`Approved lor use through 1013112902. OMB 0651-0031
`._.—_j—____._._..._.._:.-.___._.
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`- REQUEST FOR ACCESS TO AN APPLICATION UNDER 37 CFR 1.14(e)
`in re Application of
`
`
`
`Assistant Commissioner for Patents
`Washington, DC 20231
`
`
`
`mber
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`2
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`Paper No. # ;2 /
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`I hereby request access under 37 CFR 1.14(e)(2) to the application file record of the above-identified
`ABANDONED Application, which is not within the file jacket of a pending Continued Prosecution
`Application (CPA) (37 CFR1.53(d))and is: (CHECK ONE)
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`
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`1.14-(e)(2)(i), i.e.. Application No.
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`2. D thereby request access under
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`FROM
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`"ul:llc Records upon payment cfiho appropriaw I95 (37 CFR 1.'!9(l:.)), as follow.
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`For unaJ!)iis!1ad andicaiions that are still nendina:
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`lad under 35 U.S.C. 119-’
`(1)
`if the benefiioffize aendina E nli
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`' cla
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`aaapimtion il1a'tl‘-.a-: (5) issued as a U.S. p.—.u=ni'.. or(b);3ubllsl1e'd a‘ 5 ma-:' ory invention reglstation, a U.S._
`patent application publication. oral in':ema'rional;:1a=':ent_ olicaizion pubficafi-:-n in :—::::orda1ce wiih PCT
`
`.‘-‘riicle 21(2), a rnember of he public may obiain a copy or.
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`
`CQG014202100
`CQGO142021OO
`
`000103
`
`000103
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`the pending = nfcaiion as ofigimsily filed; or
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`any docurnemm élsefile of ‘£116 pending eppflczfian.
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`(1)
`if the benefit afiiee oendino ennli
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`the file conie.-‘Its;
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`the pending application as originally filed: or
`any document in file file afthe pending application.
`Ir’ ihe epplicefjcn is incoa-oore?:.—:d bv reference orai:‘1erwi.ee identified in e U.S. ,:ei'e.1
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`iappfcra-':'o.1 pubiication. or an imemefionel patent epplic "
`
`accordance with PCT Asucle 21(2), e mber of
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`the pending appllzetlon as
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`
`
`
`(2)
`
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`
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`
`
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`
`CONFIIDENTIAL
`
`000104
`
`
`
`TTX03065269
`
`CQGO14202101
`CQG014202101
`
`000104
`
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`
`US
`
`(12)
`
`United States Patent
`(10) Patent No.:
`US 6,772,132 B1
`Kemp, II et al.
`(45) Date of Patent:
`Aug. 3, 2004
`
`(54)
`
`('75)
`
`(73)
`
`( ‘ )
`
`(21)
`(22)
`
`(50)
`
`(51)
`
`(52)
`
`(58)
`
`(56)
`
`CLICK BASED TRADING WITH 1NTUI'I'[VE
`GRID DISPIAY OF MARKET DEPT!-I
`
`Notice:
`
`Asignec:
`
`Inventors: Gar-yA1lan Kemp, II, Wmnetka. IL
`(US); Jens-Uwe Schlueuer, Evanstnn,
`IL (US); Harris Bnlmfield, Chicago.
`IL (05)
`Trading Thchnnlogles Inter-nntlonnl,
`Inc, Chicago, IL (US)
`Subject b any disclaimer. the termofthis
`patent is extended or adjusted tuner 35
`U.S.C. 1540:) by 245 days.
`App]. No.: 09/590,692
`Filed:
`Jun. 9, 2000
`Related U.S. Applicatton Datn
`War. 2,
`Provisional application No.
`186
`filed
`*‘”6'°L'*'3’” "7
`zoom
`Int. cl.’ ..........................._
`G061? 17/6|]
`
`U.S. Cl. ....
`
`............... 705/37; 705/35; 705/36;
`705/37; 705/10; 705/14;.345/814
`
`Fleld of Search
`
`705/35, 36, 37,
`705/10. 14: 345/814
`
`References Cited
`U.S. PATENI‘ DOCUMENTS
`364/408
`4.674944 A
`6l1987 Knlmus et 2!.
`....
`_...364/S14
`4,750,135 A
`6/was Boflen ..............
`4,903,201 A
`2I199D Wagnr
`'
`5,038,284 A
`8/199]. Kramer ................... 364/408
`5,007,565 A
`12/1991 Siivennan at at
`5,101,353 A
`3/1992 Lupine! :1.
`5,136,501 A
`8/1992
`5,270.93 A
`1711993
`5,297,031 A
`31994
`5.297.032 A
`3/1994
`5,639,65l A
`11/I997
`5,774,877 A
`611998
`5,793,301 A
`8/1998
`5,797,002 A
`
`8/1998
`
`705/37
`‘I05/35
`705/37
`
`S,845.2fi6 A
`5,915,245 A
`5,924,082 A
`
`12/1998 Lupien et 21.
`6/1999 Patterson, Jr. 2
`
`7!1999 Silverman etal.
`(List continued on next page.)
`FOREIGN PATENT DO
`W0 99[3OZ9
`‘
`6/1999
`WO 95/26005 A1
`9I1995
`WO 98149639
`1lI1998
`W0 99l19&1
`4/1999
`W0 99/310259 Al
`6/1999
`WO 99153424
`10/1999
`W0 00/5319
`9/2000
`W0 O0/62187
`10/2000
`W0 0C|I65510
`11/2000
`WO 01116830
`3/2001
`WO 01115352
`mom
`W0 01/2251)‘
`3/2131
`W0 01/88808
`1lf2001
`OTHER PUBLICATIONS
`
`JP
`W0
`W0
`W0
`W0
`W0
`W0
`‘W0
`W0
`W0
`W0
`W0
`W0
`
`www.t1:dingtechnologies.eonnbroductslxtrade_fu1l.html
`(viewed May 22, 2001). <J\m. 9, 2000.‘
`Khtmuf, A trading mom with a view, Fumtes, 27,11, Nov.
`1998.’
`
`USPTO Presentation, NASDAQ, Nov. 8, 2001, enclosed pp.
`1-13.
`
`Primary Emmr‘ner—Richard Weisberger
`(74) Amrrmy, Agent, or Firm—Foley & L-udncz
`(57)
`ABSTRACT
`
`A method and system for reducing the time it takes fur a
`trader to place a trade when electmnicafly trading on an
`exchange, thus increasing the lfxeliinod that the trader will
`have urders filled at desirable prices and quantifies. The
`“'Mercary" display and trading method of the present inven-
`tion ensure fast and accurate execution of trades by display—
`ing marker depth on a vertical or hm-izcntal plane, which
`flucnrates logically up or down, Iefl or right across the plane
`as the marketpricus fluetualfi. This allows the trade: In Ind:
`quickly and eficienrly.
`
`56 Claims. ti Drawing Sheets
`
`
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`000105
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`
`CQGO14202102
`CQG014202102
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`2/Wt’ 2, 520330
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`Arlingtnn. VA .-
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`Telephone: (703) 3115-273
`
`
`
`
`
`AUG 2 4 2004
`
`File Information Unit
`
`aha‘-ma-Edenihiai .¢3Aa\iD0.ll_‘-.~_‘.-
`I hereby request access under 37 CF.‘-t 'i.14(a';(1)(tv) to theap_ailcatia1 fiia racard .-.7‘
`application. which is idsniiied in, arm whi-':i1 abenefit is claimed. in the following clacumeniias show-r. Sn L13
`attachment):
`620/
`I
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`Fag:-9.’ Nc.
`
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`United States PatantAp_DIication Publication Na.
`
`638 .page.
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`United Srates Patent Numbsrgo Z 29¢ 53
`
`WIPO Pub. No.
`page
`
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`(2)
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`
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`Related infosmaticn about Access to Pending Applications (37 CFR 1.14):
`Direct access to pending applications is not available to the public but coplas may be available and may he
`purchased from the Offica 4! Public Racords upon paymentofthe appropriate fee (37 CFR 1.19(bJ). as fciiaws:
`For nubilshed agflgtions gig! are m nencllna. a member at the public may obtain 2-copy oi‘:
`
`
`tha tila contents:
`the pending application as nriginailyfiiad; or
`any document in the tile ofthe pending application.
`
`
`ans that am still andina:
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`(1)
`if the undar 35 U.S.C. 119(6). 120. 121 , or 365 in another
`application that has (a) issued as a U.S. patent. at (in) published as a statutory invention registration. a U.S.
`
`
`patent application publication. or an intemationa palant application publication in acoordanca with PC?
`
`
`Article 21(2). :5 member oltha public may obtain a copy at‘:
`
`
`the tie contents;
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`the pending appllcaticn as originally filed; or
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`.
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`llthaappllcation Bl
`tad vraf
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`lherwisa identified in a U5. patent. a statutory invslificn
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`registration. a U.S. patent application publication. or an international patent appiicaiicn puhlicaflcn in
`
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`accartianca with PCT Article 21(2), 3 member of the public may obtain a copy or‘:
`
`mud! .- _.-. ..
`file-
`
`Typad or printed name
` Ragistration—Numbar. if applicable
`-
`n3
`
`Talephona Number
`
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`‘nth =lecE:n at i.1l:rr.1:lia1 in raqulicc by 37 CPR 1.14. Tho h!r:n1ii:nluu..‘uirad 5: .-‘chin crrstzin :_‘:¢.-.n_fii by in: ,:ub'J:t-nigh is lafili (If-1 a;:u_:- U553:
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`............... 705/37
`12/1998 Lnpien et al.
`$845,266 A
`
`611999 Patterson, Jr. at ul.
`705I35
`5,915,245 A
`............ 70$/37
`7Il999 Silvennan el al.
`5,924,082 A
`(List continued on next page.)
`FOREIGN PATENT DOCUMENTS
`W0 99@759
`' 6/1999
`W0 95/26005 A1
`9/1995
`WO 98149639
`11/1998
`W0 99l19B2l
`4/1999
`WO 99131259 A1
`6/1999
`W0 99]$424
`10/1999
`W0 C0/52619
`9/2000
`WO_mI&l87
`10/ZIIK)
`W0 ODIESSIO
`11I1tIX)
`W0 O1I16&O
`3/QIIII
`WO 01116852
`311001
`W0 011115
`3/2001
`WO 01188808
`11/Z001
`OTHER PUBLICATIONS
`
`JP
`W0
`W0
`‘W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`W0
`
`www.h:di11gtechnologies.con:/pmductsixtrade/f1.lll.l1tn1l
`(viewed May 22, 2001), <Jun. 9, 2000.‘
`Kllamuf. A trading room with a view, Futures, 27,11, Nov.
`1998.‘
`
`USPTO Presentation, NASDAQ, Nov. 8, 2001. enclosed pp.
`1-13.
`
`Primary Exam1‘ner—Richard Weiaberger
`(74) Anomey, Agent, or Firm4oley &. Lardner
`(57)
`ABSTRACT
`
`A method and system for reclining the time it takes for a
`hader to place a trade when electronically trading on an
`exchange, thus increasing the lilcelihoud that the trader will
`have orders filled :1 desirable prices and quantities. The
`“Mercury” display and trading method of the present inven-
`tion ensure fast and acanate execution of trades by display-
`ing market depth on a vertical or horizontal plane, which
`fluctuates logically up or down, left or right across the plane
`as the market prices fluctuates This allows the trader to trade
`quickly and eflidently.
`
`56 Claims, 6 Drawing Sheets
`
`
`'31l,2
`
`(75)
`
`(73)
`
`( ‘)
`
`(21)
`(B)
`
`(50)
`
`(51)
`
`(52)
`
`(58)
`
`(55)
`
`Inventors: GaryAllan Kemp, II, Winnetka, IL
`(US); J2ns—Uwe schlumer, Evanston,
`IL (US); Harris B1-nmfield, Chicago,
`IL (US)
`
`Assignee:
`
`Notice:
`
`Tmdlng Technologies International,
`.Inc., Chicago, IL (US)
`Subject to any disclaimer, the team of this
`patent is extended or adjusted under 35
`U.S.C. 154(1)) by245 days.
`App!‘ No.: 09/590,692
`Filed:
`Jun. 9, 2000
`
`Related U.S. Application Data
`1>:m&'.e.rona1 application No. 50/155,322. filed on Mar. 2,’
`200
`————-—~—...,
`
` ............ GOGF 17/60
`
`U.S. Cl.
`
`.......................... 705/37; 705/35: 705/36;
`705/37; 705/10; 705/14; 345/814
`
`Field of Search ......................... ... 705/35. 36, 37,
`705/10, 14; 345/814
`
`.. 364/408
`.. 364/514
`. 364/408
`
`Rcferences Clted
`U.S. PATENT DOCUMENTS
`Kalmus et al.
`4,674,044 A
`6/1987
`Boilen ..........
`4,750,135 A
`5/1933
`4,903,201 A
`2/1990
`Wagner
`5,033,234 A
`3/1991
`Kramer
`5,DTI,665 A
`12/1991
`Silvcrnun at al.
`s,mus3 A
`3/1992
`Iupien at nl.
`Silverman d al.
`5,135,501 A
`8/1992
`5,270,922 A
`12/1993
`Higgins
`5,297,031 A
`3/1994
`Guuerman at al.
`5,297,032 A
`3/1994
`Trojan et al.
`.
`5,689,651 A
`11/1997
`Lozmun ........
`5,114,871 A
`5/1993
`.
`Pa1.terso11., Jr. et aL
`5,’/93;1o1 A
`8/1998
`Fattexsun, Jr. et 11!. .. 340/825.26
`5,797,002 A
`3/1993
`Patlersm1,.l1: et al.
`
`
`3!1:1“
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`(12)
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`United States Patent
`Kemp, II at al.
`
`(10) Patent No.:
`US 6,772,132 B1
`(45) Date of Patent:
`Aug. 3, 2004
`
`(54)
`CLICK BASED TRADING WITH INTUITIVE
`GRID DISPLAY OF MARKET DEPII-I
`
`
`Igar.=Er‘Err1_;11E11_;-
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`paierlt apglimzion pubficaficn, or an internal anal pafient
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`,'-‘rjcle 21(2), 2 member of me public may obtain a copy of.
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`if the aplicailcr. IS incomoratai bv rafera.1c:.= or 0-':l-lerwi
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`US006T72l32B1
`(10) Patent No.:
`US 6,772,132 B1
`(45) Date of Patent:
`Aug. 3, 2004
`
`A
`
`-
`
`(75)
`
`( ' ) Notice:
`
`(54) CLICK BASED TRADING WITH IN'I'UI'l‘I‘VE
`GRID DISPLAY OF MARKET nurm
`In
`venlars Gary Allan Kan H, W‘
`flu, [L
`(US); Jens-Uwe SPo:,hludhle:mEvAns(on,
`it
`Ham’ “'"'“.5*"‘- °hi°*E°-
`JP
`W0
`(73) Axignecz 'fi:1dlngTechuolugies International,
`30
`luc., Chicago, IL (US)
`o
`W0
`Subjccl to any disclaimer. the term ofthis
`patent is exlcuded or adjusted under 35 W0
`U.S.C. 1540;) by 245 days.
`3'3
`(21) App].No.: 09/590,692
`fig
`(22) Filed:
`Jun. 9, 2000
`we
`0
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`.
`.
`_
`llellated U.S. Agpllcatlan Data
`wo
`(60) moasanm applnahon
`o 6l‘.|Il36.3fl, filed on Man: 2,
`(51)
`Int. CL’ .................................... soar 17150
`(53)
`u_s_ cg,
`__________
`__ 705,37; 705,35; 705,35;
`
`-, 7:15:10; 705/14; 345/314
`
`705137
`...
`12/1993 Lupieu elal.
`5,845,256 A
`
`705/35
`511999 Patterson, Jr. :1 .
`$915,245 A
`7r1999 Silva:-man at at ..._....... 705/37
`5,924,082 A
`_
`_
`0”‘ °°'“'““°d °“ "°’“ 9'5“)
`roman PATENT nocumams
`W099/30259
`-
`611999
`WO 95116005 A1
`911995
`wo as/49539
`xmm
`wo 99/19321
`4/1999
`W0 99/1139 A1
`6/1999
`W0 99153624
`10/1999
`W0 $19
`M1100
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`137
`10/2000
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`OTHER PUBucA_nONs
`z",Y1;“wf;‘;;‘:§,“£';’“;,‘;;%f‘<“;":f‘;”d23g.ff,“"“—“L”“'
`lChaxouf.A lrading mom win: a view, Futures, 27,11. Nov.
`1995-‘
`USFYO Prcsenugion. NASDAQ. Nov. 8, 2001, cnclosni pp.
`1-13-
`
`.
`
`.
`.0
`
`(58)
`
`(55)
`
`[field of Search ......................_._ 705/35, 36, 37,
`705/10, 14; 345/814
`
`References Cited
`
`us. PATENT DOCUMENTS
`..... 364/408
`4,674,044 A
`H1987 Kallnus at :1.
`l____ 3“/5“
`4,750,135 A mg“ Beau _________.
`0903301 A
`7,1990 w_y,,,
`5,033,234 A mm xmm .................... 364/409
`5,071,665 A
`12/1991 Silvenmn at al.
`'
`5,101,353 A
`3/1992 hnpien cl. al.
`5.136.501 A
`8/19.92 Silvcrmnn -1 al.
`5,297,031 A
`1/1994
`Gulten-nan el al.
`5-279-912 A
`‘M993 W885“ ------------------- 364v’408
`$37,032 A
`3/1994
`5,639,651 A
`I1/1997 '
`.
`.
`5,774,377 A
`6/I998
`5,793,301 A
`BIl998 Pnuuson, Jr. etaL .. 340185.26
`5,797,002 A
`8/1998 Pallnsnn, Jr. :1 al. ..... 395/611
`
`_
`Primary Emzniner—-Richard Wensbcrger
`(I4) Ammtey, Agent, or Firrn—Fo1ey A‘: Lardner
`(57)
`ABSTRACI.
`.
`.
`.
`um: 11 tgkes for n
`Amethod and system for rcdumng
`trader to place a trad; when clean-onmlly lradmg an an
`on-‘hange. thus inmasins the lflmlihnod that the trader will
`have orders fillcd at dcsinblc prices and quantities. The
`“Marw:-y" display and trading method of the prawn! inven-
`Iinn ensure fasl and accurate execution at trades by d'splny-
`ing mnrkct depth on a vertica! or horizontal plane, which
`asthe market prism flnctuaxes. This allows the trader to Ind:
`q“i°kI" “"5 °m°i"““V‘
`
`56 Claims, 6 Drawing Sheets
`
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`REQUEST FOR ACCESS TO AN ABANDONED APPiJCATiON UNDER 37 CFR 1.14
`' no of
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`File lnfomiation Unit
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`REQUEST FOR ACCESS TO AN ABANDONED APPLICATION UNDER 37 CFR 1 .14
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`application, which is identified in, one which a benefit is claimed, in the following document (as shown in the
`attachment):
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`United States PatentApplication Publication No.
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`WIPO Pub. No.
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`For published applications that are still pending, a member of the public may obtain a copy or’:
`the tile contents;
`the pending application as originally filed; or
`any document in the file of the pending application.
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`ifthe bomfit of the pant-rgg application is claimed under 35 U.S.C. 119(e). 120. 121. or 365 in another
`application that has: (a) issued as a U.S. patent. or (b) published as a statutory invention registration, a U.S.
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`the file mutants;
`the pending application as originally tiled; or
`any document in the lil - of the pending application.
`e application is r,._.-mo . »- -
`reference or otherwise identified in a U.S. patent. a statutory invention
`if
`= istration, a U.
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`l here;-1;‘! reques; _ac_cess under 37 CPR 'l.‘l4(e.)(‘l)(iv) to the eppliceiionfile recs rd of die above-Edeniified ;1B.£ND0i-lE-'_‘|
`application, Whlcfl 15 zderrtmed in, or to which a heszefii is claimed, in ihe following document (as shown in the
`attachment):
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`Related information about Access 3:0 Pending Appiicaeions (37 CFR 1.14):
`Direct access to pending applications is not available to the public but copies may be available ad may be
`
`purchased from the Oifica of Public Records upon payrnentoi ihe appropriate fee (37 CFR 1.19(b)l. as follows:
`
`
`For nublished applications that are sbll aendino a member of the public may obtain a cop} or‘:
`the file contents:
`the pending application as originally filed; or
`
`any document in the file of the pending eppliceiion.
`For unpublished aoollcations that are sfill uendina:
`\ (1) , If the mda 35 U.S.C. 11Q(el. 120. 121. or 365 in another
`applicafion that has (a) issued as a U5. petenlz. or (in) published as e steiuiory invention regislrezicn, a US.
`patent application publlzztlon. or an lnlemaiionel paheni application publication in accordance with PCT
`Article 21(2). 3 mernberof ihe public may obtain 2 copy of:
`-
`lhe file contents;
`.
`the pending application as originally filed: or
`any document in the rile ofihe pending appicafian.
`lr' the application is incomorzted bv E:-3‘..§[_xce or oli1eiwiseiden'u'rTed in e U.S. neieni. e s't.=.iui:ory invention
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`regietrafian. a U.S. patent application publication, or an international pzieni epplicafian publication in
`accordance with FCTAriicle 21(2), a member or‘ the publlc may obiein a copy of‘.
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`the penoin application as oriinally filed.
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`Registefion Nurnhe‘. lfeppllceble '
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