`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`TD AMERITRADE HOLDING CORP, TD AMERITRADE, INC., and
`
`TD AMERITRADE ONLINE HOLDINGS CORR,
`
`Petitioners
`
`V.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`
`Patent Owner
`
`
`
`Case CBM2014—00135
`
`Patent 6,772,132
`
`
`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
`
`
`
`CBM2014-00135
`
`US. Patent No. 6,772,132
`
`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. 1025.
`
`Petitioners’ updated Exhibit List is also attached for the Board’s
`
`consideration.
`
`Respectfully submitted,
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`it
`
` r//.), .7."
`/”/ / ;’//,~/ 5 r~
`Jonathan M. $4112; (Reg. No. 61,724)
`Lori A. Gordon (Reg. No. 50,633)
`Attorneys for Petitioners
`
`Date: April 17, 2015
`1 100 New York Avenue, NW.
`
`Washington, DC. 20005—3934
`(202) 371-2600
`
`
`
`Petitioner’s Updated Exhibit List
`
`CBM2014—00135
`
`US. Patent No. 6,772,132
`
`
`
`Exh No. Description
`
`
`1001
`US. Patent No. 6,772,132 to Kemp, H et al. C“ 132 patent”)
`TPetition to Make Special Under 37 C.F.R. § 1.102(d) for Ser. No.
`1002
`09/590,692, filed August 21, 2000
`
`Request for Reexamination of US. Patent No. 6,772,132, Control No.
`1003
`90/01 1,250, filed September 22, 2010
`
`
`Order Denying Request for Reexamination of US. Patent No.
`1004
`6,772,132, Control No. 90/011,250, mailed December 14, 2010
`
`
`
`1005
`Expert Declaration of Kendyl A. Roman (“Roman Decl.”)
`1006
`Expert Declaration of David Rho (“Rho Decl.”)
`
`
`
`4]
`
`
`
`_| (“Depo Letter”)
`
`
`1007
`US. Patent No. 5,077,665 to Silverman er a]. (“Silverman”)
`
`1008
`I—U.S. Patent No. 5,297,031 to Gutterman er a1. (“Gutterman”)
`
`
`1009
`US. Patent No. 5,375,055 to Togher er a]. (“Togher”)
`
`
`1010
`CA Publication No. CA 2,305,736 to May (“May”)
`
`
`1011
`US. Patent No. 5,263,134 to Paal er a]. (“Paal”)
`
`1012
`[TFutures/Option Purchasing System Trading Terminal Operation
`Guidelines,” Tokyo Stock Exchange (“TSE JP”)
`
`
`1013
`
`Certified Translation of “System for Buying and Selling Futures and
`Options Transaction Terminal Operational Guidelines” (“TSE”)
`
`
`1014
`
`Certificate of Translation for “System for Buying and Selling Futures
`and Options Transaction Terminal Operational Guidelines” (“TSE
`Certificate”)
`
`
`1015
`
`Memorandum from James M. Hilmert to eSpeed file regarding direct
`examination of TSE’s 30(b)(6) witness, dated December 5, 2005
`
`1016
`
`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,
`Ldated November 21, 2005 (“Depo Transcript”)
`
`
`_3_
`
`
`
`US. Patent No. 6,772,132
`
`CBM2014—00135
`
`
`Exh No. Description
`
`
`1017
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`
`1018
`Alan Cooper, “About Face: The Essentials of User Interface Design,”
`
`First Edition, 1995. (“Cooper”)
`
`1019
`
`Ben Shneiderman, “Designing the User lnte1face Strategies for
`Effective Human— Computer lnte1act1on ” Third Edition, 1998
`
`(“Shneiderman”)
`
`1020
`
`Microsoft Computer Dictionary, Fifth Edition, 2002, pages 150
`
`
`
`
`
`
`_+_(“Microsoft Computer Dictionary”)
`
`1021
`Curriculum Vitae of Kendyl A. Roman (“Roman CV”)
`1022
`List of Materials Considered by Kendyl A Roman (“Roman List of
`
`Mate1ials”)
`
`
`
`
`
`
`1023
`
`Curriculum Vitae of David Rho (“Rho CV”)
`
`1024
`List of Materials Considered by David Rho (“Rho List of Materials”)
`
`1025
`April 16, 2015 Hearing Transcript
`
`
`
`CBM2014-00135
`
`US. Patent No. 6,772,132
`
`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.rodkey@finnegan.com
`Steve.borsand@tradingtechnologies.com
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`y/
`./'
`
`
`
`,
`'
`:7?
`
`1
`
`’
`
`/
`[I
`Jonathan M. S/tr
`Reg. No. 61,7221
`Attorney for Petitioner
`
`’ g
`
`Date: April 17= 2015
`
`l 100 New York Avenue, NW.
`
`Washington, DC 20005
`(202) 371-2600
`
`
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