`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`TD AMERITRADE HOLDING CORP., TD AMERITRADE, INC., and
`
`TD AMERITRADE ONLINE HOLDINGS CORP.,
`
`Petitioners
`
`V.
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`TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`
`Patent Owner
`
`Case CBM2014-00131
`
`Patent 7,533,056
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`Mail Stop “PA TENT BOARD”
`Patent Trial and Appeal Board
`US. Patent and Trademark Office
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`PO. Box 1450
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`Alexandria, VA 22313-1450
`
`
`
`CBM2014-0013l
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`US. Patent No. 7,533,056
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`Pursuant to Order (Paper 27) and further to 37 C.F.R. § 42.63 (e) , Petitioners
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`TD Ameritrade Holding Corp., TD Ameritrade, Inc. and TD Ameritrade Online
`
`Holdings Corp. hereby submit a current listing of Exhibits to counsel for Patent
`
`Owner, Trading Technologies International, Inc.
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`Petitioner’s Updated Exhibit List
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`
`
`Exh. No. Description
`
`1001
`US. Patent No. 7,533,056 to Friesen et al. (“’056 patent”)
`
`
`1002
`
`File History of Application Ser. No. 11/417,544, which becanée the
`’05 6 patent, as filed and obtained from PAIR (“’056 Patent File
`
`History”)
`
`1083
`“Futures/Option Purchasing System Trading Terminal Operation
`
`Guide,” Tokyo Stock Exchange (“TSE JP”)
`
`
`
`
`
`
`1004
`Certified Translation of “Futures/Option Purchasing System Trading
`
`Terminal Operation Guide” (“TSE”)
`
`Certificate of Translation fbr “Futures/Option Purchasing System
`1005
`LTrading Terminal Operation Guide” (“TSE Certificate”)
`1006
`Memorandum from James M. Hilmert to eSpeed file regarding
`direct examination of TSE’s 30(b)(6) witness, dated December 5,
`
`2005 (“Depo. Letter”)
`
`1007
`
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. 04-cv—53l2, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Depo. Transcript”)
`
`
`
`1008
`US. Patent No. 5,375,055 to Togher et al. (“Togher”)
`
`
`1009
`US. Patent No. 5,619,631 to Schott (“Schott”)
`
`1010
`
`1011
`
`US. Patent No. 5,136,501 to Silverman et al. (“Silverman”)
`
`US. Patent No. 5,414,809 to Hogan et al. (“Hogan”)
`
`
`
`1012 US. Patent No. 5,297,031 to Gutterrnan et al. (“Gutterman”)
`
`
`
`US. Patent No. 7,533,056
`
`
`1013
`US. Patent No. 5,454,104 to Steidlmayer et al. (“Steidlmayer”)
`
`1014
`Reuters Globex User Guide, June 1995 (“Globex”)
`
`
`CBM2014—00 1 31
`
`1015
`Alan Cooper, “About Face: The Essentials of User Interface
`
`Design,” First Edition, 1995. (“Cooper”)
`
`Edward R. Tufte, “The Visual Display of Quantitative Information,”
`£016
`1983 (“Tufte VDQI”)
`
`
`Edward R. Tufte, “Envisioning Information,” Third Edition,
`1017
`
`December 1992 (“Tufte El”)
`
`
`
`
`
`1018
`
`Ben Shneiderman, “Designing the User Interface: Strategies for
`Effective Human-Computer Interaction,” Third Edition, 1998
`
`(“Shneiderman”)
`
`1019
`Sunny J. Harris, “Trading 101 — How to Trade Like a Pro,” 1996
`
`(“Harris”)
`
`£020
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`
`
`1021
`Sun Microsystems, Inc., “Open LookTM Graphical User Interface
`
`Functional Specification,” November 1989 (“Open Look”)
`
`1022
`
`Valerie Quercia et al., “X Window System User’s Guide,”
`OSF/Motif 1.2 Edition, The Definitive Guides to the X Window
`
`System, Vol. 3, August 1993 (“Quercia”)
`
`Richard W. Arms Jr., “Profits in Volume — Equivolume Charting,”
`1023
`
`1975 (“Arms”)
`
`Definition of “default,” The Computer Glossary, Fifth Edition, 1991
`1324
`
`page 175. (“Computer Glossary”)
`
`1025
`
`Definition of “default,” The Illustrated Dictionary of
`Microcomputers, Third Edition, 1990, page 90. (“Illustrated
`
`Dictionary”)
`
`Definition of “default,” Webster’s New World College Dictionary,
`1026
`
`Fourth Edition, 2007, page 378. (“Webster’s”)
`
`1627
`
`Microsoft Computer Dictionary, Fifth Edition, 2002, pages 102,
`150, 174, 176, and 348 (“Microsoft Computer Dictionary”)
`
`1028
`
`Defendants’ Memorandum of Law In Support of Joint Motion for
`Summary Judgment That the ’056 Patent is Invalid Under 35 U.S.C.
`§ 112 ‘J 1 for Lack of Written Description, Trading Technologies
`
`-2-
`
`
`
`US. Patent No. 7,533,056
`
`International, Inc. v. BCG Partners, Inc., Case No. 1:10-cv-00715,
`
`United States District Court for the Northern District of Illinois,
`
`CBM2014-00131
`
`Eastern Division, filed August 15, 2011 (“SJ Motion”)
`
`1029
`
`Trading Technologies International Inc.’s (1) Opposition to
`Defendants’ Joint Motion for Summary Judgment That the ’056
`Patent is Invalid Under 35 U.S.C. § 112 *fi 1 for Lack of Written
`Description and (2) Cross Motion for Summary Judgment That the
`’056 Patent Meets the Written Description Requirement Set Forth in
`35 U.S.C. § 112 fl 1, Trading Technologies International, Inc. v.
`BCG Partners, Inc, Case No. 1:10-cv-00715, United States District
`Court for the Northern District of Illinois, Eastern Division, filed
`
`September 14, 2011 (“SJ Opposition”)
`
`1030
`
`Memorandum Opinion and Order, Trading Technologies
`International, Inc. v. BCG Partners, Inc., Case No. 1:10—cv-00715,
`United States District Court for the Northern District of Illinois,
`
`Eastern Division, filed February 9, 2012 (“SJ Opinion”)
`
`1031
`
`Vernon L. Smith, “An Experimental Study of Competitive Market
`Behavior,” The Journal of Political Economy, Vol. LXX, No. 2,
`April 1962 (“Smith”)
`
`
`Declaration of Kendyl A. Roman (“Roman Decl.”)
`1032
`
`
`Declaration of Maho Taniguchi—Speller
`
`
`
`Curriculum Vitae of Kendyl A. Roman (“Roman CV”)
`1033
`
`1034
`
`List of Materials Considered by Kendyl A. Roman (“Roman List of
`
`Materials”)
`
`Official Transcript of Conference Call held January 20, 2015
`1035
`
`
`Declaration of Ronald E. Skidmore
`1036
`
`1037
`
`1038
`
`Declaration of Eiken Hino
`
`
`
`CBM2014-00131
`US. Patent No. 7,533,056
`
`
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`Declaration of Akiko Rosenberry
`
`1039
`
`1040
`
`Declaration of Courtney O’Connell
`
`Respectfully submitted,
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`A. Gordon (Reg. No. 50,633)
`Jonathan M. Strang (Reg. No. 61,724)
`Attorneys for Petitioners
`
`Date: March 12, 2015
`
`1100 New York Avenue, N.W.
`
`Washington, DC. 20005-3934
`(202) 371-2600
`
`
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`CERTIFICATION OF SERVICE
`
`CBM2014-00131
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`US. Patent No. 7,533,056
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`The undersigned hereby certifies that the foregoing PETITIONER TD
`
`AMERITRADE’S UPDATED EXHIBIT LIST and Exhibit 1040 were served on
`
`March 12, 2015, in their entirety via email on the following:
`
`Erika H. Amer (Lead Counsel)
`Joshua L. Goldberg (Back-up Counsel)
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`
`erika.arner@finnegan.com
`joshua.goldberg@finnegan.corn
`
`Steven F. Borsand (Back-up Counsel)
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`steve.borsand@tradingtechnologies.com
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
` . Gordon (Reg. No. 50,633)
`
`Jonathan M. Strang (Reg. No. 61,724)
`Attorney for Petitioners
`
`Date: March 12, 2015
`
`1100 New York Avenue, N.W.
`
`Washington, D.C.20005-3934
`(202) 371-2600
`
`