UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`BLOOMBERG INC.; BLOOMBERG L.P.;
`BLOOMBERG FINANCE L.P.;
`THE CHARLES SCHWAB CORPORATION;
`CHARLES SCHWAB & CO., INC.;
`E*TRADE FINANCIAL CORPORATION; E*TRADE SECURITIES LLC;
`E*TRADE CLEARING LLC; OPTIONSXPRESS HOLDINGS INC.;
`OPTIONSXPRESS, INC.; TD AMERITRADE HOLDING CORP.;
`TD AMERITRADE, INC.; TD AMERITRADE IP COMPANY, INC.; and
`THINKORSWIM GROUP INC.
`Petitioners,
`
`v.
`MARKETS-ALERT PTY LTD.
`Patent Owner.
`____________
`
`Case CBM2013-00005 (JYC)
`Patent 7,941,357
`____________
`
`Before JAMESON LEE, SALLY C. MEDLEY, and JONI Y. CHANG,
`Administrative Patent Judges.
`
`EXHIBIT LIST OF PATENT OWNER
`
`
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`BLOOMBERG INC.; BLOOMBERG L.P.;
`BLOOMBERG FINANCE L.P.;
`THE CHARLES SCHWAB CORPORATION;
`CHARLES SCHWAB & CO., INC.;
`E*TRADE FINANCIAL CORPORATION; E*TRADE SECURITIES LLC;
`E*TRADE CLEARING LLC; OPTIONSXPRESS HOLDINGS INC.;
`OPTIONSXPRESS, INC.; TD AMERITRADE HOLDING CORP.;
`TD AMERITRADE, INC.; TD AMERITRADE IP COMPANY, INC.; and
`THINKORSWIM GROUP INC.
`Petitioners,
`
`v.
`MARKETS-ALERT PTY LTD.
`Patent Owner.
`____________
`
`Case CBM2013-00005 (JYC)
`Patent 7,941,357
`____________
`
`Before JAMESON LEE, SALLY C. MEDLEY, and JONI Y. CHANG,
`Administrative Patent Judges.
`
`EXHIBIT LIST OF PATENT OWNER
`
`
`
`Exhibit 2001.
`
`(corrected numbering for Exhibit 1)
`
`U.S. Patent No. 7,941,357 (issued May 10, 2011)
`
`Exhibit 2002.
`
`(corrected numbering for Exhibit 2)
`
`Senate debate on Senate Bill 23, 157 Cong. Rec. S5402 (daily ed. Sep. 8,
`2011), available at:
`http://www.uspto.gov/aia_implementation/20110908 debate_s23_s5402-
`s5443.pdf
`
`Exhibit 2003.
`
`(corrected numbering for Exhibit 3)
`
`Declaration of Jeffrey Bruce McGeorge in Support of Responsive Brief of
`Plaintiff Markets Pty. Ltd. in Opposition to Defendants’ Motion to Stay
`
`Exhibit 2004.
`
`(corrected numbering for Exhibit 4)
`
`Congressional Record containing Senator Schumer’s remarks, 157 Cong.
`Rec. S1053 (daily ed. Mar. 1, 2011), available at:
`http://www.uspto.gov/aia_implementation/20110301-schumer_rmrks
`_s1053.pdf.
`
`Exhibit 2005.
`
`(corrected numbering for Exhibit 5)
`
`U.S. Patent No. 7,941,357, Notice of Allowability (Dec. 8, 2010)
`
`Exhibit 2006.
`
`(corrected numbering for Exhibit 6)
`
`Bloomberg’s Foreign Exchange Professional Service, available at:
`http://www.bloomberg.com/professional/markets/foreign-exchange/
`
`Exhibit 2007.
`
`(corrected numbering for Exhibit 7)
`
`U.S. Patent No. 7,941,357, Office Action Response (Jun. 10, 2010)
`
`Exhibit 2008.
`
`(corrected numbering for Exhibit 8)
`
`Senate debate on Senate Bill 23, 157 Cong. Rec. S5370 (daily ed. September
`7, 2011), available at:
`
`
`
`http://www.uspto.gov/aia_implementation/20110907-debate_s23_s5370-
`s5378.pdf
`
`Exhibit 2009.
`
`(corrected numbering for Exhibit 9)
`
`House debate on House Rule 1249, 157 Cong. Rec. H4420 (daily ed. June
`22, 2011), available at:
`http://www.uspto.gov/aia_implementation/20110622debate_on_the_rule_h4
`420-h4452.pdf.
`
`Exhibit 2010.
`
`(corrected numbering for Exhibit 10)
`
`Wayback Machine FAQs, available at:
`http://archive.org/about/faqs.php#The_Wayback_Machine
`
`Exhibit 2011.
`
`(corrected numbering for Exhibit 11)
`
`Internet Archive’s Policy for Responding to Information Requests, available
`at:
`http://archive.org/legal/
`
`Exhibit 2012.
`
`(corrected numbering for Exhibit 12)
`
`Internet Archive’s Terms of Use, Privacy Policy, and Copyright Policy,
`available at:
`http://archive.org/about/terms.php
`
`Exhibit 2013.
`
`(corrected numbering for Exhibit 13)
`
`Internet Archive’s Standard Affidavit, available at:
`http://archive.org/legal/affidavit.php
`
`Exhibit 2014.
`
`(corrected numbering for Exhibit 14)
`
`U.S. Patent No. 7,941,357, Office Action (Sept. 3, 2008)
`
`Exhibit 2015.
`
`(corrected numbering for Exhibit 15)
`
`U.S. Patent No. 7,941,357, Office Action Response (July 17, 2007)
`
`
`
`Exhibit 2016.
`
`(corrected numbering for Exhibit 16)
`
`U.S. Patent No. 7,941,357, Office Action Response (Feb. 27, 2008)
`
`Exhibit 2017.
`
`(expunged)
`
`Patent Owner Markets-Alert Motion for and to Compel Discovery
`
`Exhibit 2018.
`
`(expunged)
`
`Patent Owner Markets-Alert Request for Routine Discovery
`
`Exhibit 2019.
`
`(expunged)
`
`Patent Owner Markets-Alert Request for Additional Discovery
`
`Exhibit 2020.
`
`(expunged)
`
`Patent Owner Markets-Alert Request for Mandatory Initial Disclosures
`
`Exhibit 2021.
`
`Patent Owner Markets-Alert Request for Additional Discovery
`
`Exhibit 2022.
`
`Complaint for Patent Infringement
`
`Exhibit 2023.
`
`Declaration of Neal Goldstein
`
`Exhibit 2024.
`
`Declaration of Graham Maxwell Lindsay
`
`Exhibit 2025.
`
`Deposition Transcript of Steven R. Kursh
`
`
`
`Exhibit 2026.
`
`Declaration of Andrew Choung
`
`Exhibit 2027.
`
`John J. Murphy, Technical Analysis of the Financial Markets: A
`Comprehensive Guide to Trading Methods and Applications, pgs. i-22,
`(1999)
`
`Exhibit 2028.
`
`Company History webpage from Omega Research website (December 6,
`2000)
`http://web.archive.org/web/20001211213900/http://omegaresearch.com/
`
`Exhibit 2029.
`
`Frequently Asked Questions webpage from Tradestation website (June 23,
`2001)
`http://web.archive.org/web/20010623200726/http://www.tradestation.com/
`
`Exhibit 2030.
`
`Exhibit 11 from Deposition of Steven R. Kursh, AIQ Opening Bell
`Newsletter Vol. 12, Issue 10, September 2003.
`
`Exhibit 2031.
`
`Benefits webpage from Markets-Alert website, previously available at:
`http://markets-alert.net/rta-benefits.php
`
`Exhibit 2032.
`
`Products webpage from Markets-Alert website, previously available at:
`http://markets-alert.net/
`
`Exhibit 2033.
`
`
`
`Patent Index webpage from Markets-Alert website, previously available at:
`http://markets-alert.net/patents.php
`
`Exhibit 2034.
`
`Overview of RTA Benefits webpage from Markets-Alert website, previously
`available at: http://markets-alert.net/rta-overview.php
`
`Exhibit 2035.
`
`RTA Technology webpage from Markets-Alert website, previously available
`at: http://markets-alert.net/rta-technology.htm
`
`Exhibit 2036.
`
`Learn More webpage from Markets-Alert website, previously available at:
`http://markets-alert.net/rta-learnmore.php
`
`Exhibit 2037.
`
`About Us webpage from Markets-Alert website, previously available at:
`http://markets-alert.net/aboutus.php
`
`Exhibit 2038.
`
`Content Supply Agreement between Vodafone Network Pty Limited and
`Sharetech Software Pty Ltd.
`
`Exhibit 2039.
`
`Mutual Supplier Non-Disclosure Agreement Between Bloomberg L.P. and
`Markets-Alert Pty. Ltd.
`
`Exhibit 2040.
`
`Value Add Proposition For Bloomberg
`
`Exhibit 2041.
`
`
`
`Real-Time Technical Analysis “RTA” (2007)
`
`Exhibit 2042.
`
`ISV Partner “Markets-Alert” – RTA Implementation Strategy (02/05/2013)
`
`Exhibit 2043.
`
`Markets-Alert Real-time Technical Analysis Scanner A Quick Overview
`And Why This Platform Is A Must Have For Traders
`
`Exhibit 2044.
`
`HP and Markets-Alert Real-Time Technical Analysis (RTA) (June 2008)
`
`Exhibit 2045.
`
`DRAFT Statement of Work: Markets-Alert RTA Test System
`Implementation for Bloomberg (13 November 2007)
`
`Exhibit 2046.
`
`Markets-Alert Bloomberg/RTA Business Case Version 1.0 (8th May 2008)
`
`Exhibit 2047.
`
`Diagram re Proposed requirements for test setup
`
`Exhibit 2048.
`
`Markets-Alert Real-time Technical Analysis Platform A Quick Overview
`And Why This Platform Is A Must Have For Traders re: REAL TIME
`ANALYTICS PLATFORM (RTA)
`
`Exhibit 2049.
`
`Bloomberg Launchpad Getting Started Manual
`
`Exhibit 2050.
`
`
`
`Launchpad webpage from Bloomberg webpage, available at:
`http://www.bloomberg.com/professional/charts_launchpad/
`
`Exhibit 2051.
`
`Bloomberg (June 26, 2012), available at:
`http://www.bloomberg.com/professional/charts_launchpad/
`
`Exhibit 2052.
`
`Communities webpage from Bloomberg website, available at:
`http://www.bloomberg.com/professional/professionl/communities/
`
`Exhibit 2053.
`
`Equities webpage from Bloomberg website, available at:
`http://www.bloomberg.com/professional/professionl/equities/
`
`Exhibit 2054.
`
`Bloomberg Rolls Launchpad 2010 to Boost Cross-Market Efficiency press
`release (June 17, 2010)
`
`Exhibit 2055.
`
`Bloomberg set to roll-out Launchpad 2010 press release (June 6, 2012),
`available at:
`http://www.investmentnews.com/article/20100616/FREE/100619932
`
`Exhibit 2056.
`
`Wikipedia article re Bloomberg Terminal, available at: Source:
`http://en.wikipedia.org/w/index.php?oldid=493568032
`
`Exhibit 2057.
`
`The Bloomberg Terminal At A Glance article (June 16, 2012), available at:
`http://www.investopedia.com/articles/professionaleducation/11/bloomberg-
`terminal.asp
`
`
`
`Exhibit 2058.
`
`Value Solutions Bloomberg brochure
`
`Exhibit 2059.
`
`Bloomberg Charting & Technical Analysis, A Step by Step Guide (21
`November 2011)
`
`Exhibit 2060.
`
`Bloomberg EQS User Guide
`
`Exhibit 2061.
`
`Markets-Alert Proposal for Bloomberg Server Infrastructure
`
`Exhibit 2062.
`
`Markets-Alert – Bloomberg – Man Financial business proposal (19th May
`2008)
`
`Exhibit 2063.
`
`Draft Business Proposal Commercial In Confidence to MF Global (2008)
`
`Exhibit 2064.
`
`Email re: Markets-Alert Proposal To Bell Potter (November 28, 2004)
`
`Exhibit 2065.
`
`Email from Philippa Tosh of ETrade Australia re Emailing: Etrade Invitation
`Approach 1.1 (October 17, 2006)
`
`Exhibit 2066.
`
`Email from Saul Weiner of Forex Capital Markets LLC re FXCM (May 2,
`2003)
`
`
`
`Exhibit 2067.
`
`Markets-Alert Proposal to Brian McElligott of Chicago Mercantile
`Exchange re: Real-Time Technical Analysis Data Signal (20th June 2006)
`
`Exhibit 2068.
`
`Markets-Alert Proposal to Steven Dickey of Chicago Board of Trade re: The
`Markets-Alert Scanner (16th June 2006)
`
`Exhibit 2069.
`
`Markets-Alert Proposal to Seck Wai Kwong of Singapore Stock Exchange
`re: Real-Time Technical Analysis Data Signal (10th June 2006)
`
`Exhibit 2070.
`
`Learn More webpage from Markets-Alert website, previously available at:
`http://markets-alert.net/csps-rootkit.php
`
`Exhibit 2071.
`
`CAPS Technology webpage from Markets-Alert website, previously
`available at: http://markets-alert.net/csps-tech.php
`
`Exhibit 2072.
`
`CAPS System Demonstration webpage from Markets-Alert website,
`previously available at: http://markets-alert.net/csps-overview2.php
`
`Exhibit 2073.
`
`CAPS Overview webpage from Markets-Alert website, previously available
`at: http://markets-alert.net/csps-overview.php
`
`Exhibit 2074.
`
`CAPS Internet Banking webpage from Markets-Alert website, previously
`available at: http://markets-alert.net/csps-netbank.php
`
`
`
`Exhibit 2075.
`
`CAPS Configuration Alternatives webpage from Markets-Alert website,
`previously available at: http://markets-alert.net/csps-config.php
`
`Exhibit 2076.
`
`In the Matter of MARKETXT, INC., and IRFAN MOHAMMED
`AMANAT, ADMINISTRATIVE HEARING PROCEEDING FILE NO. 3-
`11815, SECURITIES AND EXCHANGE COMMISSION, INITIAL
`DECISION RELEASE NO. 304 (December 22, 2005)
`
`Exhibit 2077.
`
`Patent Owner Markets-Alert Certification For Substitute Motion to Amend
`
`
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