`
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`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 CBM2014-00133
`
`Patent 7,676,411
`
`
`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
`
`
`
`CBM2014-00133
`
`US. Patent No. 7,676,411
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`Pursuant to the Board’s oral order at the hearing held April 16, 2015,
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`Petitioners hereby serve notice that the official transcript is filed concurrently with
`
`this Notice as Exhibit No. 1026.
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`Petitioners’ updated Exhibit List is also attached for the Board’s
`
`consideration.
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`Respectfully submitted,
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`/‘
`x
`
`*
`
`
`’ " /“/7/
`,«
`Jonathan M. Srfrang (Reg. No. 61,724)
`Lori A. Gordon (Reg. No. 50,633)
`Attorneys for Petitioners
`
`Date: April 17, 2015
`l 100 New York Avenue, NW.
`
`Washington, DC. 20005-3934
`(202) 371-2600
`
`
`
`Petitioner’s Updated Exhibit List
`
`CBM2014-00133
`
`US. Patent No. 7,676,411
`
`
`
`
`
`
`
`DescriptionExh. No. _]
`—1
`
`
`
`1001 US. Patent No. 7,676,411 to Kemp, 11 et al. (“”411 patent”)
`
`1002
`
`File History of Application Ser. No. 11/585,907, which became the
`’411 patent, as filed and obtained from PAIR (“’41 1 Patent File
`History”)
`
`_i
`1003 US. Patent No. 5,077,665 to Silverman er al. (“Silverman”)
`
`
`
`
`
`1004 US. Patent No. 5,297,031 to Gutterman er a]. (“Gutterman”)
`
`_LU‘S' Patent No. 5,375,055 to Togher et al. (“Togher”)
`1005
`“Futures/Option Purchasing System Trading Terminal Operation
`1006
`Guide,” Tokyo Stock Exchange (“TSE JP”)
`
`Certified Translation of “Futures/Option Purchasing System Trading
`1007
`Terminal Operation Guide” (“TSE”)
`
`Certificate of Translation for “Futures/Option Purchasing System
`1008
`Trading Terminal Operation Guide” (“TSE Certificate”)
`
`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”)
`
`
`
`(“Order Denying Reexam”)
`
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. O4—cv—5312, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Depo Transcript”)
`
`r 1
`
`Petition to Make Special Under 37 C.F.R. § 1.102(d) for Ser. No.
`011
`09/590,692, filed August 21, 2000 (“Petition to Make Special”)
`
`1010
`
`Request for Reexamination of US. Patent No. 6,772,132, Control
`1012
`No. 90/011,250, filed September 22, 2010 (“Reexam Request”)
`
`1013
`
`Order Denying Request for Reexamination of US. Patent No.
`6,772,132, Control No. 90/011,250, mailed December 14, 2010
`
`1014
`
`Alan Cooper, “About Face: The Essentials of User Interface
`Design,” First Edition, 1995. (“Cooper”)
`
`
`-3-
`
`
`
`US. Patent No. 7,676,411
`
`CBM2014-00133
`
`1015 7 Ben Shneiderman, “Designing the User Interface: Strategies for
`
`Effective Human—Computer Interaction,” Third Edition, 1998
`(“Shneiderman”)
`
`1016
`Microsoft Computer Dictionary, Fifth Edition, 2002, page 150
`
`(“Microsoft Computer Dictionary”)
`
`
`1017
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`
`
`1018
`US. Patent No. 5,263,134 to Paal er a]. (“Paal”)
`
`
`1019
`Declaration of Kendyl A. Roman (“Roman Decl.”)
`
`
`1020
`Curriculum Vitae of Kendyl A. Roman (“Roman CV”)
`
`1021
`List of Materials Considered by Kendyl A. Roman (“Roman List of
`
`Materials”)
`
`
`1022
`US. Patent No. 6,408,282 to Buist (“Buist”)
`
`
`1023
`Declaration of David Rho (“Rho Decl.”)
`
`
`1024
`Curriculum Vitae of David Rho (“Rho CV”)
`
`
`
`
`
`1025
`
`List of Materials Considered by David Rho (“Rho List of
`Materials”)
`
`
`1026
`April 16, 2015 Hearing Transcript
`
`
`
`CBM2014—00133
`
`US. Patent No. 7,676,411
`
`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.com
`
`Kevin.1‘0dkey(a2,finnegan.com
`Steve.borsand@tradingtechnologies.com
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`,/"
`
`I’d/W 0/7,
`/ ".i/x ,
`
`,1” _,
`Mr
`
`1-
`
`
`
`Jonathan M. S
`
`Reg. No. 61,724
`Attorney for Petitioner
`
`Date: April 17, 2015
`
`1 100 New York Avenue, NW.
`
`Washington, DC 20005
`(202) 371—2600
`
`