@"-~~~ UNITED STATES PATENT AND TRADEMARK OFFICE
`~M~
`
`UN(TED 81'AYES DEPARTMENT OF COMMERCE
`United States ratent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Bo~ 1450
`Alexandria, Virginia 2231 3-145D
`www.uspto.go~
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`02110/2004
`
`7590
`2142!!
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`ART UNIT
`
`3624
`
`PAPER NUMBER
`
`DATE MAILED: 02/10/2004
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`09/590,692
`
`06/09/2000
`
`Gal)' AIIan Kemp II
`
`02405110135
`
`2769
`
`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DlSPLAY OF MARKET DEPTH
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE fEE
`
`YES
`
`$25
`
`PUBLICAliON FEE
`so
`
`TOTAL FEE(S) DUE
`
`$2S
`
`DATE DUE
`
`05/10/2004
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ill! IRE MERITS IS CLOSED, THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT, SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`TIllS
`STATUTORY PERIOD CANNOT IlE EXTENDED.
`SEE 35 U.S.c. 151. THE ISSUE FEE DUE INDICATED ABOVE
`REFLECTS A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE APPLIED IN THIS APPLICATION. THE PTOL-85B (OR
`AN EQUIVALENT) MUST BE RETURNED WITHIN THIS PERIOD EVEN IF NO FEE IS DUE OR THE APPLICATION WILL
`BE REGARDED AS ABANDONED,
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`HOW TO REPLY TO THIS NOTICE:
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`l. Review the SMALL ENTITY status shown above.
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`See 37 CFR 1.27.
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`your ISSUE FEE and PUBLICATION FEE (if required). Even if Ihe fee(s) have already been paid, Part B .. Fee(s) Transmittal should be
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`I'TOL~85 (Rev 11/0.1) Approved for usc through 04/30/2004.
`
`Page 1 of3
`
`-------_._._-_.......-
`
`TRADING TECH EXHIBIT 2065
`TD Ameritrade v. Trading Technologies
`CBM2014-00133
`
`Page 1 of 7
`
`

`

`@.!-~i~~ UNITED STATES PATENT AND TRADEMARK OFFICE
`~~~
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United SCates Patent and Trademark Office
`Addttu: COMMISSIONER FOR PATENTS
`po. HOl{ 1450
`AlcKandria, Virginia 2231J-1450
`www.uspto.gov
`
`APPLICATION NO
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`091590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`024051/0135
`
`2769
`
`0211012004
`
`7590
`22428
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`ARTUNlT
`
`3624
`
`PAPER NUMBER
`
`DATE MAILED: 02/10/2004
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29,2000)
`
`The Patent Term Adjustment to date is 0 day(s). If the issue fee is paid on the date that is three months after the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 0 day(s).
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval
`(PAIR) system (http://pair.uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (703) 305-1383. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at (703) 305-8283.
`
`PTOL-85 (Rev. 11/(3) Approved for use through 04/30/2004.
`
`Page 3 of3
`
`Page 2 of 7
`
`

`

`Notice of Allowability
`
`Application No.
`
`09/590.692
`Examiner
`
`I Applicant(s)
`
`KEMP ET Al.
`Art Unit
`
`Richard C Weisberger
`
`3624
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`Ali claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
`herewith (or previously mailed). a Notice of Allowance (PTOl-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`ofthe Office or upon petition by the applicant See 37 CFR 1.313 and MPEP 1308.
`
`1. C8J This communication is responsive to amendment terminal disclaimer and interview summary.
`2. [2J The allowed c1alm(s) islare 22-70 and 89-93
`3. [2J The drawings filed on 12 August 2002 are accepted by the Examiner.
`4. 0 AcknoWledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) 0 All
`b) 0 Some'
`c) 0 None
`of the
`1. 0 Certified copies of the priority documents have been received.
`2. 0 Certified copies of the priority documents have been received in Application No. __ .
`3. 0 Copies of the certified copies of the priority documents have been received in this national stage application from the
`international Bureau (PCT Rule 172(a)).
`* Certified copies not received: __.
`5. [2J Acknowledgment is made of a claim for domestic priority under 35 U.S.C. § 119(e) (to a provisional application).
`(a) 0 The translation of the foreign language provisionai application has been received.
`6.0 Acknowledgment is made of a claim for domestic priority under 35 U.S.C §§ 120 andlor 121.
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying With the requirements noted
`below Failure to timely comply will result in ABANDONMENT of this application. THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`7.0 A SUBSTITUTE OATH OR DECLARATION must be sUbmilled. Note the allached EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient
`
`8. 0 CORRECTED DRAWINGS must be sUbmitted.
`(a) 0
`Including changes required by the Notice of Draftsperson's Patent DraWing Review ( PTO-948) allached
`1) 0 hereto or 2) 0
`to Paper No. __.
`inclUding changes required by the proposed draWing correction filed __, which has been approved by the Examiner.
`including changes reqUired by the allached Examiner's Amendment I Comment or in the Office action of Paper No. __.
`
`(b) 0
`(c) 0
`
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the top margin (not the back)
`of each sheet. The drawings should be filed as a separate paper with a transmittal letter addressed to the Official Draftsperson.
`
`9. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`allached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL
`
`Attachment(s)
`
`1~ Notice of References Cited (PTO-892)
`30 Notice of Draftperson's Patent Drawing Review (PTO-948)
`5~ Information Disclosure Statements (PTO-1449), Paper No._
`70 Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`20 Notice of Informal Patent Application (PTO-152)
`40 Interview Summary (PT0-413), Paper No.__ .
`60 Examiner's Amendment/Comment
`80 Examiner's Statement of Reasons for Allowance
`90 Other
`
`c--,uT's".P;P.;;;";;;;otC;;.~o"dCTT;;;"d~.;;;m.~,k"oiiiff;;;ice;-------------------
`
`.-J
`
`PTO-37 (Rev. 04-01)
`
`Notice of Allowability
`
`Part of Paper No. 28 .
`
`Page 3 of 7
`
`

`

`Application/Control Number 09/590,692
`Art Unit 3624
`
`Page 2
`
`Allowable Subject Matter
`
`1.
`
`The following is an examiner's statement of reasons for allowance: The following
`
`is an examiner's statement of reasons for allowance: This statement of reasons for
`
`allowance includes the major differences in the claims not
`
`found in the prior art of
`
`record and reasons why that differences are considered to define patentably over the
`
`prior art. The statement is not intended to necessarily state all the reasons for allowance
`
`or all the details why claims are allowed and should not be relied upon for this purpose.
`
`Rather, this statement reflects what the examiner considers important and therefore the
`
`primary reasons for the allowance of the claims.
`
`The primary reason for allowance is the limitation directed to the "dynamic
`
`display" of a plurality of the quantity of bids and asks aligned with a "static display" of
`
`corresponding prices. Here, unlike the prior art, the "static" display of prices is just that,
`
`static, and does not move in response to a change in the inside market. With this
`
`display of market depth, claimed in each of the independent claims, a trader places a
`
`trade order with the pointer in the area of the order entry region of the dynamic market
`
`depth region, through a single computer implemented action, see Figures 3 and 4. For
`
`example, in figure 3, a click on Bid Q 18 will send an order to the market to sell 17 lots
`
`of the commodity at a price of 89.
`
`The closest prior art including US Patent 6,408,282, peT WO 01/16852 and
`
`commonly owned non-patent literature "X Trader" (see, applicant's response to
`
`USPTO's request for information) all
`
`lack this feature. The PTO also inquired as to the
`
`subject matter of alleged infringement referenced in applicant's petition to make
`
`Page 4 of 7
`
`

`

`Application/Control Number: 09/590,692
`Art Unit: 3624
`
`Page 3
`
`special The USPTO found no evidence of public use or any printed pUblication of the
`
`system known as J Trader, the subject matter of potential infringement and the
`
`applicant's basis for his petition to make special, earlier than November 6, 2000.
`
`Therefore, the USPTO has concluded that the system known as J trader is not prior art
`
`to the instant application which has a filing date of June 06, 2000.
`
`2.
`
`Any comments considered necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays, should preferably
`
`accompany the issue fee Such submissions should be clearly labeled "Comments on
`
`Statement of Reasons for Allowance."
`
`Any comments considered necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays, should preferably
`
`accompany the issue fee. Such submissions should be clearly labeled "Comments on
`
`Statement of Reasons for Allowance."
`
`Respectfully
`
`By,
`
`_
`
`Richard Weisberger
`
`Page 5 of 7
`
`

`

`PART B - FEE(S) TRANSMITTAL
`Complete and send this form, IOgether·niih applicable fee(s), to: Mail
`
`Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`orIn
`(703) 746-4000
`INSTRUCTIONS: This fonn should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 4 should be completed where
`appropriate. All further correspondence including the Patent, advance orders andnotification of maintenance fees will be mailed to the current correspondence address as
`mdicated unless corrected below or directed otherwise in Block J, by (a) specifymg a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notificalions.
`CliRRENT CORRESPONDENCE ADDRESS INole' Legibly m~rk-up with any C<HTeetions or UJ,e Block 1)
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`pape~. Each add.itional pape~, .such as an a~sjgnment or fonnal drawing, must
`have Its own certificate ofmallmg or transmiSSion.
`
`Certificale of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal S'ervice with sufficient postage for first class mail in an enveloEe
`addressed to the Mail Stop ISSUE FEE' address above, or being facsimile
`,n,milled to the USPTO, on the date indialled below.
`
`(Oopooi.t. ,~.)I
`
`(SJ.gJIB.\un),
`
`(Dille)
`
`I"
`
`021 J012004
`
`7590
`22428
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`APPLICATION NO.
`
`FlUNG DATE
`
`FiRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMAnON NO.
`
`09/590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`024051/0135
`
`2769
`
`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY Of MARKET DEPTH
`
`APPLN. TYPE
`
`SMALl ENTITY
`
`nonprovisiona!
`
`YES
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`ISSUE FEE
`
`$25
`
`ART UNIT
`
`3624
`
`PUBLICATION 1"[[
`
`TOTAL FEE(S) DUE
`
`$0
`
`$25
`
`DATE DUE
`
`05/10/2004
`
`CLASS·SUBCLASS
`
`705-037000
`
`I. Change of correspondence address or indication of "Fee Address" (37
`CFR I.J63).
`o Change of correspondence address (or Change of Correspondence
`Address fonn PTO/S81 122) attached.
`o "Fee Address" indication (or "Fee Address" Indication fonn
`PTO/SB/47; Rev 03-02 or more recent) attached. Use ora CuslGmer
`Number is required.
`
`2. For printing on the patent front page, list (I) the
`names of up to 3 registered patent attorneys or
`agenlS OR, alternatively, (2) the name of a single
`firm (having as a member a registered attorney or
`agent) and the names of up to 2 registered patent
`attorneys or agents. If no name is listed, no name
`will be printed.
`
`2.
`
`3,
`
`FOLEY & LARDNER
`
`_
`
`_
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. Inclusion of assignee data is only appropriate when an assignment has
`been previously submitted to the USPTO or is being submitted tinder separate cover. Completion of this fonn is NOT a substitute for filing an assignment.
`(B) RESIDENCE; (CITY and STATE OR COUNTRY)
`(Al NAME OF ASSIGNEE
`Trading Technologies
`Chicago,
`International,
`Inc.
`Please check the appropriate assignee calegory or categories (will not be primed on the patent);
`4a. The following feels) are enclosed:
`4b. Payment of Fee{s):
`'Xl Issue Fee
`lO A check in the amount of the fee(s) is enclosed.
`r.J Payment by credit card. Fonn PTO~2038 is attached.
`Q Pubhcation Fee
`Q Advance Order - # of Copies
`X) The Director is hereby "u1hOW4d by charge the required fee(s), or credit any overpayment, to
`Deposit Account Number 1 Y-v I '" 1
`(enclose an extra copy of this fonn).
`
`0 individual
`
`1tI corporation or other private group entity
`
`0 government
`
`IL
`
`Director for Patents is requested to apply the Issue Fee and Publication Fee (if any) or to re-apply any previously paid issue fee to the application identified aoove.
`/2
`(AUlhonzodS'r'"fjfe) U.{Y<:"'----- 4-1614-
`(Date) 3j3!01-
`William T. Ellis. Reg. 1/21.874 3/8/2004
`NOTE; The Issue Fee and Publication Fee (if required) will not be accepted from anyone
`other lhan the applicant; a registered attorney or agent; or the assignee or other party in
`inll:n:st as shown by lhe records of the United States Patent and Trademark Office.
`This collection of infonnation is required by 37 CFR 1.311. The infonnation is required to
`obtain or retain a benefit by the public whIch is to file (and by the USPTO to process) an
`application. Confidentiality IS governed by 35 U.S.c. 122 and 37 CFR 1.14. This collection is
`esllrnaled to lake 12 mmutes to complete. including ~athering. preparing, and submitting the
`completed applicallon form to the USPTO. Time Will vary depending upon the indiVidual
`case. Any comments on the amount of time you require to complete this fonn and/or
`suggestions for reducing this burden, should be sent to the Chief Infonnation Officer, U.S.
`Patent and Trademark Office. U.S. Department of Commerce. Alexandria, Virginia
`22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS.
`SEND TO: Commissioner for Patents, Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a
`collection of infonnation unless it displays a valid OMS control number.
`
`TRANSMIT THIS FORM WITH FEE(S)
`
`PTOL-85 (Rev. 11/03) Approved for use through 04/30/2004.
`
`OMB 0651-0033
`
`U.S. Patenl and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`-----------_.__._.-
`
`Page 6 of 7
`
`

`

`02/18/2004 13:18 FAX
`
`F&L SERVICE CTR
`
`'--"
`
`Application/Control No.
`
`........,.
`
`Notice of References Cited
`
`09/5130,692
`
`Examiner
`
`Richard C Weisberger
`
`3624
`
`U.S. PATENT DOCUMENTS
`
`Applicant(s)/~8tent Under
`Reexamination
`KEMP ET A~.
`Art Unit
`
`[lJ 008
`
`liM)
`
`Page 1 of 1
`
`*
`
`Documenl Number
`countl)l CDda-Number-Kind Code
`
`Dale
`MM-YVYY
`
`Name
`
`Classification
`
`A US-
`
`B
`
`C
`
`D
`
`E
`
`F
`
`G
`
`US·
`
`US-
`
`US-
`
`US-
`
`US-
`
`US-
`
`H
`
`US-
`
`, US·
`us-
`
`J
`
`US·
`
`US·
`
`US-
`
`Document Number
`Country Coda-Number-I<in~ COde
`
`Dale
`MM-VVYY
`
`Country
`
`Name
`
`Classification
`
`FOREIGN PATENT DOCUMENTS
`
`NON·PATENT DOCUMENTS
`
`Include as applicable: Aulhor. Tltla Date, Publisher, Edition or Volume, pertinent Pages)
`
`K
`
`\.
`
`M
`
`N 0 P Q R S T
`
`'It
`
`*
`
`U
`
`Pasystems News Release, PATSYSTEMS LAUNCHES J TRADER, November 06 2001.
`
`V
`
`W
`
`X
`
`.
`
`A copy of thIs. rererence ,s nol beong rurn,stled with (his Office acllon. (Saa MPEP § 707.05(a).)
`Date.. in MM-YYYY formlll ar~ publlc:\llon d:ltes:. Classifications may be US or foreign
`
`U.S. P"blnr and Tr.demark Onlce
`PTO·B92 (Rev, 01-2001)
`
`Notice of References Cited
`
`Part of Paper No. 26
`
`Page 7 of 7
`
`