progress involves a balance of environmental stewardship, social responsibility and economic growth.

•  We consider this as we work toward a vision of a world in which people’s basic needs – such as shelter, clean water, education and reliable energy – are fulfilled. We provide work environments, products, services and solutions that make productive and efficient use of resources as we strive to achieve our vision. We believe this commitment supports the enduring success of our customers, stockholders, dealers and our people.

•  So exactly what are we doing to reach these goals?

3 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

Cat® Water Treatment

•  Cat® Water Treatment has partnered with HTX Solutions who is at the leading edge of a paradigm shift in water/wastewater treatment in mining, energy, industrial, and mineral processing plants globally

•  Together we have set new benchmarks for cost-effective water treatment, removal of harmful contaminants, water reclamation and reuse, and the extraction of valuable minerals

•  Simple business model … pay per volume of water treated – no capital investment required

•  Patent-protected Advanced Electrochemical and Catalytically Enhanced Oxidation technologies and expertise, with applications across energy, mining, industrial and many other market sectors

•  Cat® Water Treatment is a turn-key, mobile, re-locatable and fully scalable water treatment service with a small operational footprint and cost and environmental benefits

•  Here is how we do it…

4 / Caterpillar Confidential: Cat® Water Treatment

Manufacturing

Operations

Research

HTX & Caterpillar Collaborative Relationship

Strengths •  Brand Reputation •  Machinery / Equipment

Excellence •  Global Distribution

Roles & Responsibilities •  Sales and Contracting •  Owns Assets •  Contract Management

Strengths •  Customer Relationships •  Service Excellence •  Local Presence

Strengths •  Intellectual Property •  Water Treatment Expertise •  Innovative Technology •  Ongoing R&D

Roles & Responsibilities •  Technical Support •  System Design •  Cost Optimization •  Sales Support

Roles & Responsibilities •  Sales Support •  Customer Satisfaction •  Operations & Maintenance

DEALER

5 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

Lithium – Needs and Applications

•  Lithium is in short supply right now, as of the year 2016, and its use is critical in rechargeable batteries, nuclear power, space travel and more

•  Net market demand increase projection from 2010 to 2025 is 800%

•  Herein lies the need to aggressively pursue Lithium recovery

•  Cat® Water Treatment can remove lithium selectively for mineral recovery

•  Additionally, metals such as nickel and aluminum can also be recovered for re-use

•  Sources to be mined include: •  Brine from shale formations •  Discarded lithium ion batteries •  Landfill leachate •  Centralized water treatment facilities

•  You provide the water source, we mine the minerals of interest and render the remaining water stream to the specifications you require for water re-use, recycling, or for safe environmental discharge

6 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

Commercial and Operational Benefits

•  Cat® Water Treatment equipment is mobile, scalable & relocatable, and provides the following benefits:

•  selectively isolates and removes Lithium and other metal ion species according to the desired outcome and availability within a given water source

•  is able to recover Lithium even when the water matrix has high suspended and dissolved solids, bacteria, soluble and insoluble oil and grease, COD, and other constituents

•  recovers other valuable metal ion species, and can address water hardness, anions and salts, and other problematic water constituents making your water a natural resource for Lithium; and the remaining water can be made safe for re-use, recycling or safe environmental discharge

•  dewaters the solids that are removed from the water matrix, therefore reducing or completely eliminating need for further 3rd party or onsite sludge dewatering

•  In addition, Cat® Water Treatment also offers the following: •  Improves water treatment methods, management logistics, and sourcing avenues for lithium •  Provides a variety of environmentally feasible uses for formerly toxic and/or high mineral

content streams, now rendered reusable, or may be safely discharged to the environment

7 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

At a Glance - Initial Offering

Customer Value Additional Benefits

•  Containerized and mobile •  Scalable to treat total water

volumes (1 unit = up to 200 gpm) •  Real-time water analysis •  Automated safety management &

EHS shutdown procedures

•  Water treatment data insights •  Turn key water treatment services •  Flexible service contracts •  Customized e-reporting

Estimate per gallon of treated water to isolate and recover lithium is USD 3.0¢ - 10.0¢

Unit Features

WT55

•  Eliminates capex (Water as a Service) •  Reduces opex of waste water treatment •  Enables sustainable water recycling •  Minimizes regulatory compliance risks •  24/7 operations availability

*…Price dependent on industry, region and water quality

8 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

Cat® Water Treatment Mobile Unit Features

•  Containerized and mobile (on trailer or ground) •  Scalable to meet all operational needs •  Up to 7,000 bbls/day (200 gpm) per unit •  Plug & play installation, set-up and operation •  Real-time water analysis •  Onboard laboratory •  Long service intervals •  Treats water at or near source •  Manages contaminant variation in real time without unit

recalibration •  Automated safety management & EHS shutdown procedures

9 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

Cat® Water Treatment Service Advantages

•  Reduces / eliminates need to purchase fresh water •  Reduces cost of water acquisition/treatment/disposal/transport •  Reduces chemical usage and water storage requirements •  Eliminates need for refinery labor related to water treatment •  Meets or exceeds environmental compliance obligations •  24/7 operation with minimal labor input •  Turnkey water treatment services •  Flexible service contracts – pay as you go •  No capital outlay •  Lower operating expenses •  Customized e-reporting •  Water consumption data analytics and actionable insights

10 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

Typical Unit Process Flow

Solids waste for disposal or valuable resource

WT 55 Stage 1

WT 55 Stage 2

WT 55 Stage 3

Water to be treated

Lithiium Extraction

Fresh water

For re-use in Manufacturing

Reuse reclamation

or safe discharge.

Cat® WT 55 Unit

Number of units and stages are dependent on throughput rates, source water quality, and end use water quality requirements.

11 / Caterpillar Confidential: YELLOW / Cat® Water Treatment

How to Get Started

•  We’ll need an understanding of your water management practices and desired water treatment outcomes in order to determine your overall potential savings

•  Identify what chemicals, compounds and metals are expected in the wastewater

•  Water sampling and testing to verify contaminants and optimal treatment program

•  Cat® Water Treatment will work with you to deliver a turnkey, best-practice, commercially attractive, environmentally friendly wastewater treatment solution

•  Execute Pilot Agreement and work with Cat® Water Treatment to conduct trial to establish service agreement parameters

You have a water challenge. We have a solution. Let’s get started.