Case: 1:10-cv-00715 Document #: 425-2 Filed: 10/21/11 Page 1 of 7 PageID #:20500
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`EXHIBIT 5
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`TDA 1045
`TD Ameritrade v. TT
`CBM2014-00131
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`

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`Case: 1:10-cv-00715 Document #: 425-2 Filed: 10/21/11 Page 2 of 7 PageID #:20501
`Case: 1:10—cv—00715 Document #2 425-2 Filed: 10/21/11 Page 2 of 7 Page|D #:20501
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`UNITED STATES DISTRICT COURT
`NORTHERN DISTRICT OF ILLINOIS
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`EASTERN DIVISION
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`TRADING TECHNOLOGIES
`INTERNATIONAL, INC.
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`Plaintiff,
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`v.
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`BGC PARTNERS, INC.
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`Defendant.
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`Case No. 10 C 715
`(Consolidated with:
`10C716,1DC7l8,
`10 C 7'20, 10 C 721,
`l0C726,10C882,
`10C 883,1DC 884,
`10 C 835, 10 C 929,
`10 C 931)
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`Judge Virginia M. Kendall
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`SUPPLEMENTAL DECLARATION OF RICHARD HARTHEIMER
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`1, Richard Hartheirner, further declare as follows:
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`Introduction
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`26.
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`I have now reviewed Defendants’ Reply Memorandum of Law on Support of their
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`Joint Motion for Summary Judgment that the ‘O56 Patent is Invalid Under 35 U.S.C. § 112 '[| 1
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`for Lack of Written Description and the supporting Declaration of Bernard S. Donefer.
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`27.
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`Based on that review, I understand the Defendants are asserting that I did not find
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`any disclosure in the ‘056 patent of (1) “receiving a user input indicating a default quantity” or
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`(2) a default quantity that is “to be used to determine a quantity for each of a plurality of orders
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`to be placed by the user at one or more price levels.” This is not correct.
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`“Receiving a User Input Indicating a Default Quantity”
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`28.
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`In my initial declaration, I explicitly cited to the specif1cation’s disclosure of “the
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`manner in which a trader inputs (1 quamfitjy using the tokens 320, 324.” Hartheimer Decl. 1| 19
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`(citing ‘O56 Patent, col. 8:30-36) (emphasis added); see also Hartheimer Decl. 1| 12. This portion
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`of the specification states:
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`After being selected, the trader uajfusts the size of the offer or bid token 324, 320
`until the size of the token matches the desired quantity of the order. Preferably, a
`pop-up window or other screen indicator is displayed to show in numerical terms
`the quantity of the current size of the token, to ease the process of creating a
`properly sized order token.
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`‘056 Patent, col. 8:30-36 (emphasis added)).
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`29.
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`In my initial declaration, I also cited to originally-filed claim 2, which I
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`understand is part of the specification. Hartheimer Decl. 1| 24. This claim recites “an order token
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`whose size is aajfustable by the user to reflect the quantity of the order." ‘056 File History, at
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`TTXOI 328002 (emphasis added).
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`30.
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`This disclosure of the size (and thus the reflected default quantity) of a token 320,
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`324 being mgfustuble by a user serves as clear disclosure of a computer receiving a user input
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`indicating the disclosed default quantity. Indeed, when the user “adjusts” a token’s size (and
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`reflected default quantity), the user is clearly inputting into a computer—-and the computer is
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`thus receiVing—a new token size that indicates a new default quantity to be used for subsequent
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`orders.
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`31.
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`Accordingly, I reiterate my conclusion that the specification conveys to a person
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`of ordinary skill in the art that a computer receives a user input indicating the disclosed default
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`quantity.
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`Default Quantity that is “to be Used to Determine a Quantity for Each of a Plurality of
`Orders to be Placed by the User at One or More Price Levels”
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`32.
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`In my initial declaration, I concluded that “the specification conveys to a person
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`of ordinary skill in the art that each token’s size and quantity remain unchanged between orders,
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`and thus that the inventors were in possession of the concept of a default quantity to be usedfor
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`multiple orders.” Hartheimer Decl. 1[ 25 (emphasis added); see also Hartheimer Decl. W 14-20.
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`By this, I meant that the inventors were in possession of the concept of a default quantity “to be
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`used to determine a quantity for each of a plurality of orders to be placed by the user at one or
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`more price levels."
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`33.
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`The specification’s disclosure of the default quantity being “used to determine a
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`quantity for each of a plurality of orders to be placed by the user at one or more price level” can
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`also be illustrated by the following example. To begin, a user may adjust the size of bid token
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`324 to indicate a desired default quantity for buy orders.
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`See ‘056 patent, col. 8:30-33;
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`Hartheimer Decl {[11 12, 19. Thereafter, the user may drag and drop a copy of the bid token 324
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`at a first value on the value axis 332 and then select "OK” in the order pop-up window to
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`confinn a first buy order for the default quantity. See ‘056 patent, col. 8:36-53; Hartheimer Decl
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`1H[ 13, 20. The default quantity reflected by the bid token 324 will thus be used to determine the
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`quantity of the user's first buy order at the first price level. After placing the first buy order, the
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`bid token’s size and reflected default quantity will remain the same (unless adjusted by the user).
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`Hartheimer Decl. M 14-20, 25 (citing ‘O56 Patent, Fig. 3A-C, col. 8:30-53). At some later time,
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`the user may then drag and drop another copy of the bid token 324 at a second value on the value
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`axis 332 and then select "OK” in the order pop-up window to confirm a second buy order for the
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`default quantity. See ‘056 patent, col. 8:36-53; I-Iartheilner Decl W 13, 20. The default quantity
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`reflected by the bid token 324 will thus be used to determine the quantity of the user's second
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`buy order at the second price level. Accordingly, this example—which is based entirely on the
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`disclosure in the specification—demonstrates that the default quantity reflected by token is “used
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`

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`to determine a quantity for each of a plurality of orders to be placed by the user at one or more
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`price levels."
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`34.
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`In my initial declaration, I also concluded that the specification does not require a
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`user to indicate a quantity for each and every order. Hartheimer Decl. 1H[ 21-24.
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`Instead, as
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`disclosed in the specification, a user can adjust the size of a token 320, 324 once to indicate a
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`desired default quantity parameter and the computer will then use this indicated default quantity
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`parameter to determine the quantity for all subsequent orders placed with the token 320, 324
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`unless and until the user makes another adjustment of the token’s size (or further adjusts the
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`quantity in the order pop-up window).
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`35.
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`I understand the Defendants are asserting that the specification’s disclosure of a
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`user entering orders for the same quantity by copying, dragging, and dropping a token
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`representing that quantity for each order amounts to the user inputting a desired quantity
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`parameter for each and every order. This is not correct. When the user takes the action of
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`copying, dragging, and dropping a token, the user is simply placing a new order, which involves
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`(1) inputting the type of order being placed (by selecting either the bid token 320 or the offer
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`token 324) and (2) inputting a value (e.g., a price) for the order (by placing the selected token at
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`a certain location along value axis 332). The process of copying, dragging, and dropping the
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`token does not involve inputting a quantity, however. Rather, the action of inputting the quantity
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`to be used for the order occurs before the user copies, drags, and drops the token, when the user
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`adjusts the token to a new size that reflects a new default quantity. Moreover, as noted above,
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`the user does not have to take this action of inputting a quantity parameter for each individual
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`order. Rather, the user can simply rely on the preexisting default quantity reflected by the
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`token—which was previously input by the user—as the quantity to be used for the order.
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`36.
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`I also understand the Defendants are attempting to equate (a) placing orders for
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`the same quantity by repeatedly copying, dragging, and dropping a token 320, 324 representing
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`that quantity with (b) placing orders for the same quantity by “repeatedly re-entering” that
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`quantity parameter in the quantity box of the order task bar 328. This is not correct. When the
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`user places an order using a token, a user can forgo manual entry of a quantity parameter before
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`that order and instead rely on the preexisting default quantity parameter reflected by the token as
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`the quantity parameter to be used for the order. On the other hand, when the user places an order
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`using the order task bar 328, the user must always manually enter a quantity parameter in the
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`quantity box.
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`37.
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`Accordingly, I reiterate my conclusion that the specification conveys to a person
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`of ordinary skill in the art that the disclosed user-inputted default quantity is “to be used to
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`determine a quantity for each of a plurality of orders to be placed by the user at one or more price
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`levels.”
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`Declaration of Bernard S. Donefer
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`38.
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`I understand Mr. Donefer disputes my conclusion that the ‘056 patent discloses
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`the concept of a default quantity to be used for multiple orders.
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`I have reviewed Mr. Donefer’s
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`declaration, and I disagree with many of the assertions therein. At a minimum, for instance, I
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`disagree with the proposed definition of “default quantity" set forth in paragraphs 9 and 18 of
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`Mr. Donefer’s declaration.
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`I also disagree with factual assertions set forth in at least paragraphs
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`11-13, 15-16, and 13 of Mr. Donefer’s declaration.
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`I reserve the right to address the assertions in
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`Mr. Donefer’s declaration more fully at a later date.
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`39.
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`Even if I accept Mr. Donefer’s proposed definition of default quantity, however, I
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`still conclude that the specification implicitly discloses such a default quantity. This is because a
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`Case: 1:10-cv-00715 Document #: 425-2 Filed: 10/21/11 Page 7 of 7 PageID #:20506
`Case: 1:10—cv—OO715 Document #2 425-2 Filed: 10/21/11 Page 7 of 7 Page|D #220506
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`person of ordinary skill in the art would recognize that, when the user starts a new trading
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`session after the computer has been turned off‘, the tokens will exist and have some associated
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`quantity parameter before a first trade (which can then be adjusted by the user).
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`40.
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`Likewise, even if I accept Mr. Donefer’s factual assertions in paragraphs 11-13,
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`15-16, and 18, I still conclude that the specification conveys to a person of ordinary skill in the
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`art that the inventors were in possession of the concept of a default quantity to be used for
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`multiple orders.
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`I declare under penalty of perjury that the foregoing is true and correct and that this declaration
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`was executed on this day of October, 201 1, in lg; J
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`. pg , ‘L; s-| cm. A .