`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` Paper No. ____
`Filed: June 12, 2015
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`TD AMERITRADE HOLDING CORPORATION,
`TD AMERITRADE, INC., and
`TD AMERITRADE ONLINE HOLDINGS CORP.
`Petitioners
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`_________________
`Case CBM2014-00137
`
`U.S. Patent 7,685,055
`_________________
`
`PATENT OWNER’S UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`
`
`Further to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
`
`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners TD Ameritrade Holding Corporation, TD
`
`Ameritrade Inc., and TD Ameritrade Online Holdings Corp.
`
`Exhibit 2003
`Exhibit 2004
`
`Exhibit 2005
`
`Filed Exhibits Description
`Exhibit 2001
`Communications regarding motion to disqualify
`Exhibit 2002
`PTAB Trail Blog-Drinker Biddle “Denying Leave to File Motion
`for Additional Discovery CBM2014-00131, 133, 135, 136, 137.”
`(August 18, 2014)
`Emails Between Parties Relating to Hilmert Memo
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Docket No. 963, Memorandum Opinion and
`Order (September 12, 2007)
`Trading Technologies International, Inc. v. BCG Partners, Inc.,
`Case No. 1:10-CV-00715 (N.D. Ill.), Docket No. 409,
`Defendants’ Reply Memorandum of Law In Support Of Joint
`Motion For Summary Judgment That The ‘056 Patent Is Invalid
`Under 35 U.S.C. § 112 ¶ 1 For Lack Of Written Description
`(October 7, 2011)
`Trading Technologies International, Inc. v. Open E Cry, LLC et
`al., Case 2012-1583 (Federal Circuit Appeals), Decision (August
`30, 2013)
`Trading Technologies International, Inc. v. GL Trade Americas,
`Inc., FuturePath Trading, LLC et al., Tutorial Presentation (Feb.
`19, 2014)
`Senate Congressional Record S5402, Leahy-Smith America
`Invents Act (September 8, 2011)
`Senate Congressional Record S1360, Patent Reform Act of 2011
`(March 8, 2011)
`Redacted Second Corrected Expert Report of Christopher
`Thomas, Trading Technologies International, Inc. v. CQG, Inc.,
`Case No. 1:05-CV-04811 (N.D. Ill. Dec. 12, 2013)
`National Aeronautics and Space Administration Web Page Print
`2
`
`Exhibit 2006
`
`Exhibit 2007
`
`Exhibit 2008
`
`Exhibit 2009
`
`Exhibit 2010
`
`Exhibit 2011
`
`
`
`
`
`
`
`Exhibit 2012
`
`Exhibit 2013
`
`Exhibit 2014
`
`Exhibit 2015
`
`Exhibit 2016
`
`Exhibit 2017
`
`Exhibit 2018
`
`Exhibit 2019
`
`
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`Computer Interaction Master’s Program
`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`U.S. Patent No. 6,772,132
`Reserved
`
`Exhibit 2020
`Exhibit 2021
`through 2084
`Exhibit 2085 David Rho LinkedIn Profile
`Exhibit 2086
`David Rho MMG Partners Firm Profile
`Exhibit 2087
`Reserved
`Exhibit 2088
`Served
`Exhibit 2089
`Served
`Exhibit 2090
`Served
`Exhibit 2091
`Served
`Exhibit 2092
`Deposition Transcript of David Rho, dated January 27, 2015
`Exhibit 2093
`Deposition Transcript of Courtney O’Connell, dated February
`13, 2015
`Deposition Transcript of Akiko Rosenberry, dated February 16,
`2015
`Deposition Transcript of Maho Taniguchi-Speller, dated
`February 17, 2015
`Deposition Transcript of Ronald Skidmore, dated February 18,
`
`Exhibit 2094
`
`Exhibit 2095
`
`Exhibit 2096
`
`
`
`3
`
`
`
`
`
`Exhibit 2097
`Exhibit 2098
`
`Exhibit 2099
`
`Exhibit 2100
`Exhibit 2101
`
`Exhibit 2102
`
`Exhibit 2103
`through 2199
`Exhibit 2200
`
`Exhibit 2201
`Exhibit 2202
`
`Exhibit 2203
`
`Exhibit 2204
`Exhibit 2205
`Exhibit 2206
`Exhibit 2207
`Exhibit 2208
`Exhibit 2209
`Exhibit 2210
`
`Exhibit 2211
`Exhibit 2212
`Exhibit 2213
`Exhibit 2214
`
`Exhibit 2215
`Exhibit 2216
`
`
`
`
`
`
`
`
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`2015
`Declaration of Harold Abilock
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (October 10, 2007)
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Instruction Form (October 10, 2007)
`Declaration of Richard Hartheimer
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Notification of Docket Entry (January 3, 2008)
`Plas-Pak Indus., Inc. v. Sulzer Mixpac AG, No. 2014-1447, 2015
`WL 328222, *3 (Fed. Cir. Jan. 27, 2015)
`Reserved
`
`Trading Techs. Int’l, Inc. v. CQG, 05-cv-4811 (N.D. Ill. Feb. 24,
`2015) (Dkt. 1073)
`Reserved
`Trading Techs. Int’l, Inc. v. CQG, 05-cv-4811, TT 101 Hearing
`Presentation.
`Video showing an example of a screen that centers the inside
`market compared to a claimed style screen
`Bloomberg Product Documentation
`Reuters Product Documentation
`Thinkorswim thinkManual
`CQG Product Documentation
`ORC Product Documentation
`Reserved
`Case Nos. 6:13-CV-447-JRG-KNM, 448-JRGKNM, Smartflash
`LLC v. Apple, Inc., Dkt. 423 at 18, 20 (E.D. Tex. Jan. 21, 2015)
`Reserved
`Served
`Served
`Translation of Excerpts from “Futures/Options Trading System
`Guidelines for Operating the Trading Terminals”
`Served
`Translation of Excerpts from document entitled “Refco Docs”
`4
`
`
`
`
`Exhibit 2217
`
`Exhibit 2218
`
`Exhibit 2219
`through 2271
`Exhibit 2272
`Exhibit 2273
`
`Served
`Documents
`Exhibit 2088
`Exhibit 2089
`Exhibit 2090
`
`Exhibit 2091
`Exhibit 2212
`Exhibit 2213
`Exhibit 2215
`
`Exhibit 2219
`
`Exhibit 2220
`
`Exhibit 2221
`
`Exhibit 2222
`
`Exhibit 2223
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`
`Translation of Excerpts from “Futures/Options Trading System
`Guidelines for Operating the Trading Terminals”
`Translation of Excerpts from “Futures/Options Trading System
`Guidelines for Operating the Trading Terminals”
`Served
`
`Reserved
`Patent Owner’s Objections to Petitioner’s Exhibits 1007-1009,
`served December 16, 2014
`
`
`Description
`
`Investopedia Definition “brand”
`Kenkyusha Online Dictionary Definition “meigara”
`Kenkyusha’s New Japanese-English Dictionary (4th Ed., 1974)
`“meigara”
`Second Declaration of Ronald E. Skidmore
`Declaration of Jay Q. Knoblock
`Declaration of Cory C. Bell
`Translation of Excerpts from System for Buying and Selling
`Futures and Options Transaction Terminal Operational
`Guidelines
`Responses to Trading Technologies’ First Set of Interrogatories
`to CQG and CQGT, Trading Technologies International, Inc. v.
`CQG, Inc., Case No. 1:05-CV-04811 (N.D. Ill.)
`Responses to Trading Technologies’ Second Set of
`Interrogatories to CQG and CQGT (No. 14), Trading
`Technologies International, Inc. v. CQG, Inc., Case No. 1:05-
`CV-04811 (N.D. Ill.)
`Expert Report of Robert Dezmelyk, Trading Technologies
`International, Inc. v. eSpeed, Inc., eSpeed, International, Ltd.,
`and Ecco Ware Ltd., Case No. 1:04-CV-05312 (N.D. Ill.,)
`CQG’s Amended Responses and Objections to TT’s Second Set
`of Interrogatories, Trading Technologies International, Inc. v.
`CQG, Inc., Case No. 1:05-CV-04811 (N.D. Ill.)
`CQG’s Objections and Responses to TT’s Amended
`Interrogatory Nos. 17-21, Trading Technologies International,
`5
`
`
`
`
`
`Exhibit 2224
`
`Exhibit 2225
`
`Exhibit 2226
`
`Exhibit 2227
`
`Exhibit 2228
`
`Exhibit 2229
`
`Exhibit 2230
`
`Exhibit 2231
`
`Exhibit 2232
`
`Exhibit 2233
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`
`Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D. Ill.)
`CQG’s First Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Second Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Third Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Fifth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Sixth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Seventh Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Eighth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Ninth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Tenth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Eleventh Amended Objections and Responses to TT’s
`6
`
`
`
`
`
`Exhibit 2234
`
`Exhibit 2235
`
`Exhibit 2236
`
`Exhibit 2237
`
`Exhibit 2238
`
`Exhibit 2239
`Exhibit 2240
`
`Exhibit 2241
`
`Exhibit 2242
`Exhibit 2243
`
`Exhibit 2244
`
`Exhibit 2245
`Exhibit 2246
`Exhibit 2247
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Twelfth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Nineteenth Amended Objections and Responses to TT’s
`Amended Interrogatory Nos. 17-21, Trading Technologies
`International, Inc. v. CQG, Inc., Case No. 1:05-CV-04811 (N.D.
`Ill.)
`CQG’s Second Set of Interrogatories to Trading Technologies,
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.)
`Redacted Trading Technologies International, Inc. v CQG, Inc.,
`Case No. 1:05-CV-04811 (N.D. Ill.), Docket No. 898, CQG’s
`Opening Brief Regarding the Patent-Ineligibility/Invalidity of the
`TT Patents-in-Suit under 35 U.S.C. § 101 (Feb. 2, 2015)
`Declaration of Richard Hartheimer, Trading Technologies
`International, Inc. v. BGC Partners, Inc., Case No. 1:10-CV-
`00715 (N.D. Ill.,) (Dkt. No. 396)
`Trading with CQG Integrated Client (Oct. 11, 2010, Version 8.3)
`Directory of Software Solutions for LIFFE CONNECT™ (June
`1999, Issue 3)
`Directory of Software Solutions for LIFFE CONNECT™ (Feb.
`1999, Issue 2)
`LIFFE Directory of Access Solutions (May 2001)
`Video Deposition Transcript of Robert S. Dezmelyk, dated Aug.
`17, 2007, Trading Technologies International, Inc. v. eSpeed,
`Inc., eSpeed, International, Ltd., and Ecco Ware Ltd., Case No.
`1:04-CV-05312 (N.D. Ill.)
`Trading Technologies News Release, “TT’s Open Letter to the
`Future Industry” (Jan. 9, 2006)
`Conventional Order Ticket
`Conventional Working Order Book
`September 1998 Drawing
`
`7
`
`
`
`
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`Exhibit 2256
`Exhibit 2257
`
`Exhibit 2258
`
`Exhibit 2259
`
`
`
`
`
`
`September 1998 Drawing
`Exhibit 2248
`September 1998 Drawing
`Exhibit 2249
`Screen Space Comparison
`Exhibit 2250
`Screen Space Comparison
`Exhibit 2251
`Chasing the Market vs. Hitting the Inside Market
`Exhibit 2252
`Exhibit 2253 MD Trader’s Inside Market Can Leave the Screen
`Exhibit 2254
`Conventional Electronic Trading Screens
`Exhibit 2255
`Video Deposition Transcript of Richard Ferraro, dated July 28,
`2006, Trading Technologies International, Inc. v. eSpeed, Inc.,
`eSpeed, International, Ltd., and Ecco Ware Ltd., Case No. 1:04-
`CV-05312 (N.D. Ill.)
`Transcript of Proceedings for EPO 01620183.9
`Steidlmayer, J.P. and Steven B. Hawkings, Steidlmayer on
`markets: Trading with market profile. Hoboken, NJ: Wiley,
`2003. 202-213.
`Video Deposition Transcript of Per Hjartoy, dated July 20, 2006,
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.)
`Video Deposition Transcript of Per Hjartoy, dated Dec. 8, 2011,
`Trading Technologies International, Inc. v. GL Trade SA, et al.,
`Case No. 05-cv-04120 (N.D. Ill.)
`Video Deposition Transcript of Scott L. Johnston, dated June 27,
`2006, Trading Technologies International, Inc. v. eSpeed, Inc.,et
`al.., Case No. 1:04-CV-05312 (N.D. Ill.)
`Video Deposition Transcript of Maxim Katin, dated May 23,
`2013, Trading Technologies International, Inc. v. CQG, Inc.,
`Case No. 1:05-CV-04811 (N.D. Ill.)
`Video Deposition Transcript of Maxim Katin, dated Dec. 4,
`2014, Trading Technologies International, Inc. v. CQG, Inc.,
`Case No. 1:05-CV-04811 (N.D. Ill.)
`GL Quicktrade: Internal Product News
`Video Deposition Transcript of David L. Silverman, Aug. 24,
`2007, Trading Technologies International, Inc. v. eSpeed, Inc.,
`eSpeed, International, Ltd., and Ecco Ware Ltd., Case No. 1:04-
`CV-05312 (N.D. Ill.)
`
`Exhibit 2260
`
`Exhibit 2261
`
`Exhibit 2262
`
`Exhibit 2263
`Exhibit 2264
`
`
`
`8
`
`
`
`
`Exhibit 2265
`
`Exhibit 2266
`
`Exhibit 2267
`Exhibit 2268
`Exhibit 2269
`Exhibit 2270
`Exhibit 2271
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`
`Video Deposition Transcript of Anthony J. Stavros, dated Dec.
`12, 2012, Trading Technologies International, Inc. v. CQG, Inc.,
`Case No. 1:05-CV-04811 (N.D. Ill.)
`Video Deposition Transcript of Christopher Thomas, dated Aug.
`14, 2007, Trading Technologies International, Inc. v. eSpeed,
`Inc.,et al., Case No. 1:04-CV-05312 (N.D. Ill.)
`Garrow Deposition Testimony Excerpt, p. 3356 - 3357
`Garrow Deposition Testimony Excerpt, p. 3494-3495
`CME Facts and Figures
`Corrected Expert Report of Christopher Thomas
`Second Corrected Expert Report of Christopher Thomas
`
`
`Dated: June 12, 2015
`
`Respectfully submitted,
`
`By: /Joshua L. Goldberg/
`Joshua L. Goldberg, Backup Counsel
`Registration No. 59,369
`
`
`
`
`
`9
`
`
`
`
`
`
`
`Case CBM2014-00137
` U.S. Patent 7,685,055
`
`
`
`
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`
`
`
`Owner’s Updated Exhibit List and Exhibits 2214, 2216 – 2218, and 2273 were
`
`served on June 12, 2015, via email directed to counsel of record for the Petitioner
`
`at the following:
`
`Lori A. Gordon
`lgordon-ptab@skgf.com
`
`Jonathan M. Strang
`jstrang-ptab@skgf.com
`
`Robert E. Sokohl
`rsokohl-ptab@skgf.com
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`/Lisa C. Hines/
`Lisa C. Hines
`Litigation Clerk
`
`
`
`
`
`
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, LLP
`
`
`
`
`10
`
`
`
`
`
`
`
`
`
`
`
`
`