UNrTED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P O Box 1450
`Alexandria. Virginia 2231371450
`www mpto gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`RENNER OTTO BOISSELLE & SKLAR, LLP
`WCAVENUE
`
`NINETEENTII FLOOR
`CLEVELAND, 01144115
`
`EXAIVIlNFR
`
`COLBERT' ELLA
`
`3094
`DATE MAILED: 12/30/2010
`
`APPLICATION 1\O.
`FILING ])/\'l 11
`FIRST NAMED lVVl—lNTOR
`A'l”! ()RNHY DOCKET NO.
`CONFIRMATION NO.
`
`10/415,022
`09/05/2003
`Jeffrey Bruce Megeorge
`FRBCPOl 01US
`1059
`TITLE OF DIVENTION: TRADING SYSTEM
`
`APPLN TYPE
`SMALL ENTITY
`ISSIIE FEE DIE
`PIIBLICATION FEE DIIE
`PREV PAID ISSIIE FEE
`TOTAL FEE(Sl DIIE
`DATE DIIE
`
`nonprovisional
`5755
`$300
`51055
`03/30/2011
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS AIIOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION fl THE MERITS E—CIOSED. THIS NOTICE OF AIIOVVANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO VVITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
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`
`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.
`THIS
`STATUTORY PERIOD CANNOT fl EXTENDED.
`SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN TIIIS APPLICATION (AS SIIOWN ABOVE), TIIE RETURN OF PART B OF TIIIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
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`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "41)"
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`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
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`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
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`PTOI.-85 (Rev. 08/07) Approved for use through 08/31/2010.
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`Page 1 of 3
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`Maxim Exhibit 2002 - JPMC, CBM2014-00178 - Page 2002-001
`
`Maxim Exhibit 2002 - JPMC, CBM2014-00178 - Page 2002-001
`
`

`

`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.0. Box 1450
`Alexandria, Virginia 22313-1450
`or m (571)-273-2885
`
`through 5 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`in icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
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`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change ofaddlesg)
`
`23908
`
`7590
`
`12/30/2010
`
`RENNER OTTO BOISSEI 111E & SKlAR, 141 P
`,
`,
`,
`1621 EUCLID AVENUE
`NlNl: lth ll'l PLOOR
`CLEVELAND, OH 44115
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. 1'his certificate cannot be used for any other accompanying
`ave its own certificate of mailing or transmission.
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`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above. or being facsimile
`transmitted to the USPTO (571) 273—2885, on the date indicated below.
`
`_,,.(Deposrloi s name)
`
`
`
`(Signature)
`(Date)
`
`
`
`09/05/2003
`10/415 .022
`TITLE OF INVENTION: TRADING SYSTEM
`
`Jeffrey Bruce Mcgeorge
`
`FRBCP0101US
`
`1059
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE
`
`nonprovisional
`EXAMINER
`ART UNIT
`CLASS-SUBCLASS
`
`COLBERT, ELLA
`3694
`705-03600R
`
`YES
`
`$755
`
`$300
`
`
`
`
`PREV. PA ) ISSLE FEE
`
`TOTAL FEE(S) DUE
`
`$0
`
`$1055
`
`DATE DUE
`
`03/30/2011
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CF 1 1.363).
`
`3 Change of correspondence address (or Change of Correspondence
`Address orm PTO/SB/ 122) attached.
`:1 ”Fee Address" indication (or "Fee Address" Indication form
`jTO/SB/47; Rev 03—02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(1) the names of up to 3 registered patent attorneys
`or agents 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
`m
`
`
`
`
`
`3. ASSIGNEE NAVIE AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`If an assignee is identified below, the document has been filed for
`)LEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent.
`rccordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
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`Please check the appropriate as signee category or categories (wi11 not be printed on the patent) : D lndividua D Corporation or other private group entity D Government
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`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`3 A check is enclosed.
`:1 Payment by credit card. Form PTO—2038 is attached.
`\
`:IThe Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
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`4a. The following fee(s) are submitted:
`3 Issue Fee
`:1 Publication Fee (No small entity discount permitted)
`3 Advance Order — # of Copies
`
`
`
`
`
`5. Change in Entity Status (from status indicated above)
`:l b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
`3 a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
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`Authorized Signature
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`Date
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`Typed or printed name
`
`Registration No.
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`This collection of information is required by 37 CFR 1.311. The information is re uired 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. T is collection is estimated to take 12 minutes to complete, including gathering, preparing, and
`submitting the completed application form to the USPTO. Time will varv de endin upon the individual case. Any comments on the amount of time you require to com lete
`this form and/or suggestions for reducing this burden, should be sent to the C ief ln ormation Officer, US. Patent and Trademark Office, US. Department of Commerce,
`.0.
`Box 1450. Alexandria, Virginia 2231371450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, PO. Box 1450,
`Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection ofinformation unless it displays a valid OMB control number.
`
`PTOI.—85 (Rev. 08/07) Approved for use through 08/31/2010.
`
`OVlB 0651—0033
`
`US. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`
`Page 2002-002
`
`Page 2002-002
`
`

`

`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF CONINEERCE
`United States Patent and Trademark Office
`Address: COlVLVIISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandriai Virginia 22313-1430
`www uspm gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`10/415,022
`
`09/05/2003
`
`Jeffrey Bruce Mcgeorge
`
`FRBCP0101US
`
`1059
`
`RENNER OTTO BOISSELI 1E & SKLAR, LLP
`6WCN
`N lNEl'EEN '1'1-1 FLOOR
`
`CLEVELAND, OH 441 15
`
`COLBERT’ELLA
`
`3694
`
`DATE MAILED: 1y30/2010
`
`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 765 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 765 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) WEB site (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 (571)-272-7702. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of
`the Office of Patent Publication at
`l-(888)-786-0101
`or
`(571)-272-4200.
`
`PTOL—SS (Rev. 08/07) Approved for use Lhrough 08/31/2010.
`
`Page 3 of 3
`
`Page 2002-003
`
`Page 2002-003
`
`

`

`
`Application No.
`Applicant(s)
`
`10/415,022
`MCGEORGE. JEFFREY BRUCE
`Examiner
`Art Unit
`
`.
`_
`_
`NOtlce ofAIIOWabIIIty
`
`
`
`Ella Colbert 3694
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address-
`All 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
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1. E This communication is responsive to 12 October2010.
`
`2. IX] The allowed claim(s) is/are fl.
`
`3. El Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)—(d) or (f).
`a) [I All
`b) [I Some*
`0) El None
`of the:
`1. El Certified copies of the priority documents have been received.
`2. El Certified copies of the priority documents have been received in Application No.
`3. El Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received:
`
`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.
`
`4. El A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER’S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`5. El CORRECTED DRAWINGS ( as “replacement sheets") must be submitted.
`(a) El including changes required by the Notice of Draftsperson’s Patent Drawing Review ( PTO-948) attached
`
`1) El hereto or 2) [I to Paper No./Mai| Date
`
`(b) El including changes required by the attached Examiner's Amendment / Comment or in the Office action of
`Paper No./Mai| Date
`.
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the from (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`
`6. El DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`
`
`
`
`Attachment(s)
`1. E Notice of References Cited (PTO-892)
`2. El Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3.
`
`5. El Notice of Informal Patent Application
`6. El Interview Summary (PTO-413),
`Paper No./Mai| Date
`.
`7. El Examiner‘s Amendment/Comment
`
`8. [Z Examiner‘s Statement of Reasons for Allowance
`
`Primary Examiner, Art Unit 3694
`
`Information Disclosure Statements (PTO/SB/OS),
`Paper N0./Mail Date 12/13/10
`4. El Examiner‘s Comment Regarding Requirement for Deposit
`of Biological Material
`9. [Z Other Initiitialed After Final.
`/EIIa Colbert/
`
`
`U 8 Patent and Trademark Office
`PTOL-37 (Rev. 08-06)
`
`Part of Paper No./Mail Date 10415022B
`
`Notice of Allowability
`
`Page 2002-004
`
`Page 2002-004
`
`

`

`Application/Control Number: 10/415,022
`Art Unit: 3694
`
`Page 2
`
`DETAILED ACTION
`
`1.
`
`Claims 1-4 are pending. Claim 1, has been amended in this communication filed
`
`10/14/10 entered as Amendment with RCE.
`
`2.
`
`2.
`
`The IDS file 12/13/10 has been considered and entered.
`
`The 35 USC 112, Second Paragraph Rejections for claims 1-4 have been
`
`overcome by the Applicant’s reference to sections and pages in the Specification where
`
`the subject matter is found and the 35 USC 112, Second paragraph rejections are
`
`hereby withdrawn.
`
`Continued Examination Under 37 CF]? 1. 114
`
`A request for continued examination under 37 CFR 1.114, including the fee set
`
`forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this
`
`application is eligible for continued examination under 37 CFR 1.114, and the fee set
`
`forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action
`
`has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on
`
`10/28/10 has been entered.
`
`Claims 1-4 are allowed.
`
`The following is an examiner’s statement of reasons for allowance: The closest
`
`prior art Amburn, Gatto, and Li et al. disclosed or suggested the features of a system
`
`which provides for stocks to be bought and sold automatically in a transaction and
`
`providing a confirmation by a market computer upon the actual transaction being
`
`completed. Neither Amburn or Gatto or Li et al. disclose causing in a real-time
`
`Page 2002—005
`
`Page 2002-005
`
`

`

`Application/Control Number: 10/415,022
`Art Unit: 3694
`
`Page 3
`
`notification by network computers to be provided to the user via a remote
`
`communication device upon the occurrence of the event defined by the user-specified
`
`watch-data, the real-time notification directed to a communications device of a user so
`
`that the user can then provide instructions for share market transactions on an
`
`instantaneous basis. None of the prior art discloses or renders obvious the claim
`
`limitations of claims 1-4.
`
`These statements are not intended to necessarily state all the reasons for
`
`allowance or all the details why the claims are allowed and has not been written
`
`specifically or impliedly state that all of the reasons for allowance are set forth (MPEP
`
`1302.14).
`
`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.”
`
`Conclusion
`
`The prior art made of record and not relied upon is considered pertinent to
`
`applicant's disclosure.
`
`Jingtao Yao, Chew Lim Tan, and Hean-Lee Poh (in the application file) teaches
`
`technical analysis and movements of the stock markets which is the state of the are,
`
`issues and concerns with technical analysis and the stock market at the time of the
`
`invention, but fails to teach the claimed invention.
`
`Wallace et al. (US 6,968,317) and Nevo et al. (US 5,946,666).
`
`Page 2002-006
`
`Page 2002-006
`
`

`

`Application/Control Number: 10/415,022
`Art Unit: 3694
`
`Page 4
`
`Inquiries
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Ella Colbert whose telephone number is 571 -272-6741.
`
`The examiner can normally be reached on a Flexible Schedule.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiner’s
`
`supervisor, James Trammell can be reached on 571-272-6712. The fax phone number
`
`for the organization where this application or proceeding is assigned is 571-273-8300.
`
`Information regarding the status of an application may be obtained from the
`
`Patent Application Information Retrieval (PAIR) system. Status information for
`
`published applications may be obtained from either Private PAIR or Public PAIR.
`
`Status information for unpublished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
`
`Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a
`
`USPTO Customer Service Representative or access to the automated information
`
`system, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000.
`
`December 8, 2010
`
`/Ella Colbert/
`
`Primary Examiner, Art Unit 3694
`
`Page 2002—007
`
`Page 2002-007
`
`