UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`TD AMERITRADE HOLDING CORP, TD AMERITRADE, INC., and
`
`TD AMERITRADE ONLINE HOLDINGS CORP,
`Petitioners
`
`V.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`Patent Owner
`
`Case CBM2014-00131
`
`Patent 7,533,056
`
`PETITIONER NOTICE OF FILING
`
`HEARING TRANSCRIPT
`
`Mail Stop “PA TENT BOARD ”
`Patent Trial and Appeal Board
`US. Patent and Trademark Office
`
`PO. Box 1450
`
`Alexandria, VA 22313—1450
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`TD AMERITRADE HOLDING CORP, TD AMERITRADE, INC., and
`
`TD AMERITRADE ONLINE HOLDINGS CORP,
`Petitioners
`
`V.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`Patent Owner
`
`Case CBM2014-00131
`
`Patent 7,533,056
`
`PETITIONER NOTICE OF FILING
`
`HEARING TRANSCRIPT
`
`Mail Stop “PA TENT BOARD ”
`Patent Trial and Appeal Board
`US. Patent and Trademark Office
`
`PO. Box 1450
`
`Alexandria, VA 22313—1450
`
`
`
`CBM2014-00131
`
`US. Patent No. 7,533,056
`
`Pursuant to the Board’s oral order at the hearing held April 16, 2015,
`
`Petitioners hereby serve notice that the official transcript is filed concurrently with
`
`this Notice as Exhibit No. 1041.
`
`Petitioners’ updated Exhibit List is also attached for the Board’s
`
`consideration.
`
`Respectfully submitted,
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`1
`
`'
`
`
`Aw“,
`a
`,,
`
`y
`L/r“ /
`.
`Jonathan M. Strang
`g. No. 50,633)
`Lori A. Gordon (
`Attorneys for Petitioners
`
`I
`
`e’
`
`Date: April 17, 2015
`l 100 New York Avenue, NW.
`
`Washington, DC. 20005—3934
`(202) 371-2600
`
`
`
`CBM2014—00 l 31
`
`US. Patent No. 7,533,056
`
`Petitioner’s Updated Exhibit List
`
`
`I——_E)(h. No.
`Description
`
`
`1001
`
`
`US. Patent No. 7,533,056 to Friesen et al. (“’056 patent”)
`
`1002
`
`File History of Application Ser. No. l l/4l7,544, which became the
`’056 patent, as filed and obtained from PAIR (“’056 Patent File
`
`History”)
`
`1003
`
`“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 for “Futures/Option Purchasing System
`1005
`Trading Terminal Operation Guide” (“TSE Certificate”)
`
`
`
`
`
`
`
`1006
`
`1007
`
`1008
`
`1009
`
`Memorandum from James M. Hilmert to eSpeed file regarding
`direct examination of TSE’s 30(b)(6) witness, dated December 5,
`2005 (“Depo. Letter”)
`
`
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc, v. eSPEED, Inc., Case No. 04—cv—5312, United
`
`States District Court, Northern District of Illinois, Eastern Division,
`
`dated November 21, 2005 (“Depo Transcript”)
`
`
`US. Patent No. 5,375,055 to Togher et al. (“Togher”)
`
`US. Patent No. 5,619,631 to Schott (“Schott”)
`
`
`
`1010
`US. Patent No. 5,136,501 to Silverman et al. (“Silverman”)
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
`
`l
`
`1016
`
`
`US. Patent No. 5,414,809 to Hogan et al. (“Hogan”)
`
`
`US. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`
`US. Patent No. 5,454,104 to Steidlmayer et al. (“Steidlmayer”)
`
`Reuters Globex User Guide, June 1995 (“Globex”)
`
`
`Alan Cooper, “About Face: The Essentials of User Interface
`Design,” First Edition, 1995. (“Cooper”)
`Edward R. Tufte, “The Visual Display of Quantitative Information,”
`
`
`
`US. Patent No. 7,533,056
`
`
`CBM2014—00131
`
`
`1983 (“Tufte VDQI”)
`
`Edward R. Tufte, “Envisioning Information,” Third Edition,
`
`December 1992 (“Tufte E1”)
`
`Ben Shneiderman, “Designing the User Interface: Strategies for
`Effective Human—Computer Interaction,” Third Edition, 1998
`
`(“Shneiderman”)
`
`1017
`
`1018
`
`1019
`
`Sunny J. Harris, “Trading 101 — How to Trade Like a Pro,” 1996
`(“Harris”)
`
`
`
`
`
`
`
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`1020
`~'_1
`
`Sun Microsystems, Inc., “Open LookTM Graphical User Interface
`Functional Specification,” November 1989 (“Open Look”)
`
`1021
`
`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”)
`
`1023
`
`Richard W. Arms Jr., “Profits in Volume - Equivolume Charting,”
`1975 (“Arms”)
`
`1024
`
`Definition of “default,” The Computer Glossary, Fifth Edition, 1991
`page 175. (“Computer Glossary”)
`
`1025
`
`Definition of “default,” The Illustrated Dictionary of
`Microcomputers, Third Edition, 1990, page 90. (“Illustrated
`Dictionary”)
`
`1026
`
`Definition of “default,” Webster’s New World College Dictionary,
`Fourth Edition, 2007, page 378. (“Webster’s”)
`
`1027
`
`Microsoft Computer Dictionary, Fifth Edition, 2002, pages 102,
`150, 174, 176, and 348 (“Microsoft Computer Dictionary”)
`
`Defendants’ Memorandum of Law In Support of Joint Motion for
`Summary Judgment That the ”056 Patent is Invalid Under 35 U.S.C.
`§ 112 11 1 for Lack of Written Description, 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 August 15, 2011 (“SJ Motion”)
`
`1028
`
`1029
`
`Trading Technologies International Inc.’s (1) Opposition to
`
`Defendants’ Joint Motion for Summary Judgment That the ’056
`
`-4-
`
`
`
`US. Patent No. 7,533,056
`
`
`CBM2014-00131
`
`Patent is Invalid Under 35 U.S.C. § 112 11 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 11 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, N0. 2,
`
`
`April 1962 (“Smith”)
`
`Declaration of Kendyl A. Roman (“Roman Decl.”)
`1032
`
`
`
`_|
`
`
`
`
`1033
`
`1034
`
`Curriculum Vitae of Kendyl A. Roman (“Roman CV”)
`
`
`List of Materials Considered by Kendyl A. Roman (“Roman List of
`
`Materials”)
`
`1035
`
`Official Transcript of Conference Call held January 20, 2015
`
`
`1036
`Declaration of Ronald E. Skidmore
`
`
`1037
`Declaration of Maho Taniguchi—Speller
`
`1038
`
`
`Declaration of Eiken Hino
`
`1039
`
`1040
`
`
`Declaration of Akiko Rosenberry
`
`Declaration of Courtney O’Connell
`
`1041
`
`April 16, 2016 Hearing Transcript
`
`
`
`CBM2014-00131
`
`US. Patent No. 7,533,056
`
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that the foregoing PETITIONER
`
`NOTICE OF FILING HEARING TRANSCRIPT was served electronically via
`
`e—mail on April 17, 2015 in its entirety on the following:
`
`Erika H. Arner (Lead Counsel)
`Joshua L. Goldberg (Back Up Counsel)
`Kevin D. Rodkey (Back Up Counsel)
`Steven F. Borsand (Back Up Counsel)
`Erika.arner@finnegan.com
`Joshua. oldber
`finne an.coni
`
`Kevin.rodkey@finnegan.com
`Steve.borsand@tradingtechnologies.com
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
` .
`
`I
`,
`
`1
`
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`
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`
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`/
`../// 1/
`Jonathan M
`
`Reg. No. 6 ,724
`Attorney for Petitioner
`
`Date: April 17, 2015
`
`l 100 New York Avenue, NW.
`
`Washington, DC 20005
`(202) 371—2600
`
`
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