TRADING TECH EXHIBIT 2065
`TD Ameritrade v. Trading Technologies
`CBM2014-00136
`
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`2.
`
`This Court has jurisdiction over the parties to this action and over the subject
`
`matter of the Complaint.
`
`3.
`
`TT is the sole and exclusive owner of the ”304 patent and the ’ 132 patent, and has
`
`the right to sue upon, and recover damages for past infringement and enjoin fiiture
`
`infringement of the ”304 and ’132 patents.
`
`4.
`
`5.
`
`All claims of the ’304 and ”132 patents are valid and enforceable.
`
`NINJATRADER has infringed the ’304 and ”132 patents under 35 U.S.C. Section
`
`271 by making, using, selling, ofi‘ering for sale, importing, andfor otherwise distributing
`
`electronic trading software incorporating the NINJATRADER SuperDOM screen,
`
`screenshots and documentation of which are included in Exhibit 1.
`
`6.
`
`Defendant NINJATRADER, its ofiicers, directors, partners, members, affiliates,
`
`subsidiaries, assigns, and successors-in—interest are hereby permanently enjoined (unless
`
`expressly permitted by TT) during the terms of the ’304 and ’ 132 patents from infringing
`
`the ‘304 and ‘132 patents, including, without limitation, by the making, using, selling,
`
`offering for sale, importing, facilitating connectivity for and otherwise distributing in the
`
`United States the electronic trading software products referred to in paragraph 5 above
`
`(and substantially similar products) including, without limitation, for use in electronically
`
`trading any item (e.g., futures, options, equities, fixed-income products, etc).
`
`7.
`
`TT waives its rights to damages from NINJATRADER arising from the
`
`manufacture, use, sale or offers to sell,
`
`importation and/or other distribution of the
`
`429?54-}
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`electronic trading software products referred to in paragraph 5 above prior to entry of this
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`Judgment.
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`8.
`
`This Court shall retain jurisdiction over this case for purposes of enforcing the
`
`Consent Judgment and the confidential Settlement Agreement between the parties
`
`pursuant to which the Consent Judgment is filed.
`
`9.
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`Each party shall bear its own costs and attorneys’ fees.
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`4297544
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`3
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`SO ORDERED
`
`Dated: fan‘— 1"; 21";
`
`I
`
`Samuel Der-Yeghlayan 9/2 a:
`
`United States District Court Judge
`
`AGREED TO:
`
`Dated: 7 {5! 9-5
`
`Dated:
`
`7 9 of
`
`W/é/
`
`Leif R. Sigmond, Jr. (ID No. 6204980)
`Matthew J. Sampson (ID No. 6207606)
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`
`Chicago, IL 60606
`Tel; (312) 913—0001
`Fax: (312) 913-0002
`
`Attorneys for Plaintiff
`TRADING TECHNOLOGIES
`
`INTERNATIONAL, INC.
`
`W,
`
`Steven Petersen (ID No. 6196793)
`
`Leydig, Voit & Mayer
`Two Prudential Plaza — 180 N. Stetson Avenue
`
`Suite 4900
`
`Chicago, Illinois 60601-6780
`Tel: (312) 616-5600
`Fax: (312) 616-5700
`
`Attorneys for Defendant
`NINJA TRADER, LLC
`
`4293’54-1I
`
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`SUPERDOM
`
`The SuperDOM window (SW) provides complete functionality for the management of a position strategy in a highly visual and
`efficient manner. The SW is one of two available position strategy management windows (the other being the Basic Entry window
`(BEW)) where you will spend most of your time using NinjaTrader. The SW and BEW share one common trait. the 'Position Strategy
`Parameter Tabs' (bottom third of the SW and BEW) are identical. This provides consistency when defining your strategy positions.
`
`lmpodantl
`Before continuing any further through this section of the User's Guide, you should review the section on 'Position Strategies' to gain
`a clear and thorough understanding of the difference between them and a positions.
`
`The Price Ladder Display
`Position And Position Suatggy ngla
`Selm‘g Instruments And Po_s;ition Strategies
`Placmg' Eng And Scale Orders
`Placing BreakoutlFade Orders
`
`Mogifling Eng); And Scale Orders
`Modifling fitop loss And Profit Target Orders
`Managing An Qfianending Position
`The Info Button (Displaying Running Position Strategies}
`Rith Mouse Click Context Menu
`
`Topics in this section
`
`The Price Ladder Display
`
`mWatCh Video Tutorial: SuperDOM Layout
`
`Columns
`
`The price ladder is broken down into three columns. The left column (referred to as the 'BUY' column) is used to place/modify buy
`orders and to display market depth on the BID side. The center column (referred to as the 'PRICE‘ column) is used to modify stop
`losslprofit target orders. display instrument price levels and the current inside market. The right column (referred to as the 'SELL'
`column) is used to placelmodify sell orders and to display market depth on the ASK side.
`
`The Inside Market
`
`The inside market is displayed as follows:
`
`BlD - Default is hold dark blue
`
`ASK - Default is bold forest green
`LAST - Price box default highlight color is yellow
`BID depth size - Displayed in the corresponding price row's BU Y' column
`ASK depth size - Displays in the corresponding pn'ce row's 'SELL 'column
`LASTlrade size - A size marker (box) is displayed to the right of the ‘SELl. ' column with a value representing the number of
`contracts traded at that price
`Cumulative Depth - The bottom integer value in the BUY column and the top integer value in the SELL column represent cumulative
`depth sizes
`
`*SuperDOM colors are completely user definable via the Settings Manager’
`“Depth display is optional and can he toggled via the right click mouse menu. When disabled, only the best BID/A SK size will
`display.
`
`Adjusting The Price Ladder Display
`Move your mouse into the price ladder and use the mouse scroll wheel to scroll up or down. You can also press the '0' button to
`center the last traded price.
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`10376
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`Quick Buttons i Ravens 5 Shadow }
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`Position And Position Strategy Display
`
`Your account position is displayed at the top of the middle column (orange highlighted box) while position strategy information
`(turquoise highlighted box) is displayed below the price ladder. For the most part. the size values (in this example 1 contract is
`shown) will be identical but for advanced users, these numbers could be different because you could have a situation where you
`have two active position strategies. One managing 1 contract, the other managing two which of course would give a total of 3
`contracts in your account and be reflected at the top of the middle column.
`
`___
`
`_—lzt3l
`__—
`370.50
`3027
`
`370.25 M
`370.00
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`3242
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`369.50
`369.25
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`363.75
`363.50
`363.25
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`867.50
`367.25
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`366.50
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`instrument Position Strategy
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`
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`
`v]
`
`Selecting instruments And Positron Strategies
`
`Selectingichanging strategies will update the parameters in the ‘Position Strategy Parameter Tabs'.
`
`instrument - Changes the active SuperDOM instrument. You can select the 'STOCK' instrument if you wish to request dataitrade an
`equity instrument. When selected. a prompt will ask you to enter a stock symbol.
`
`Position Strategy - Selecting a position strategy will update the ‘Position Strategy Parameter Tabs' with the associated parameters
`of the selected strategy
`
`Stop Strategy - Selecting a stop strategy will update the 'Stop' tab in the 'Position Strategy Parameter Tabs' with the associated
`parameters of the strategy
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`Placing Entry And Scale Orders
`
`[KIWatch Video Tutorial: Placing Orders In The SuperDOM
`
`NinjaTrader defines orders in several categories. Within the SW. you can place and manage the following order categories:
`
`Entry Orders - Orders that initiate a position strategy once filled
`Scale Orders - Orders that addlsubtract contractslshares from an open position strategy
`Stop LosslProfit Target Orders
`
`Entry and Scale orders are manually placed while Stop Loss and Profit Target orders (for the most part) are automatically submitted
`by NinjaTrader once an Entry order has been filled.
`
`The following mouse conventions are used:
`
`Left Click - Places L ill/ll T orders
`Middle Click — Pieces S TOP orders
`
`Middle CllClr + CTRL Key - Places STOP orders
`
`‘The SuperDOM has as STOP order type default (either STOP UMl T or 8 TOP MARKET), this can be toggled via the night mouse
`click context menu. it STOP LiMlTis default, then middle click will place STOP LIMIT order while middle click + CTFl'l. key
`comblnation will place STOP MARKET order. The in verse is true if the SuperDOM 5 TOP order nrpe default is 5 TOP MAPKET.
`** Middle mouse button usually refers to pressing down on the scroll wheel ofyour mouse
`
`The SuperDOM allows you to place a maximum of two Entry orders (using the breakoutlfade entry mode which must be enabled via
`the right mouse click context menu) and a maximum of two scale orders while a position is open.
`
`To place a LIMIT order, left click in the appropriate 'BUY' or ‘SELL' column at the price level you wish the order to be submitted. A
`cyan colored box will appear with the letters 'LMT' along with a size marker to the left of the 'BUY' column. The size marker color will
`change to reflect the current status of the order. The image to the right illustrates a BUY LIMIT order at 1 144.50 for 1 contract
`
` 1145.25
`
`
`——m
`
`[IE—_-
`
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`
`
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`
`1144.00
`
`
`
`
`To place a STOP LIMIT order (assuming default stop order type is STOP LIMIT), middle click in the appropriate 'BUY' or 'SELL'
`column at the price level you wish the order to be submitted. A violet colored box will appear with the letters 'SLM' along with a size
`marker to the left of the 'BUY' column. The size marker color will change to reflect the current status of the order. The image to the
`left illustrates a BUY STOP LIMIT order at 1145.75 for 1 contract.
`
`
`
`
`__—
`
`_—
`__—
`
`
`
` 1144.75
`
`
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`To place 3 STOP MARKET order (assuming default stop order type is STOP LIMIT), middle click while holding the CTRL key down
`at the price level you wish the order to be submitted. A pink colored box will appear with the letters 'STP' along with a size marker to
`the left of the 'BUY' column. The size marker color will change to reflect the current status of the order‘ The image to the right
`illustrates a BUY STOP MARKET order at 1145.25 for 1 contract.
`
`You can also place orders using the buttons on the 'Quick Buttons' tab of the 'Position Strategy Parameter Tabs'.
`
`1145.15
`
`1146.00
`
`Placing Breakout/Fade Orders
`
`GL'IWatch Video Tutorial: Breakout/Orders
`
`Breakout/Fade orders is where you can piace two entry orders as an OCA pair. This means that once one order is filled, the other
`order will be automatically cancelled. There are several breakout/fade order combinations available:
`
`Break - Order pair consisting of one BUY STOP order and one SELL STOP order
`Fade - Order pair consisting of one BUY LIMIT order and one SELL LIMIT order
`Break/Fade Buy - Order pair consisting of BUY LIMIT and STOP orders
`BreakIFade Sell - Order pair consisting of SELL LIMIT and STOP orders
`
`You must first enable breakout/fade mode by selecting the Breakout/Fade Entry Mode' via the right mouse click context menu as
`per the image to the below
`
`
`
`v AutoCenter
`
`Size Adjust |ralue
`v Statiimit As Default
`_' _ c
`'
`.=:i: E‘itt'l; |'-"-i:a'_'i‘E*
`
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`
`
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`You can then place the breakoutlfade order combination. The image on the left illustrates a Fade order pair combination.
`
`
`
`1146.00
`
`
`_
`
`
`-—m
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`
`— 1144.50 JEE-
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`
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`1142.50
`
`1142.25
`
`
`Modij/ing Entry/ind Scale Orders
`
`To modify an order price, use the same mouse button used to place the original order and click on a new price in the same column
`the order currently resides. You can also modify order contract size by clicking on the size marker.
`
`Left Click - Increments the order size
`Middle Clio/r - Decrements the order size
`
`The order size is modified by the 'Size Adjust Value' which can be toggled via the right mouse click context menu.
`
`Media/mg Stop Loss And Profit Target Orders
`
`Once a position has been established, the SW will display your entire position by color coding rows where your stop loss and profit
`target orders exist. The image to the right illustrates a position that has three targets (green shaded rows) and a *stop loss order
`(red colored row). The position's average entry price is highlighted by the brown colored price box. Each stop and target has an
`associated size marker (to the left of the 'BUY' column) displaying the number of contracts for each order.
`
`*From a trader’s perspective, there is only one stop loss however, in reality, the stop loss is made up of three separate stop orders
`in this example. Each profit target order is OCA paired with a stop loss order. Although there are three stop orders, Ninja Trader
`combines them into one red row for display purposes.
`
`_-
`me-vs —
`1146.50 —
`
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`1143.75
`
`- __ __
`
`1143.25 —1143.00
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`To modifying stop loss and profit target order prices click in the center 'Price' column. Clicking in the price column on the BID or
`above when long will adjust your profit target order prices. below the BID will adjust stop loss order prices. Clicking in the price
`column on the ASK or below when short will adjust your profit target order prices, above the ASK will adjust stop loss order prices.
`
`l. ell Click - Modify either stop loss order or closest profit target
`Middle Click - Modifi/ second closest profit target order
`Middle Click + CTRL Key - Modi'ify third closest profit large! order
`Left Click + CTRi. Key - Modiljr all profit target orders to the price that is clicked on
`
`You can modify profit target order prices so that two or more orders rest at the same price. The SuperDOM will combine the order
`display in the same manner as it does for stop loss orders however, all three order remain active. in other words, profit target orders
`do not combine into one order. This allows you to preserve independent order FIFO advantage.
`
`To modify stop loss or profit target order sizes click on the appropriate orders size marker.
`
`Left Click - increments the order size
`Right Click - Decremenrs the order size
`
`Since a position strategy has built in intelligence, there will be cases where you can not modify an order's size. For example, if you
`have three profit targets with a total position strategy size of three contracts (one contract per profit target order) you can't modify the
`profit target order sizes since there is no 'excess' contracts to move around. in the same scenario, if you had a total position strategy
`size of four contracts, you could move the fourth contract from one profit target to another.
`
`Add/Remove Targets
`At any time, you can add or remove a target from your position strategy via the right mouse click context menu.
`
`Managing An Open/Pending Position Strategy
`
`mWatch Video Tutorial: Managing Positions
`
`Reverse - Closes the current position strategy and opens a new position strategy in the opposite direction. The new position
`strategy is created based on the current parameters set in the 'Position Strategy Parameter Tabs'.
`
`Cancel - Cancels any pending Entry or Scale orders.
`
`Close - Closes the current open position strategy.
`
`In the image above right we have a LONG position of three contracts. Auto Trail (TR) and Auto Breakeven (BE) are currently
`enabled since they are highlighted in green. The label column are position strategy automation features. By clicking on them, you
`can enable or disable these features. it is important to note that the position size displayed is the size of the position strategy and
`not your total NET position. For most cases, this value will be the same however, there are times where you may have a total NET
`position of 5 contracts but only 3 are managed via a strategy.
`
`TR - Enableldisable auto trail.
`
`BE - Enableldisable auto breakeven.
`
`"m
`
`
`
`?
`88 - Enableldisable simulated stop loss and entry. When a position W
`strategy is pending it will display 'SE' for simulated entry, when a position
`strategy is open it will display 'SS'.
`
`ESBETARGET A W
`i
`
`CIT - Enableldisable auto chase. While a position strategy is pending, clicking this with your middle mouse button will change the
`auto chase type between Chase If Touched (CIT) or Chase (CH).
`
`RT - Enableldisable auto reverse at target
`
`RS - Enableldisable auto reverse at stop
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`The Info Button (Displaying Running Position Strategies)
`
`By clicking on the top middle button (which shows the account position) a menu will become available that provides position and
`position strategy management features. Different menu options will appear dependant on the current state of the SuperDOM,
`selected instrument and account.
`
`The menu will show all running position strategies for the selected instrument/account combination as well as a sub menu for other
`running (different instrument/account combinations) position strategies. The currently displayed position strategy will have check
`mark in front of it. If you have multiple position strategies running. you can select any one of them to set it as the currently viewed
`position strategy in the SuperDOM. You can do the following from this menu —
`
`New Position Strategy - Will reset the SuperDOM display to a state where it is ready for you to enter a new strategy (entry orders).
`The currently displayed position strategy will still be running in the back ground.
`
`Flatten Position — This will cancel all open orders and remove an active position strategies and then send a market order to flatten
`the account/instrument combination.
`
`Create Position Strategy - There may be situations where you have an open position but no position strategy to manage it. In these
`cases, you may want to create a position strategy to protect this position. Set all of the parameters (number of stops and targets and
`their respective values} and then select the this option.
`
`Net Position: LONG 1
`
`New Position Strategy
`Flatten Position
`
`‘ m5
`
`Ofi'rerRum'iingPosi’don Strategies
`
`r
`
`j
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`Right Mouse Cfick Context Menu
`
`Always On Top - Enable/disable the SD window to be on top of other windows
`
`Cash PIL - Enableldisable display of cash vs point based profitlloss
`
`Show Depth - Enable/disabte market depth display
`
`AutoCenter - Enable/disable automatic re-centering of last traded price once it trades outside the visible price range
`
`Cancel All Orders - Will cancel all active orders system wide
`
`Close All Position Strategies - Close all open position strategies and cancel any remaining associated orders
`
`Flatten Everything - Closes all open position strategies. cancels any remaining associated orders and flattens an open positions that
`were not being managed by a strategy
`
`Disable Time Stop - Enable/disable position time stop if one was used when initially enter a position strategy
`
`Size Adjust Value - Changes the value used when modify contract sizes
`
`StopLimit As Default - Entry and Scale orders will use this order type when clicking the middle mouse button
`
`BreakoutlFade Entry Mode — Enableldisable breakout/fade entry mode for placing dual entry orders
`
`Automated Trading - Enables/Disables display features for Automated Trading
`
`Add Target - Adds a target limit order to an existing position strategy
`
`Remove Target - Removes a target limit order from an existing position strategy
`
`Active Account Group - This section of the menu wilt only display if user defined account groups exist
`
`Always On Top
`Cash Pll.
`e Show Depth
`v AutoCenter
`
`Canceé All Orders
`
`Close All Position Strategies
`Flatten Everything
`
`Size Adjust Value
`v StopLimit As Default
`Breakouh'Fade Entry Mode
`
`tr
`
`Add Target
`Remove Target
`
`Active Account Group -
`E v None
`
`Demo Group
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