Paper No. ________
`Filed: December 16, 2013
`
`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.
`Petitioner,
`
`v.
`
`MARKETS-ALERT PTY LTD.
`Patent Owner.
`_____________________________
`
`Case CBM2013-00005 (JYC)
`Patent No. 7,941,357
`_____________________________
`
`PETITIONERS’ LIST OF EXHIBITS
`(37 C.F.R. § 42.63(e))
`
`
`Filed: December 16, 2013
`
`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.
`Petitioner,
`
`v.
`
`MARKETS-ALERT PTY LTD.
`Patent Owner.
`_____________________________
`
`Case CBM2013-00005 (JYC)
`Patent No. 7,941,357
`_____________________________
`
`PETITIONERS’ LIST OF EXHIBITS
`(37 C.F.R. § 42.63(e))
`
`
`
`LIST OF CITED EXHIBITS
`
`Exhibit 1001 U.S. Patent No. 7,941,357 (issued May 10, 2011).
`Exhibit 1002 Declaration of Steven R. Kursh, Ph.D., CSDP, CLP.
`Exhibit 1003 Stephen R. Kursh, curriculum vitae.
`Exhibit 1004 PCT Patent Application No. PCT/US99/18767, Publication No.
`WO 00/11587 (published Mar. 2, 2000)(Michael Satow et al.,
`applicants).
`Exhibit 1005 John Sweeney, Product Review: TradeStation 4.0 Build 15, Stocks
`& Commodities, December 1996, at 649.
`Exhibit 1006 TS Main (Nov. 13, 1996), available at
`http://web.archive.org/web/19961113010600/http://omegaresearch
`.com/tsmain.htm.
`Exhibit 1007 TradeStation Features (Nov. 13, 1996), available at
`http://web.archive.org/web/19961113010630/http://omegaresearch
`.com/tsfeatur.htm.
`Exhibit 1008 TradeStation Pager Alert (Nov. 13, 1996), available at
`http://web.archive.org/web/19961113010704/http://omegaresearch
`.com/tspgmain.htm
`Exhibit 1009 Window On WallStreet Internet Trader Deluxe User's Guide,
`1998.
`Exhibit 1010 Window On WallStreet Internet Trader Pro 7 – Alert Manager
`(Dec. 3, 1998), available at
`http://web.archive.org/web/19981203133004/http://www.windowo
`nwallstreet.com/Alertmanager.html.
`Exhibit 1011 Window On WallStreet Day Trader 7 Internet Version (Apr. 23,
`1999), available at
`http://web.archive.org/web/19990423090801/http://www.windowo
`nwallstreet.com/dt7internet.html.
`Exhibit 1012 Window On WallStreet Internet Trader Pro 7 – Tour Overview
`(Dec. 7, 1998), available at
`http://web.archive.org/web/19981207032249/http://www.windowo
`nwallstreet.com/touroverview.html.
`Exhibit 1013 Window On WallStreet Internet Trader Pro 7 – What's New?
`(Dec. 2, 1998), available at
`http://web.archive.org/web/19981202154050/http://www.windowo
`nwallstreet.com/whatsnew.html.
`Exhibit 1014 Paul Luebbe, AIQ Opening Bell Monthly Vol. 8, Issue 10,
`October 1999.
`Exhibit 1015 U.S. Patent 5,954,793 (issued Sep. 21, 1999).
`
`
`
`Exhibit 1016 Geoff Ficke, Carrier Pigeons Helped Create the Worlds Most
`Famous Banking Fortune, Ezine Articles, available at
`http://ezinearticles.com/?Carrier-Pigeons-Helped-Create-the-
`Worlds-Most-Famous-Banking-Fortune&id=1711198.
`Exhibit 1017 Alexander Elder, Trading for a Living (John Wiley & Sons, 1993)
`at 69
`Exhibit 1018 Complaint, Markets-Alert Pty. v. Bloomberg Finance L.P., No.
`1:12-cv-00780-GMS (D. Del June 20, 2012).
`Exhibit 1019 Complaint, Markets-Alert Pty. v. The Charles Schwab Corp., No.
`1:12-cv-00781-GMS (D. Del June 20, 2012).
`Exhibit 1020 Complaint, Markets-Alert Pty. v. TD Ameritrade Holding, No.
`1:12-cv-00783-GMS (D. Del June 20, 2012).
`Exhibit 1021 Complaint, Markets-Alert Pty. v. E*Trade Clearing LLC, No.
`1:12-cv-00782-GMS (D. Del June 20, 2012).
`Exhibit 1022 Complaint, Markets-Alert Pty. v. OM Securities, LLC, No. 1:12-
`cv-00784-GMS (D. Del June 20, 2012).
`Exhibit 1023 Complaint, Markets-Alert Pty. v. eSignal.com, Inc., No. 1:99-mc-
`09999 (D. Del June 20, 2012).
`Exhibit 1024 Image File Wrapper, U.S. Patent No. 7,941,357 (issued May 10,
`2011).
`Exhibit 1025 LINN SOFTWARE Investment Software – What’s New in 4.6
`(August 16, 2000), available at
`http://web.archive.org/web/20000816063115/http://www.linnsoft.
`com/new/index.html.
`Exhibit 1026 Investor/RT Tour (August 18, 2000), available at
`http://web.archive.org/web/20000818211350/http://www.linnsoft.
`com/tour/index.htm.
`Exhibit 1027 Investor/RT Tour – Technical Indicators (May 12, 2000), available
`at
`http://web.archive.org/web/20000512005220/http://www.linnsoft.
`com/tour/technicalindicators.htm.
`Exhibit 1028 Investor/RT Tour – Alarm Preferences (May 22, 2000), available
`at
`http://web.archive.org/web/200005222325275/http://www.linnsoft
`.com/tour/prefs_alarms.htm.
`Exhibit 1029 Investor/RT Tour –Alarms/Alerts (August 19, 2000), available at
`http://web.archive.org/web/200008190803135/http://www.linnsoft
`.com/tour/alerts.htm.
`Exhibit 1030 Investor/RT Tour –myTrack Preferences (February 29, 2000),
`available at
`
`
`
`http://web.archive.org/web/20000229053607/http://www.linnsoft.
`com/tour/prefs_mytrack.htm.
`Exhibit 1031 Investor/RT Tour –Scans (February 29, 2000), available at
`http://web.archive.org/web/20000229160235/http://www.linnsoft.
`com/tour/scans.htm.
`Exhibit 1032 Investor/RT Tour – Instrument Setup (April 7, 2000), available at
`http://web.archive.org/web/20000407193607/http://linnsoft.com/to
`ur/instrumentsetup.htm.
`Exhibit 1033 Press Release, PR Newswire, Data Broadcasting Launches Esignal
`Version 5.3 with Enhanced Alerts Capabilities And Improved
`Nasdaq Level II Tools (June 12, 2000).
`Exhibit 1035 Transcript of the August 28, 2013 deposition of Markets-Alert’s
`technical expert, Mr. Neal Goldstein
`Exhibit 1036 U.S. Patent 7,873,555 to Kraemer
`Exhibit 1037 PCT WO00/28487 to Chrapaty
`Exhibit 1038 PCT WO98/58356 to Keilani
`Exhibit 1039 PCT WO00/33217 to Ambrose
`Exhibit 1040 U.S. Patent 5,938,732 to Lim
`Exhibit 1041 U.S. Patent 4,554,418 to Toy
`Exhibit 1042 Errata sheets for transcript of Mr. Neil Goldstein’s August 28,
`2013 deposition
`Exhibit 1044 Transcript of the August 20, 2013 deposition of Markets-Alert’s
`expert, Mr. Graham Maxwell Lindsay, filed herewith
`Exhibit 1045 Second Declaration of Graham Maxwell Lindsay, as provided to
`Petitioners by Markets-Alert, filed herewith
`Exhibit 1046 Petitioners’ Demonstrative Exhibits for Oral Hearing
`
`
`
`CERTIFICATE OF SERVICE
`
`Pursuant to 37 C.F.R. § 42.63(e), the undersigned certifies that the foregoing
`Petitioners’ List of Exhibits was served electronically on December 16, 2013 at the
`following addresses of record for the subject patent:
`
`Andrew Y. Choung
`Arlyn Alonzo
`Adrian Pruetz (Pro Hac Vice)
`GLASER WEIL FINK JACOBS HOWARD AVCHEN & SHAPIRO
`LLP
`10250 Constellation Boulevard, 19th Floor
`Los Angeles, CA 90067
`achoung@glaserweil.com
`apruetz@glaserweil.com
`aalonzo@glaserweil.com
`Tel.: 310-553-3000
`Fax: 310-785-3506
`
`/ Michael T. Rosato /
`Michael T. Rosato
`
`
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