vino
`
`-Serial No. 09/590,692
`
`_
`
`4
`
`.Attorney_Docket No. 024051/013,5
`
`that such document is considered
`theclaims of the present application or
`material to patentability as defined in 37 CFR §1.56(b). Applicants do not waive
`any rights to take any action which would be appropriate to antedate or
`otherwisegremove as a-competent reference any document which is determined
`to be a yranl fggfi prior art
`reference against
`the claims of
`the present
`
`I
`
`A application.
`
`to the examination of the
`Portionsof the references may be material
`pending claims,’ however no such admission is intended. _' 37-
`1.97 (h).
`
`The references have not been reviewed in sufficient detail to make any other
`« representation and,
`in particular, no representation is intended as to the relative
`importance. of any portion of the ‘references. '
`
`TIMING OF THE DISCLOSURE
`
`The instant Information Disclosure Statement is being‘ filed in compliance
`with 37 .C.F.R. §1.97(b) withinnthree (3) months of the filing date of a request
`for continued examination (RCEl in theiabove-id‘entified application,
`
`002.922677.1
`
`000901
`
`000901
`
`

`
`Serial No. 09/590,692
`
`0
`
`Attorney Docket No. 024051/0135
`
`Applicants respectfully request that the listed documents be considered by
`
`the Examiner and formally be made of record in the present application and that
`
`an initialed copy of Form PTO/SB/08 be returned in accordance with MPEP
`
`§609.
`
`/Voué Agar;
`
`I Z,
`
`2902
`
`Date
`
`Respectfully submitted‘,
`
`fl“5XZ
`
`Ankur D. Shah
`
`0
`
`—
`
`Registration No.« 41 ,51 4
`
`FOLEY & LARDNER
`
`Washington Harbour
`3000 K "Street, N.W., Suite 500
`
`Washington, D.C. 20007-5143
`Telephone:
`(202) 672-5300
`Facsimile:
`(202) 672-5399
`
`Should additional fees be necessary in connection with the filing ofthis paper, or if a petition for extension of time is
`required for timely acceptance of same, the Commissioner is hereby authorized to charge Deposit Account No. 19-0741 for
`
`any such fees, and app|icant(s) hereby petition for any needed extension of time.
`
`002.922677.1
`
`000902
`
`000902
`
`

`
`‘I
`.
`sc-9o:(ss-mun) uouvzino . zau nzwaiso . szuauszsma . I-Il':lllX:l3'OJ.¢:lSn1HI\S .[au1u rm'=_i:gme mama] we 9L:sc:v coomuzi J.V anon . 8LlL sow
`
`NOLOGIES"
`
`ING
`
`_
`
`FACSIMILE COVER SHEET
`
`TO:
`COMPANY:
`
`PHONE NUMBER:
`
`Richard Weisberger
`USPTO
`
`FAX NUMBER:
`
`703-872-9025
`
`FROM:
`
`COMPANY:
`
`Steve Borsand
`
`Trading Technologies
`222 3. Riverside Plaza, Suite 1100
`
`Chicago, IL 60606 — USA
`
`PHONE NUMBER:
`FAX NUMBER:
`
`(312)47e1o13
`(312)476-1001
`
`DATE:
`# or PAGES:
`
`’
`
`,
`
`12/19/03
`
`NOTES:
`
`'
`
`RE: o9/590,592
`
`Richard — Here are the documents that you requested:
`
`the Terminal Disclaimer and IDSs filed
`
`I have not included any Information Disclosure Statements
`in October and November 2003.
`that were filed before October 2003.
`
`Than ks,
`
`Steve Borsand
`
`I-d
`
`ig3[19,g,y3[g
`
`‘
`
`.LJ.
`
`wast-:1: 8002 SI 33!]
`
`000903
`
`000903
`
`

`
`_
`‘I’
`
`x
`‘NK’
`
`.‘,
`.,
`
`Atty. Dkt. No. 024051-0135
`
`IN THE UNITED STATES PA TENTAND TRADEMARK OFFICE
`
`Applicant:
`
`Gary Alan KEMP II et al.
`
`Title:
`
`CLICK BASED TRADING WITH
`
`INTUITIVE GRID DISPLAY OF
`MARKET DEPTH
`
`Appl. No.:
`
`09/590,692
`
`Filing Date:
`
`06/09/2000
`
`Examiner:
`
`R. Weisberger
`
`Art Unit:
`
`3624
`
`TERMINAL DISCLAIMER
`
`Commissioner for Patents
`PO Box 1450
`
`Alexandria, Virginia 22313-1450
`
`Sir:
`
`Your Petitioner, "Trading Technologies Inc., having its principal place of
`business at 222 S. Riverside Plaiei, Suite 1100, Chicago, IL 60606, hereinafter represents that
`
`it is the owner of the entire right, title, and interest in and to
`
`Patent Application Serial
`
`No. 09/590,692, filed 06/09/2000, by virtue of an Assignment filed and recorded on October
`2, 2000 on Reel/Frame 0| 1 188/0355 in the
`Patent and Trademark Office, a copy of
`
`which is attached hereto as APPENDIX A. Further, your Petitioner represents that it is the
`owner of U.S. Patent Application No. 09/894,637, filed 06/27/2001, by virtue of an
`
`Assignment filed and recorded on October 2, 2000 on Reel/Frame 011188/0355 in the U.S.
`
`Patent and Trademark Office, a copy of which is attached hereto as APPENDIX B.
`
`Your Petitioner, Trading Technologies Inc., hereby disclaims the terminal part
`
`of the term of any patent granted on U.S. Patent Application 09/590,692 which would extend
`
`beyond the full statutory term, as shortened by any terminal disclaimer, of any patent granted
`
`on U.S. Patent Application 09/894,637, and hereby agrees that any patent so granted on U.S.
`
`Patent Application 09/590,692 shall be enforceable only for and during such period that the
`
`002.1094375.1
`
`-1-
`
`000904
`
`000904
`
`

`
`C\.a,.
`
`Atty. Dkt. No. 024051-0135
`
`legal title to any patent granted on U.S. Patent Application O9/894,637 shall be the same as the
`
`legal title to any patent granted on U. S. Patent Application O9/590,692, this agreement to run
`
`with any patent granted on U.S. Patent Application O9/590,692 and to be binding upon the
`
`grantee, its successors or assigns.
`
`In making the above disclaimer, Petitioner does not disclaim any terminal part
`
`of any patent granted on U.S. Patent Application 09/590,692, prior to the full statutory term
`
`0 of any patent granted on U.S. Patent Application 09/894,637 as defined in 35 U.S.C. §§154-
`
`156 and 173, in the event that any patent granted on U.S. Patent Application O9/894,637
`
`expires for failurehto pay a maintenance fee, is held unenforceable or is found invalid in a final
`
`judgment by a court of competent jurisdiction, is statutorily disclaimed in whole or terminally
`
`disclaimed under 37 CFR §l.321(a), has all claims canceled by a reexamination certificate or
`
`as a result of an interference proceeding, or is otherwise not deemed to provide the rights
`
`conveyed by 35 USC §154, prior to the full statutory term of any patent granted on U.S.
`Patent Application O9/894,637 as defined. 35 USC §§154-156 and 173, except for the
`
`separation of legal title stated above. Further, Petitioner does not disclaim any terminal part of
`
`a patent granted on U.S. Patent Application O9/590,692 that would extend beyond the present
`
`termination of any patent granted on U.S. Patent Application O9/894,63 7, in the event that
`
`such present term is extended by virtue of compliance with the conditions for term extension
`
`of any present or future patent term extension ‘provisions of the patent law, including but not
`limited to 35 U.S.C. §§155, 155A or 156, and without waiving Petitioner's right to extend the
`
`term of a patent granted on U.S. Patent Application O9/590,692 to the extent provided by law.
`
`The undersigned, being the Attorney of Record for U.S. Patent Application
`
`09/590,692, and duly authorized to act on behalf of Petitioner, certifies that he has reviewed
`
`and B, and to the best of his knowledge and
`the Assignments attached as APPENDlCE_S
`belief, legal title to U.S. Patent Application 09/590,692 and any patent granted on U.S. Patent
`
`Application O9/894,637 rests with Petitioner, Trading Technologies Inc. The undersigned
`
`declares that all statements made herein of their own knowledge are true and that all statements
`
`made on information and belief are believed to be true; and fiirther that these statements were made
`
`with the knowledge that willfial false statements and the like so made are punishable by fine or
`
`)02.1094375.1
`
`5
`
`-2-
`
`000905
`
`000905
`
`

`
`‘N.
`
`Atty. Dkt. No. 024051-0135
`
`imprisonment, or both, under Section 1001, Title 18 of the United States Code, and that such
`
`willful false statements may jeopardize the validity of the above-identified application or any patent
`
`issuing therefrom.
`
`Date: October 20, 2003
`
`FOLEY & LARDNER
`
`Customer Number: 22428
`Telephone:
`Facsimile:
`
`(202) 672-5399
`
`Respectfully submitted,
`
`By
`
`Q N0 ’
`
`
`
`William T. Ellis
`
`Attorney for Applicam
`Reglstratlon N0.
`
`)02.1094375.1
`
`-3-
`
`000906
`
`000906
`
`

`
`Atty. Dkt. No. 024051-0135
`
`IN THE UNITED STATES PATENTAND TRADEMARK OFFICE
`
`Applicant:
`
`Gary Alan KEMP II et al.
`
`Title:
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF
`MARKET DEPTH
`
`Appl. No.:
`
`09/590,692
`
`Filing Date:
`
`06/09/2000
`
`Examiner:
`Art Unit:
`
`R. Weisberger
`3624
`
`INFORMATION DISCLOSURE STATEMENT
`UNDER 37 CFR §1.56
`
`Commissioner for Patents
`PO Box 1450
`
`Alexandria, Virginia 22313-1450
`
`Sir:
`
`1
`
`is
`
`93
`
`iii
`.75
`,5 5;:
`iii
`;-2;?‘
`jfjCW
`:4
`
`Submitted herewith on Form PTO/SB/08 is a listing of documents known to
`
`Applicants in order to comply with Applicants‘ duty of disclosure pursuant to 37 CFR §1.56.
`
`A copy of each listed document is being submitted to comply with the provisions of 37 CFR
`
`§1.97 and §1.98.
`
`The submission of any document herewith, which is not a statutory bar, is not
`
`intended as an admission that such document constitutes prior art against the claims of the
`
`present application or that such document is considered material to patentability as defined in
`
`37 CFR §l.56(b). Applicants do not waive any rights to take any action which would be
`
`appropriate to antedate or otherwise remove as a competent reference any document which is
`
`determined to be a primafacie‘ art reference against the claims of the present application.
`
`TIMING OF THE DISCLOSURE
`
`The listed documents are being submitted in compliance with‘37 CFR §1.97(b),
`
`before the mailing date of the first Office Action after the filing of a request for continued
`
`examination under 37 C.F.R. § 1.114.
`
`002.1106019.1
`
`000907
`
`000907
`
`

`
`Atty. Dkt. No. 024051-013 5
`
`RELEVANCE OF EACH DOCUMENT
`
`The listed documents were cited by a patent examiner during the prosecution of a
`
`corresponding foreign patent application.
`
`Applicants respectfully request that any listed document be considered by the
`
`Examiner and be made of record in the present application and that an initialed copy of Form
`
`PTO/SB/08 be returned in accordance with MPEP §609.
`
`The Commissioner is hereby authorized to charge any additional fees which may be
`required regarding this application under 37 CFR §§ 1.16-1.17, or credit any overpayment, to
`
`Deposit Account No. 19-0741. Should no proper payment be enclosed herewith, as by a
`
`check being in the wrong amount, unsigned, post-dated, otherwise improper or informal or
`
`even entirely missing, the Commissioner is authorized to charge the unpaid amount to
`
`Deposit Account No. 19-0741 .
`
`DateNovember 12 2003
`
`
`
`FOLEY & LARDNER
`
`Customer Number: 22428
`
`Telephone:
`Facsimile:
`
`(202) 672-5485
`(202) 672-5399
`
`Respectfully submitted,
`
`By
`
`M t
`
`William T. Ellis
`
`Attorney for Applicant
`Registration No. 26,874
`
`002.1106019.1
`
`000908
`
`000908
`
`

`
`— A
`
`tty. Dkt. No. 024051-013
`
`x
`
`available Copy
`
`.
`
`_
`
`I
`
`3:-“"*
`
`IN THE UNITED STATES PATENTAND TRADEMARK OFFICE
`
`Applicant:
`
`Gary Alan KEMP II et al.
`
`Title:
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF 8
`MARKET DEPTH
`g--<1
`
`Appl. No.:
`
`09/590,692
`
`Filing Date:
`
`06/09/2000
`
`Examiner:
`
`R. Weisberger
`
`Art Unit:
`
`3624
`
`‘:3
`
`‘.39
`
`‘:3.
`
`5
`
`..,~As0"2m—::~;;:::10303030
`
`
`0931531.33"
`
`8’; u
`
`INFORMATION DISCLOSURE STATEMENT
`
`UNDER 37 CFR §1.56
`
`Commissioner for Patents
`PO Box 1450
`
`Alexandria, Virginia 22313-1450
`
`Sir:
`
`Submitted herewith on Form PTO/SB/08 is a listing of documents known to
`
`Applicants in order to comply with Applicants‘ duty of disclosure pursuant to 37 CFR §1.56.
`
`A copy of each listed document is being submitted to comply with the provisions of 37 CFR
`
`§1.97 and §1.98.
`
`The submission of any document herewith, which is not a statutory bar, is not
`
`intended as an admission that such document constitutes prior art against the claims of the
`
`present application or that such document is considered material to patentability as defined in
`
`37 CFR §1.56(b). Applicants do not waive any rights to take any action which would be
`
`appropriate to antedate or otherwise remove as a competent reference any document which is
`
`determined to be a primafacie art reference against the claims of the present application.
`I1§
`
`TIMING OF THE DISCLOSURE
`.9:7(b),
`The listed documents are being submitted in compliance with 37 CFR
`‘ before the mailing date of the first Office Action after the filing of a request fogcontinued
`
`examination under 37 C.F.R. § 1.1 14.
`
`O02.1094137.1
`
`000909
`
`
`
`
`
`10123/2003SHILLIQH000000
`
`01FC:18l4
`
`000909
`
`

`
`.
`
`‘
`
`‘,5
`
`Atty. Dkt. No. 024051-0135
`
`RELEVANCE OF EACH DOCUMENT
`
`Document A7 relates to a Commodity Exchanging Apparatus, Commodity
`
`Exchanging System, Commodity Exchanging Method and Storage Medium.
`
`English translations of the foreign-language document is not readily available;
`
`however, an English language abstract is attached herewith. The absence of such a translation
`
`does not relieve the PTO from its duty to consider the submitted document (37 C.F.R. § 1.98
`
`and MPEP § 609).
`
`8
`
`Applicants respectfully request that any listed document be considered by the
`
`Examiner and be made of record in the present application and that an initialed copy of Form
`
`PTO./SB/O8 be returned in accordance with MPEP §609.
`
`The Commissioner is hereby authorized to charge any additional fees which may be
`
`required regarding this application under 37 CFR §§ 1.16-1.17, or credit any overpayment, to
`
`Deposit Account No. 19-0741. Should no proper payment be enclosed herewith, as by a
`
`check being in the wrong amount, unsigned, post-dated, otherwise improper or informal or
`
`even entirely missing, the Commissioner is authorized to charge the unpaid amount to
`
`Deposit Account No. 19-07481.
`
`Date October 20 2003
`
`
`
`FOLEY & LARDNER
`Customer Number: 22428
`Telephone:
`(202) 6725485
`Facsimile:
`(202) 672-5399
`
`,
`
`I
`
`I
`
`_
`
`Respectfully submitted,
`
`By
`
`M vvo
`
`‘rlgéék
`
`William T. Ellis
`Attorney for APP“°ant
`. Registration No. 26,874
`
`002.1094137.1
`
`000910
`
`000910
`
`

`
`__:oflEz1/zqos 19:25 FAX 5145
`
`IN THE UNITED STA TES -PA TENT AND TRADEMARK OFFICE
`
`Gary Alan KEMP II at al. I
`
`CLICK BASEI5 TRADING WITH
`INTUITIVE GRID DISPLAY OF
`__ MARKET DEPTH
`
`CERTIFICATE gf i‘Ac8lM|LE TRANSMISSION
`I hereby certify that
`this paper
`is holng
`facsimile
`3§{,';'j'§,‘,°f_h‘;g;';",{‘}§f"fm5;§‘°;‘:;’m’;“b‘:,'::w‘f““ T""*°m*"k
`_
`1
`Cvmanthra ll'Vll'lg
`[Printed Name)
`_
`
`Applicant:
`
`Title:
`
`Appl. No.:
`
`Filing Date:
`
`06/09/2000
`
`09/590,692
`
`Examiner:
`
`R. Weisberger
`
`Art Unit:
`
`3624
`
`Commissioner for Patents
`
`Washington, D.C. 20231
`
`Sir:
`
`Please amend the application as follows:
`
`“ 7
`
`u
`
`In the Specification:
`
`In accordance with 37 CFR § 1.121, please substitute for the paragraph starting
`on line 10 of page 17, the following rewritten version of the same paragraph, as
`amended. The changes are shown explicitly in the attached "Marked Up Version
`
`Showing Changes Made. "
`
`Using the screen display and values from Figure 5, the placement of trade orders
`using the Mercury display and trading ‘method is now described using examples. A left
`click on the 18 in the BidQ column 1201 will send an order to market to _k3_L_J_y_ 17 lots
`(quantity # chosen on the Quantity Description pull down menu cell 1204) of the
`commoditar
`(the corresponding price in the Pro column 1203). Similarly,
`at
`ice
`or./os/2004 muss:
`ooo_oo o1 teifll
`_
`q§’§9@t§2
`a left click on the 20 in the AskQ column 1202 will send an order to market to sell 17
`01 FC:2202
`54.00 Dll
`Am.4..._—._.
`lots at a price of 90.
`
`.
`
`In the Claims:
`
`0023875972
`
`Received mam < 5145 > at 3:21:03 7:24:23 PM [Eastern Standard Tlme] 1 1 '
`
`‘
`
`000911
`
`

`
`_
`
`‘o3/21/2003 19:25 FAX 5145 I
`
`F&L DC BIO-TEC
`
`007
`
`Atty. Dkt. No. 024051-0135
`
`In accordance with 37 CFR § 1.121, please substitute for claims 22, 23, 29, 30,
`and 35-40, the following rewritten versions of the same claims, as amended. The
`changes are shown explicitly in the attached "Marked Up Version Showing Changes
`Made."
`
`,
`
`Further, please add new claims 89-95 as indicated below.
`
`
`(Amended)
`A methodof placing a trade order for a commodity on an
`3
`electronic exchange having an inside market with a highest bid price and a lowest ask
`a
`price, using a graphical user interface and a user input device, said method comprising:
`setting a preset parameter for the trade order
`displaying market depth of the commodity, through a dynamic display of a
`plurality of bids and a plurality of asks" in the market for the commodity, including at
`least a portion of the bid and ask quantities of the commodity, the dynamic display
`being aligned with a static display of prices corresponding thereto, wherein the static
`
`D!
`
`display of prices does not move in response to a change in the inside market;
`displaying an order entry region..aligned with the static display of prices
`comprising a plurality of areas for receiving commands from the user input device to
`send trade orders, each area corresponding to a price of the static display of prices; and
`selecting a particular area in the order entry region through a single action of the
`user input device with a pointer of the user input device positioned over the particular
`area to set a plurality of additional parameters for the trade order and send the trade
`
`order to the electronic exchange.
`
`53/
`
`l
`
`i
`
`,
`A method of placing a trade order according to claim
`(Amended)
`.
`wherein said trade order is a buy order if the position of the pointer at the time of said
`single action is within a bid order entry region and wherein said trade order is a sell
`order if the position of the pointer at thetime of said single action is within an ask order
`|
`entry region.
`-
` +_j
`gl
`(Amended)
`A computer readable medium having program code recorded
`thereon, for execution on a computer having a graphical user interface and a user input
`
`
`W
`
`0023875972
`
`:
`
`Received from < 5145 > at 3I21I03 7:24:23 PM [Eastern Standard Time]
`
`1 2
`
`000912
`
`

`
`‘o3/21/2
`
`003 19:26 FAX 5145 l
`
`F&L DC BIO—TEC
`
`008
`
`Atty. Dkt. No. 024051-0135
`
`” device, to place a trade order for a commodity on an electronic exchange having an
`inside market with a highest bid price and a lowest ask price, comprising:
`a first program code for setting a preset parameter for the trade order;
`a second program code displaying market depth of a commodity, through a
`dynamic display of a plurality of bids and a plurality of asks in the market for the
`commodity, including the bid and ask quantities of the commodity, aligned with a static
`display of prices corresponding thereto, wherein the'static display of prices does not
`move in response to a change in the inside market;
`a third program code for displaying an order entry region comprising a plurality of
`areas for receiving commands from the user input device to send trade orders, aligned
`with the static display of prices, each area corresponding to a price of the static display
`
`of prices; and
`_
`.
`a fourth program code for receiving a command as a result of a selection of a
`particular area in the order entry region by a single action of the user input device with a
`pointer of the user input device positioned over the particular area, to set a plurality of
`additional parameters for the trade order and send the trade order to the electronic
`
`exchange.
`
`
`7:36’.
`(Amended)
`A computer readable medium having program code rec rded
`thereon, for execution on a computer to place a trade order according to c|aim,2a9',%)
`further comprising program code for establishing that said trade order is a buy order if
`the position of the pointer at the time o__f._,said single action is within a bid order entry
`region and that said trade order is a sell order if the position of the pointer at the time of
`said single action is within an ask orderuentry region.
`
`'
`
`\
`
`A client system for placing a trade order for a commodity
`(Amended)
`.
`on an electronic exchange having an inside market with a highest bid price and a lowest
`
`ask price, the system comprising:
`a parameter setting component for setting a preset parameter for the trade order;
`a display device for displaying market depth of a commodity, through a dynamic
`display of a plurality of bids and a plurality of asks in the market for the commodity,
`including the bid and ask quantities of the commodity, aligned with a static display of
`prices corresponding thereto, wherein the static display of prices does not move when
`
`0023375972
`
`Received from < 5145 > at 3I21l03 7:24:23 PM [Eastem Standard Time]
`
`000913
`
`-3-
`
`000913
`
`

`
`”03/21/2003 19:26 FAX 5145
`
`F&.L DC BIO—TEC
`
`009
`
`Atty. Dkt. No. 024051-0135
`
`the inside market changes, and for displaying an order entry region aligned with the
`
`static display of prices, comprising a plurality of areas for rec'eiving commands to send
`
`trade orders, each area corresponding to a price of the static display of prices;
`
`a user input device for positioning a pointer thereof over an area in the order
`
`entry region; and
`A
`a trade order sending component for receiving a command as a result of a
`
`if
`
`selection of the area in the order entrylregion by a single action of the user input device
`
`with a pointer of the user input device positiohed over the area, to set a plurality of
`additional parameters for the trade order and send the trade order to the electronic
`
`exchange.
`
`_
`
`‘
`
`i
`
` /
`
`4
`5
`
`A client system for placing a trade order for a commodity
`(Amended)
`according to claim 35,lt»Iherein said trade order sending component establishes that said
`trade order is a buy order if the position of the pointer at the time of said single action is
`within a bid order entry region and that said trade order is a sell order if the position of
`the pointer at the time of said single action is within an ask order entry region.
`
`b
`
` N3
`
`A client system for placing a trade order for a commodity
`(Amendedi
`/.
`according to claim 36,\‘3vherein said trade order sending component establishes that the
`trade order is for a pre-determined fixed quantity and for a price corresponding to the
`
`position of the pointer at the time of said single action.
`
`W
`
`(Amenyledl
`
`A client system for placing a trade order for a commodity
`
`wherein said trade order sending component establishes that the
`according to claim
`trade order is for a quantity equal to a current net position of the user in the commodity
`and for a price corresponding to the position of the pointer at the time of said single
`
`action.
`
`\“l7
`A client system for placing a trade order for a commodity
`(Amended)
`§{.
`according to claim §$,Owherein said trade order sending component establishes that the
`trade order is for a quantity equal to a predetermined fixed offset plus the sum of all
`quantities in the market at prices better than or equal to a price corresponding to the
`
`0023875972
`
`Received from < 5145 > at 3I21!03 7:24:23 PM [Eastern Standard Time]
`
`1 4
`
`000914
`
`

`
`‘03/21/2003 19:27 FAX 5145 I
`
`F&I_. DC BIO—TEC
`
`010
`
`position of the pointer at the time of--said single action and for a price corresponding to
`
`said position.
`
`Atty. Dkt. No. 024051-0135
`
`.
`
`PW
`
`(Amend
`it”
`9°
`according to claim 3\9, wherein said trade order sending component establishes that said
`offset is equal to a first pre-determined value if a single action of a first type is taken
`
`)
`
`A client system for placing a trade order for a commodity
`
`and said offset is equal to a second predetermined value if a single action of a second
`
`type is taken.
`
`, wherein the bid order entry region
`(New) The method of claim
`50,88?
`overlaps with a bid display region and the ask order entry region overlaps with an ask
`7.1?»'1
`
`display region.
`
`3%.
`thereon, for execution on a computer to place a trade order according to claim
`
`(New) A computer readable medium having program code recorde
`
`,
`
`wherein the bid order entry region overlaps with a bid display region and the ask order‘
`
`entry region overlaps with an ask display region.
`
`(New) A client system for placing a trade order for a commodity
`
`€35.
`, wherein the bid order entry region overlaps with a bid display
`according to claim,
`region and the ask order entry region overlaps with an ask display region.
`
`I
`i
`T
`53
`(New) The method of claim }«2’wherein the market depth is based on an
`92?
`exchange order book and wherein the static display of prices does not move in response
`to the addition of a price to the exchange order book, the additional price comprising a
`
`displayed price.
`
`53
`5%
`The method of claim §2’wherein the static display of prices does not
`93’.
`move in response to the removal of a price from the exchange order book, the removed
`
`price comprising a displayed price.
`
`0029875972
`
`Received from < 5145 > at 3121/03 7:24:23 PM [Eastern standard Time]
`
`000915
`
`000915
`
`

`
`03/21/2003 19:27 FAX 5145
`
`F&L DC BIO—TEC
`
`011
`
`Atty. Dkt. No. 024051-0135
`
`l
`5
`The method of claim 22’wherein the market depth is based on an
`94’.
`exchange order book and the static display of pricesnever moves in response to a price
`
`change in the exchange order book relating to a price which is displayed.
`3‘:
`'
`The method of claim ,2/2' wherein the plurality of additional parameters
`
`comprises a price and type of order.
`
`
`
`0023875972
`
`Received n'om < 5145 > at 3I21I03 7:24:23 PM [Eastem Standard Time]
`
`000916
`
`000916
`
`

`
`‘o3/'21/zoos 19:27 FAX 5145 .
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`F&L no B1o_TEc
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`' I
`
`012
`
`Atty. Dkt. No. 024051-0135
`
`REMARKS
`
`Claims 22-88 were pending in the application. Claims 22, 23. 29, 30, and 35-
`
`40 have been amended. Claims 89-95 have been added. No new matter has been
`
`introduced. Thus, claims 22-95 are pending for consideration at this time.
`
`Applicants thank the Examiner for the telephone interview of March 21, 2003.
`
`The pending claims have been amended’ as discussed. The discussion resulted in
`
`agreement that the claims as amended are allowable and that a Notice of Allowance
`
`would be issued promptly.
`
`Applicants note that the amendments are being made without prejudice and
`
`solely in order advance prosecution of this application more rapidly to issuance.
`
`Respectfully submitted,
`
`By flfifl
`
`
`
`I’
`‘
`
`Ankur D. Shah
`Attorney for Applicant
`“°9‘“'a“°" “°' 4‘ '5“
`
`Date March 21, 2003
`
`-
`FOLEY & LARDNER
`Customer Number: 22428
`Illlllllllllllllllllllllllllllllll
`22428
`PATENT TKADBIIARK OFFICE
`
`Telephone:
`Facsimile:
`
`(202)672-5300
`(202) 672-5399
`
`
`
`Should additional fees be necessary In connection with the filing of this paper, or if a petition for
`extension of time Is required for timely acceptance of same,
`the Commissioner
`ls hereby
`
`
`authorized to charge deposit account No. 19-0741 for any such fees; and applicant hereby
`
`etltlons for an needed extension of time.
`
`0029875972
`
`Received l'rom < 5145 > at 3/21/03 7:24:23 PM [Eastern Standard TIme]
`
`000917
`
`000917
`
`

`
`.
`
`‘ca/'21/2003 19:27 FAX 5145 ,
`
`_
`
`.
`
`F&L DC BIO—TEC
`
`013
`
`‘
`
`Atty. Dkt. No. 024051-0135
`
`MARKED UP VERSION SHOWING CHANGES MADE
`
`In the Specification:
`
`The paragraph starting on line 10 of page 17:
`
`Using the screen display and values from Figure 5, the placement of trade orders
`
`using the Mercury display and tradingrnethod is now described using examples. A left
`click on the 18 in the BidO column 1201 will send an order to market to [sell] LLLQL 17
`
`lots (quantity # chosen on the Quantity Description pull down menu cell 1204) of the
`
`commodity at a price of 89 (the corresponding price in the Prc column 1203). Similarly,
`
`a left click on the 20 in the AskO column 1202 will send an order to market to [buy] s_efl
`
`17 lots at a_ price of 90.
`
`In the Claims:
`
`A method of placing a trade order for a commodity on an
`22.
`(Amended)
`electronic exchange having an inside market with a highest’ bid prige ghd a lowest ask
`
`pric , using a graphical user interface and a user input device [and having preset
`
`parameters for trade orders], said method, comprising:
`
`settin a
`
`se
`
`arameter fort e
`
`de order
`
`displaying [the] market depth of [a] E commodity [traded in a market], through
`
`a dynamic display of a plurality of bids and a plurality of asks in the market for the
`commodity, including at least a portion pj the bid and ask quantities of the commodity,
`
`the dynamic display being aligned with a static display of prices corresponding thereto,_
`
`wherein t
`
`tatic dis la of
`
`' es does not move in res onse o
`
`chan e in the insi e
`
`market;
`
`displaying an orgei; entry region aligned with the sggtip display of prices
`
`comprising a pigrgiity of areas for receiving commands from the user inpg; ggviga to
`send trade orders, each area corresponding to a price pf the static display of prices‘, and
`[initiating placement of a] selecting a partigular area in the ogder entm region
`
`[trade order of the commodity] through a single action of the user input device with a
`
`pointer of the user input device positioned over [an] the particular area [in said dynamic
`lit of additional
`arameters
`rade order
`
`displays of bids and asks] to set
`
`and semi the trade order to the electronig ggchangei;
`
`0029875972
`
`Received from < 5145 > at 3I21I03 7:24:23 PM [Eastern Standard Time]
`
`000918
`
`000918
`
`

`
`‘03/21/2003 19:28 FAX 5145
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`F&L DC BIO-TEC
`
`014
`
`Atty. Dkt. No. 024051-0135
`
`wherein the contents of the trade order are based in part upon the preset
`
`parameters and the position of the pointer at the time of said single action].
`
`23.
`
`(Amended)
`
`A method of placing a trade order according to claim 22,
`
`wherein said trade order is a buy order if the position of the pointer at the time of said
`
`single action is within a bid order entry [display] region and wherein said trade order is a
`
`sell order if the position of the pointer at the time of said single action is within an ask
`
`prder entry [display] region.
`
`29.
`
`(Amended)
`
`A computer readable medium having program code recorded
`
`thereon, for execution on a computer having a graphical user interface and a user input
`
`device [and having preset parametersjpr trade orders], to place a trade order for a
`
`commodity on an electronic exchange having an inside market with a highest bid price
`
`and a [guest ask price, comprising:
`
`a. first program pggg fpr setting a preset parameter for the trggg order;
`
`a [first] second program code displaying [the] market depth of a commodity
`
`[traded in a market], through a dynamic display of a plurality of bids and a plurality of
`
`asks in the market for the commodity, including the bid and ask quantities of the
`
`commodity, aligned with a static display of prices corresponding thereto. wherein the
`
`stgtic display of priges does not mpye in response to a change in the inside market;
`
`athird ro ram cod
`
`i
`
`la in an ordere
`
`ion com risin
`
`a
`
`luralit of
`
`aregs for receiving commands from the user ippgt device to :send trade orggrs, aligned
`
`with the static gi§p|gy of prices, each «area corresponding-to g pripe of the static display
`
`of prices; and
`
`a [second] fourth program code for [initiating placement of a trade order of the
`
`commodity through a single action of the user input device with a pointer of the user
`
`input device positioned over an area in said dynamic displays of bids and asks; and
`
`a third program code for setting characteristics of the trade order based in part
`
`upon the preset parameters and the position of the pointer at the time of said single
`
`action] receiving a command as a result of g selggtion of a particulgr grep in the order
`
`pntry region by g sipgle action of the user input device with p ppinter of the user inpp;
`device ositioned over the
`‘c lar area to set a
`luralit of additio
`ara
`tars for
`
`'
`
`the trade order and send the traps; prggr 19 the electronic exchange.
`
`0029875972
`
`Received from < 5145 > at 3:21:03 7:24:23 PM [Eastern Standard Tlme]
`
`000919
`
`-9-
`
`000919
`
`

`
`'03/21/2003 19:28 FAX 5145
`
`F&L DC BIO—TEC
`
`015
`
`Atty. Dkt. No. 024051-0135
`
`30.
`(Amended)
`A computer readable medium having program code recorded
`thereon, for execution on a computer to place a trade order according to claim 29,
`
`further comprising program code for establishing that said trade order is a buy order if
`
`the position of the pointer at the time of said single action is within a bid order entry
`[display] region and that said trade order is a sell order if the position of the pointer at
`the time of said single action is within an ask order entry [display] region.
`
`35.
`
`(Amended)
`
`A client system for placing a trade order for a commodity
`
`on an electronic exchange having an inside market with g highest bid grice ang a lowest
`
`ask grice, the system comprising:
`a ggrameter setting cgmgonent for setting a preset geramgtgt tor the trade orde_r;
`
`a display device for displaying [the] market depth of a commodity [traded in a
`
`market], through a dynamic display of a plurality of bids and a plurality of asks in the
`
`market for the commodity, includingthe bid and ask quantities of the commodity,
`
`aligned with a static display of prices corresponding thereto, wherein the static display
`rket chan as and for dis Ia '
`order
`
`v when the ins'd
`
`of
`
`rices does no
`
`entr
`
`re ion ali
`
`d
`
`lhthe static dis la of
`
`rices com risin a
`
`luralit of areas fog
`
`receiving commands to send ttggg orders, each gggg corresponding to a price of the
`
` ;
`A
`a user input device for positioning a pointer thereof over an area in [said dynamic
`displays of bids and asks and for initiating placement of a trade order of the commodity
`through a single action o