casecnaeL—a\n01a5oInEaImemmem(enset Dim; (913!/£12/D3/B3gELPat_:j126lRIigbFB1§teBD4#:134
`A0 121 (6/90)
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`(USPT0)
`'’0- Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN ACTION OR APPEAL
`REGARDING A COPYRIGHT
`
`In compliance with the Act of July 19, 1952 (66 Stat. 814; 35 U.S.C. 290) you are hereby advised
`that a court action has been filed on the following patent(s) in the U.S. District Court:
`
`DOCKET
`11_cV_01558
`
`DATE FILED
`03/04/2011
`
`UNITED STATES DISTRICT COURT,
`NORTHERN DISTRICT OF ILLINOIS,
`EASTERN DIVISION
`
`PLAINTIFF
`GL Trade Americas Inc
`
`PATENT NO.
`
`6’772’132
`
`DEFENDANT
`Trading Technologies International, Inc.
`
`DATE OF PATENT
`
`PATENTEE
`
`08/03/2004
`
`Kemp, II; Gary Allan (Winnetka, IL),
`Schluetter; J ens-Uwe (Evanston, IL),
`Brumfield; Harris (Chicago, IL)
`
`Kemp, 11; Gary Allan (Winnetka, IL),
`Schluetter; J ens-Uwe (Evanston, IL),
`Brumfield; Harris (Chicago, IL)
`
`
`
`6’766’304
`
`07/20/2004
`
`In the above—entitled case, the following atent S have been included:
`DATE INCLUDED
`INCLUDED BY
`
`[
`
`] Amendment
`
`[
`
`] Answer
`
`[
`
`] Cross Bill
`
`[
`
`] Other Pleading
`
`In the aboVe—entitled case, the followin; decision has been rendered or 'udment issued:
`
`DECISION/JUDGMENT:
`
`
`
`
`
`
`
`
`
`
`
`(BY) DEPUTY CLERK Travis
`/s/ Eunice M. Tejeda / Grammer
`
`DATE
`03/07/2011 /
`
`3 / Q2 / 2 012
`
`CQG EXHIBIT 1002
`
`0001
`
`
`
`Thomas G-
`CLERK
`
`Michael w. Dobbins / Bruton
`
`
`
`CQG EXHIBIT 1002
`
`
`
`0001
`
`

`
`A0121 (6/90)
`
`IE)
`
`i
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`(USPTOI
`P-0- 80* 145"
`Alexandria. VA 22313-.1450
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN ACTION OR APPEAL
`REGARDING A COPYRIGHT
`
`In compliance with the Act of July l9, 1952 (66 Stat. 814; 35 U.S.C. 290) you are hereby advised
`that a court action has been filed on the following atent(s) in the U.S. District Court:
`
`DOCKET
`11_cV_01558
`
`DATE FILED
`03,04,201 1
`
`UNITED STATES DISTRICT COURT,
`NORTHERN DISTRICT OF ILLINOIS,
`EASTERN DIVISION
`
`In the above-entitled case, the followin atent s have been included:
`
`PLAINTIFF
`
`DEFENDANT
`
`GL Trade Americas’ hm
`PATENT N0.
`
`Trading TechnologIes International, Inc.
`DATE OF PATENT
`PATENTE E
`
`6,772,132
`
`03/03/2004
`
`5’756=3°4
`
`0730/2004
`
`Kemp, II; Gary Allan (Winnetka, IL),
`Schluetter; Jens-Uwe (Evanston, IL),
`Brumfield; Harris (Chicago, IL)
`
`Kemp, II; Gary Allan (Winnetka, IL),
`Schluetter; Jens-Uwe (Evanston, IL),
`Brumfield; Harris (Chicago, IL)
`
`DATE INCLUDED
`
`INCLUDED BY
`[
`] Amendment
`
`[
`
`]Answer
`
`[
`
`]Cross Bill
`
`[
`
`]Other Pleading
`
`PATENT No.
`
`DATE OF PATENT
`
`PATENT
`
`
`
`III the above-entitled case, the followin - decision has been rendered or 'udment issued:
`DECISION/JUDGMENT:
`
`
`
`
`CLERK
`Michael W. Dobbins
`
`(BY) DEPUTY CLERK
`/s/ Eunice M. Tejeda
`
`
`
`DATE
`03/07/2011
`
`/
`
`
`
`
`
`
`
`0002
`
`0002
`
`

`
`I3
`
`A0 121 (6/90)
`
`TRADEMARK
`
`;
`3
`_
`*
`
`REPORT oN THE
`FILING OF DETERMINATION on AN
`ACTION REGARDING A PATENT OR
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`(USPT0)
`P-0- Box 1450
`Alexandria, VA 22313-1459
`
`In compliance with 35 U.S.C. 290 and/or 15 U.S.C. 11I6 you are hereby advised
`that a court action has been filed on the following paten_‘t(s)/trademark(s) in the U.S. District Court:
`
`
`
`UNITED STATES DISTRICT COURT,
`NORTHERN DISTRICT OF ILLINOIS,
`EASTERN DIVISION
`
`DATE FILED:
`
`3/9/2010
`
`DOCKET NO.
`
`10-CV-0093 I
`
`
`
`
`
`Defendant(s):
`TradeHelm, Inc.
`
`i
`?
`
`
`
`
`
`
`Plaintiff(S):
`
`Trading Technologies
`International, Inc.
`
`PATENT NUMBER
`
`On Nex Page
`
`
`
`
`
`
`
`—E
`
`In the above-entitled case, the following t'rademarks(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`[
`]Amendment
`
`
`
`[
`
`]§Answer
`
`[
`
`I
`
`Cross Bill
`
`[
`
`]Other Pleading
`
`:—
`
`-
`In the ab0ve—enlitled case, the following decision has been rendered orjudgrnent issued
`
`
`
`DATE: ls.’ Brenda Rinozzi
`
`j
`
`March 10, 2010
`
`CLERK- MICHAEL W. DOBBINS
`
`DEPUTY CLERK:
`
`2
`
`HOLDER OF PATENT OR TRADEMARK
`
`0003
`
`

`
`HOLDER OF PATENT OR TRADEMARK
`
`Gary Allan Kemp, II
`
`
`
`DATE or PATENT
`
` I
`
`Jens-Uwe Schluetter
`
`
`
`Jul. 20, 2004.
`
` Harris Brumfield
`
`
`Aug. 3, 2004:
`
`
`
`PATENT NUMBER
`
`6,766,304
`
`.__,./
`
`.u--""'
`
`6,772,132
`
`7,212,999 ,——-/“
`
`7,533,056
`
`-~—«''"
`
`
`
`
`
`
`
`Gary Allan Kemp, II
`
`J ens-Uwe Schluetter
`
`May 1, 20073}
`
`‘I
`May 12, 2009?
`
`Harris Brumfield
`
`Richard W. Friesen
`
`Peter C. Hart
`Richard W. Friesen
`
`:
`
`Peter C. Hart
`
`0604
`
`
`
`Gary Allen Kemp, II
`Mar. 9, 20103
`7,676,411 '———~*
`
`Jens-Uwe Schluetter
` Harris Brumfield
`
`0004
`
`

`
`A0 121 (6/90)
`
`TRADEMARK
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`(UsPr0)
`9-0-3“ 145“
`“'°"“““"“~ VA "3‘3'“5"
`
`REPORT oN THE
`FILING OF DETERMINATION or-‘ AN
`ACTION REGARDING A PATENT oR
`
`In compliance with 35 U.S.C. 290 and/or 15 U.S.C. 1116 you are hereby advised
`that a court action has been filed on the following patent(s)/trademark(s) in the U.S. District Court:
`
`DOCKET NO.
`
`10-CV-00721
`
`Plaintiff(s):
`Trading Technologies
`International, Inc.
`
`DATE FILED:
`
`2/3/2010
`
`Det'endant(s):
`
`UNITED STATES DISTRICT COURT,
`
`NORTHERN DISTRICT OF ILLINOIS,
`EASTERN DIVISION
`
`IBG LLC et al
`HOLDER OF PATENT OR TRADEMARK
`
`——_ I
`
`In the above-entitled case, the following trademarks(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`[
`
`} Amendment
`
`[
`
`]Answer
`
`[
`
`]Cross Bill
`
`[
`
`]Other Pleading
`
`DATE OF TRADEMARK
`
`n the above-entitled case, the following decision has been rendered or judgment issued
`
`DECISION/JUDGMENT :
`
`CLERK - MICHAEL W. DOBBINS
`
`DEPUTY CLERK: Isl Brenda Rinozzi
`
`February 4, 2010
`
`00705
`
`0005
`
`

`
`
`
`
`
`
`Jens-Uwe Schluetter HarrisBrumfield
`Richard W. FriesenS
`
`
`7,533,056
`
`‘>-—-—
`
`5/12/2009
`
`
`
`Richard W. Friesen
`
`Peter C. Hart
`
`00%
`
`PATENT NUMBER
`
`DATE OF PATENT
`
`HOLDER OF PATENT OR TRADEMARK
`
`6,766,304 ____,_
`
`7/20/2004
`
`Gary Allan Kemp, II
`
`Jens-Uwe Schluetter
`
`
`
`Harris Brumfield
`
`Gary Allan Kemp, II
`
`
`
`8/3/2004
`
`5/1/2007
`
`8/12/21008
`
`Richard W. Friesen
`
`Peter C. Hart
`
`6,772,132
`
`7,212,999
`
`7,412,416
`
`0006
`
`

`
`A0 121 (6190)
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`
`CUSPTO)
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`
`
`In compliance with 35 U.S.C. 290 and/or 15 U.S.C. 1116 you are hereby advised
`that a court action has been filed on the followin; atent s /trademark s in the U.S. District Court:
`
`
`DOCKET NO.
`NORTHERN DISTRICT OF ILLINOIS,
`
`
`EASTERN DIVISION
`10 C 885
`2/9/10
`
`DATE FILED:
`
`UNITED STATES DISTRICT COURT,
`
`
`
`
`
`
`
`
`
`TRADEMARK NUMBER
`
`DATE OF‘ TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`
`
`PIaintiff(s):
`Trading Technologies
`International, Inc.
`
`Defendant(s):
`Open E Cry, LDC, etal.,
`
`8/3f04
`
`5/1/07
`
`5/12/09
`
`Trading Technologies
`
`Trading Technologies
`
`Trading Technologies
`
`Trading Technologies
`
`
`
`6,766,304
`
`6,772,132
`
`7,212,999
`
`7,533,056
`
`
`
`
`
`In the above-entitled case, the following trademarks(s) have been included:
`
`DATE INCLUDED
`
`INCLUDED BY
`
`TRADEMARK NUMBER
`
`DATE OF TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`[
`
`]Amendment
`
`[
`
`]Answer
`
`[
`
`]CrossBill
`
`[
`
`]Olher Pleading
`
`——
`——
`
`—_
`/5! Sheila Moore
`
`In the above-entitled case, the following decision has been rendered or judgment issued:
`
`DECISION/JUDGMENT
`
`CLERK - MICHAEL W. DOBBIN S
`
`DEPUTY CLERK:
`
`DATE:
`
`2/10/10
`
`0007
`
`0007
`
`

`
`l
`
`llll
`
`REGARDING A COPY RIGHT
`
`Commissioner of Patents and Trademarks
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN ACTION OR APPEAL
`
`In compliance with the Act of July 19, 1952 (66 Stat. 814; 35 U.S.C. 290) you are hereby advised
`that a court action has been filed on the followin atent s
`in the US. District Court:
`
`
`
`‘ ' D’O‘CKET"l‘0E\'/S8'4—‘_- '”~“‘ ' " E —
`
`02/9/10
`
`UNITI~:I')"s’T‘ATE‘s IJETIEICT CSUIST,"NOETIIERNBISTIIICT ' 0
`OF ILLINOIS, EASTERN DIVISION
`
`PLAINTIFF
`
`DEFEN DANTS
`
`Trading Technologies International, Inc.
`
`TradeStation Securities, Inc., and TradeStation Group,
`Inc.
`
`
`
`
`DATE OF PATENT
`
`
`
`July 20, 2004
`
`August 3, 2004
`
`May 1, 2007
`
`May 12, 2009
`
`
`
`Trading Technologies
`
`Trading Technologies
`
`
`
`—I I
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`CLERK MICHAEL W.
`
`DOBBINS
`
`DATE
`
`02/10/2010
`
`
`Copy 1 - Upon initiation of action, mail this copy to Com i loner Copy 3 ~ Upn terminn of action, mail this copy to Commissioner
`
`Copy 2 - Upon filing document adding paten1(s), mail thi py to Commissioner
`
`Copy 4 A Case file copy
`
`0008
`
`n the above-entitled case, the followin atent s have been included:
`DATEINCLUDED
`INCLUDED BY
`
`
`
`
`[
`
`] Cross Bill
`
`[
`
`] Other Pleading
`
`PATENTEE
`
`PATENT NO.
`
`DATE or PATENT
`
`[
`
`] Amendment
`
`[
`
`l
`
`Answer
`
`
`
`
`
`
`0008
`
`

`
`TRADEMARK
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`(USPTOI
`1’-9- 3°!‘ 145“
`
`REPORT ON THE
`FILING or DETERMINATION OF AN
`
`In compliance with 35 U.S.C. 290 and/or 15 USC. 1116 you are hereby advised
`that a court action has been filed on the following patent(s)/trademark(s) in the U.S. District Court:
`
`Plaintiff(s):
`Trading Technologies
`
`Defendant(s):
`TradeHelm, Inc.
`
`DOCKET NO.
`
`10-cv—00931
`
`DATE FILED:
`
`UNITED STATES DISTRICT COURT,
`
`2/11/2010
`
`NORTHERN DISTRICT OF ILLINOIS,
`EASTERN DIVISION
`
`International, Inc.
`
`In the above—entit1ed case, the following trade1narks(s) have been included:
`
`
`
`INCLUDED BY
`
`[
`
`] Amendment
`
`[
`
`]Answer
`
`[
`
`]Cross Bill
`
`[
`
`]
`
`Other Heading
`
`DATE OF TRADEMARK
`
`HOLDER OF‘ PATENT OR TRADEMARK
`
`DATE INCLUDED
`
`TRADEMARK NUMBER
`
`
`
`
`
`
`
`_—
`—_
`
`In the above-entitled case, the following decision has been rendered or judgment issued
`
`DECISION/J UDGMENT :
`
`CLERK - MICHAEL W. DOBBINS
`
`DEPUTY CLERK:
`
`DATE:
`
` lsi Brenda Rinozzi
`
`February 11, 2010
`
`00b9
`
`0009
`
`

`
`PATENT NUMBER
`
`DATE OF PATENT
`
`HOLDER OF PATENT OR TRADEMARK
`
`6,766,304 ““
`
`Jul. 20, 2004
`
`Gary Allan Kemp, II
`
`Jens-Uwe Schluetter
`
`Harris Brumfield
`
`6,772,132
`
`Aug. 3, 2004
`
`Gary Allan Kemp, II
`
`
`
`
`
`
`
`
`
`
`Jens-Uwe Schluetter
`
`Harris Brumfield
`
`7,212,999 '—‘\
`
`May 1, 2007
`
`Richard W. Friesen
`
`V
`
`Peter C. Hart
`
`7,533,056
`May 12, 2009
`Richard W. Friesen
`
`
`Peter C. Hart
`
`00610
`
`00010
`
`

`
`A0 121 (6190)
`
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`COMMISSIONER OF PATENTS AND TRADEMARKS
`(USPTO)
`PO. Box 1450
`
`In compliance with 35 U.S.C. 290 and/or 15 U.S.C. 1116 you are hereby advised
`that a court action has been filed on the following patent(s)/trademark(s) in the U.S. District Court:
`
`
`
`DOCKET NO.
`1U—cv—883
`
`
`
`
`
`DATE FILED
`
`2/9/2010
`
`UNITED STATES DISTRICT COURT, NORTHERN
`DISTRICT OF ILLINOIS, EASTERN DIVISION
`
`
`
`
`
`PLAINTIFF:
`
`DEFENDANTS:
`
`I
`
`Tradi-ngillech-nologies-Intemational, Inc.» _ _ - gthinkorswim. G.ronp,_Inc.,_et_al_
`
`
`
`
`
`
`
`
`
`6,766,304
`
`6,772,132
`
`7,212,999
`
`7,533,056
`
`7/20/04
`
`8/3l04
`
`5/1/07
`
`5/12/09
`
`
`
`Trading Technologies International, Inc.
`
`Trading Technologies International, Inc.
`
`Trading Technologies International, Inc.
`
`Trading Technologies International, Inc.
`
`
`
`
`
`In the above-entitled case, the following tracIemarks(s) have been included:
`
`
`
`[
`
`]Amendment
`
`[
`
`]Answer
`
`[
`
`]CrossBill
`
`[
`
`]Other Pleading
`
`DATE OF TRADEMARK
`
`HOLDER OF PATENT OR
`TRADEMARK
`
`INCLUDED BY
`
`DATE INCLUDED
`
`TRADEMARK NUMBER
`
`In the above-entitled case, the following decision has been rendered or judgment issued:
`
`DECISION/JUDGMENT
`
`'
`
`February 11, 2010
`
`CLERK
`
`(BY) DEPUTY CLERK:
`
`DATE;
`
`MICHAEL W. DOBBINS
`
`Gwen Rosegay
`
`00911
`
`00011
`
`

`
`REGARDING A COPYRIGHT
`
`ll.S. PATENT &TRAD ~ K OFFICE
`COMMISSIONER OF PATENTS AND TRADEMARKS
`WASHINGTON. DC. 2023!
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN ACTION OR APPEAL
`
`In compliance with the Act of July 19, 1952 (66 Stat. 814; 35 U.S.C. 290) you are hereby advised
`that a court action has been filed on the following patent(s) in the US District Court:
`
`DOCKET 05cv2164
`
`DATE FILED
`
`UNITED STATES DISTRICT COURT, NORTHERN
`
`4/ 13/05
`
`DISTRICT OF ILLINOIS, EASTERN DIVISION
`
`PLAINTIFF Trading Technologies International Inc.
`222 South Riverside Plaza, Suite 1100
`
`DEFENDANT Man Group PLC
`Sugar Quay, Lower Thames Street
`
`Chicago, IL 60606
`
`PATENT NO.
`
`DATE OF PATENT
`
`PATENTEE
`
`London EC3R 6DU, United Kingdom
`
`6,766,304
`
`6m-132
`
`July 20, 2004
`
`Gary A. Kemp, Jean—Uwe Schluetter
`and Harris Brumfield
`
`Auaust3=2°°4 _
`
`In the above-entitled case, the following patent(s) have been included:
`DATE INCLUDED
`INCLUDED BY
`
`[
`
`]Amendment
`
`[
`
`]Answer
`
`[
`
`]Cross Bill
`
`[
`
`I
`
`In the above-entitled case, the following decision has been rendered or judgment issued:
`
`]Other Pleading
`
`
`CLERK.Michael W. Dobbins
`
`(BY) DEPUTY CLERK
`
`DATE
`
`Laura Springer
`
`8/29/07
`
`00012
`
`00012
`
`

`
`3.
`
`TI‘ is the sole and exclusive owner of the '304 patent and the ‘I32 patent, and has
`
`the right to sue upon, and recover damages for past infringement and enjoin future
`
`infringement of the '304 and ‘I32 patents.
`
`4.
`
`5.
`
`All claims of the ‘304 and ‘I32 patents are valid and enforceable.
`
`FATS has infringed the '304 and ‘I32 patents under 35 U.S.C. Section I7! by
`
`making, using, selling. offering for sale.
`
`importing. and/or otherwise distributing
`
`electronic trading software incorporating the DOME screen, which presently includes
`
`versions of PA'I‘S' "J~Trader" and “H-Trader“ products. a screenshot of which is
`
`included in Exhibit A.
`
`6.
`
`Defendant FATS, its officers, directors. partners, members, affiliates. subsidiaries,
`
`assigns. and successors-in-interest are hereby permanently enjoined (unless expressly
`
`permitted by TI‘) during the terms of the ‘J04 and ‘I32 patents from the making, using.
`
`selling, offering for
`
`sale,
`
`importing,
`
`facilitating connectivity for and otherwise
`
`distributing in the United States the electronic trading sofiware products referred to in
`
`paragraph 5 above including, without limitation. for use in electronically trading any item
`
`(e.g., futures. options. equities. fixed~income products, etc.).
`
`'7.
`
`TI‘ waives its rights to damages from PATS arising fiorn the manufacture. use.
`
`sale or offers to sell, importation and/or other distribution of the electronic trading
`
`software products referred to in paragraph 5 above prior to entry of this Judgment.
`
`8.
`
`Notwithstanding the terms of this Consent Judgment. PATS expressly reserves
`
`the right to contest infringement if the PATS software is modified so as to not infi-inge
`
`00013
`
`00013
`
`

`
`In the event that PATS contests inti-ingement based on FATS
`the patents-in-suit.
`software that is modified, TT resewes the right to assert any and all claims against FATS
`including without limitation a claim of contempt of court based on a violation of this
`Consent Judgment in the event that the Court finds there is no oolorable difference
`between the modified FATS soflwere and the sofiware that is the subject of this Consent
`
`Judgment.
`
`This Court shall retain jurisdiction over this case for purposes of‘ enforcing the
`9.
`Consent Judgment and the confidential Settlement Agreement between the parties
`
`pursuant to which the Consent Judgment is filed.
`
`10.
`
`Each party shall bear its own costs and attorneys‘ fees.
`
`SO ORDERED
`Dated:
`
`90¢
`
`* W
`
`-
`Ro ert W. Gettlwnan
`United States District Court Judge
`
`00014
`
`00014
`
`

`
`AGREED TO:
`
`Dated:
`
`
`
`5- to lo;
`
`Dated:
`
`.‘."[Z0 @003’
`
`%//<//
`
`w
`Paul H. Berghoff (ID No. 6! 80462)
`bcif R. Sigmund. Jr. (ID No. 6204980)
`Matthew J. Sampson (ID No. 6207606)
`McDonnell Boelmen Hulbert
`& Berghofi LLP
`300 South Wacker Driv:
`Chicago. IL 60606
`Tel.: (312) 913-0001
`Fax: (312) 913-0002
`
`Attorneys for Plaintiff
`TRADING TECHNOLOGIES
`INTERNATI HAL, INC.
`
` Will am H. Fr
`
`.
`Kent E. Genin (ID No. 6216122)
`Brinks Hofer Gllson & Lions
`NBC Tower — Suite 3600
`455 N. Cityfmnl Plaza Dtive
`Chicago. Illinois 60611-5599
`
`Attorneys for Defendants
`PATSYSTEMS (NA) LLC and
`PATSYSTEMS PLC
`
`00015
`
`00015
`
`

`
`EXHIBIT A
`
`00016
`
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`1
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`
`United States District Court, Northern District ofIllinois
`
`/
`
`Sitting Judge if Other
`shun Assigned Judge
`
`DATE
`
`TITLE
`bear its own costs and attomeys’ fees. Court retains
`
`CASE
`
`DOCKET ENTRY TEXT
`
`Status hearing held. Enter Consent Judgment in fav
`
`or of plaintiff and against defendant with each party to
`jurisdiction to enforce the Consent Judgment.
`
`I [ For further detail see attached order.]
`
`D°°'‘°”“3 “’ "“*“ “°"°°5‘
`
`
`
`A ERUE cop!-nrrzer
`
`
`
`l'!ICHA.ELW it
`BYI-Inc-I \ +o -m--
`
`
`
`
`
`DEPUTY cum.
`FOR‘!-‘_H,B‘RN—‘
`U. 3. DISTRICT COURT.
`oxsmcr or u.1.I_uo1_s
`J.
`
`
`
`Courtroom Deputy
`Initials:
`
`CW
`
`OSCZI64 Trading Technologies lntemational, Inc. vs. Man Financial, Inc.
`
`page 1 of 1
`
`00019
`
`00019
`
`

`
`-‘I
`
`UNITED STATES DISTRICT COURT
`NORTHERN DISTRICT OF ILLINOIS
`EASTERN DIVISION
`
`Civil Action No. 05 C 2164
`
`Judge William T. Hart
`
`
`
`A Inns COPY—ATTE
`ST
`MICHAEL w.
`Dossxms, c
`
`.
`
` .___:___
`
`Trading Technologies lntemational, Inc.,
`
`Plaintiff,
`
`v.
`
`Man Financial, Inc.
`
`Defendant.
`
`___?.___
`
`) ) ) ) ) ) ) ) ) ) ) ) )
`
`CONSENT JUDGMENTm—
`
`DATE
`
`As a result of settlement of this action by virtue of a confidential settlement
`
`agreement between the parties dated November 21, 2005 which shall become effective
`
`upon entry of this Consent Judgment and upon consent of Plaintiff, Trading Technologies
`
`lntemational, Inc. (“TT") and Defendant, Man Financial, Inc. (“MAN"), judgment is
`
`hereby entered against MAN upon TT’s Complaint, and it
`
`is hereby ORDERED,
`
`ADJUDGED, and DECREED that:
`
`1.
`
`TT commenced this action for patent infringement against MAN on April 13,
`
`2005. This action alleges that MAN infringes U.S. Patent Nos. 6,766,304 (“’304 patent")
`
`and 6,772,132 (‘"132 patent”).
`
`00020
`
`
`
`DEPUTY cnsnx
`U- 8. DISTRICT cou
`DISTRICT or I::IN;g:Tn.IN
`
`AUG 1 2007
`
`
`"‘"‘---- ---so.--...uuuu-nun.--.u-onu........
`
`
`
`
`
`00020
`
`

`
`2.
`
`This Court has jurisdiction over the parties to this action and over the subject
`
`matter of the Complaint.
`
`3.
`
`MAN does not contest that TT is the sole and exclusive owner of the '304 patent
`
`and the ‘I32 patent, and has the right to sue upon, and recover damages for past
`
`infringement and enjoin future infringement ofthe ’304 and ’l32 patents.
`
`4.
`
`MAN does not contest the validity or enforceability of any claims of the ‘304 and
`
`‘I32 patents. Accordingly, all claims of the ’304 and ’l32 patents are valid and
`
`enforceable against MAN.
`
`5.
`
`The case of T7‘ v. Patystems (NA) LLC et al. (“Patsystems"), Civil Action No. 05
`
`C 2984 (N.D. 111., Judge Gettleman) was resolved on May 20, 2005 by the entry of a
`
`Consent Judgment finding that Patsystems infringed the ’304 and ‘I32 patents by
`
`making, using and selling software that incorporated a trading screen named “DOME".
`
`A copy of that Consent Judgment is attached as Exhibit 1 hereto. A screenshot of the
`infringing DOME product is attached as Exhibit A to that Consent Judgment. Afier July
`20, 2004 (the issue date of the ‘304 patent) and prior to the commencement of this
`
`lawsuit, MAN provided to its clients electronic trading software made by Patsystems that
`
`incorporated the DOME trading screen that was the subject of the May 20, 2005 Consent
`
`the Consent Judgment attached as Exhibit A. TT does not now contend that
`
`the
`
`infringement was willful or deliberate. Accordingly, the parties stipulate that MAN has
`
`infringed the ’304 and ’l32 patents under 35 U.S.C. Section 271 by using, selling,
`
`00021
`
`00021
`
`

`
`offering for sale, importing, and/or otherwise distributing, the DOME trading screen from
`
`Patsystems, but that MAN’s infringement was not willful or deliberate.
`
`6.
`
`Defendant MAN, its officers, directors, partners, members, affiliates, subsidiaries,
`
`assigns, and successors-in—interest are hereby permanently enjoined (unless expressly
`permitted by TT) during the tenns of the ’304 and ‘I32 patents from infringing the ‘304
`and ‘I32 patents through 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.
`
`Any claims of infringement that Tl‘ has against MAN based on MAN’s use
`
`and/or distribution of electronic trading software provided by other third parties prior to
`
`entry of this judgment are dismissed without prejudice. The parties have addressed this
`issue in the Settlement Agreement by MAN agreeing not to infringe the '304 and ‘in
`
`patents and by TT releasing MAN for all past damages relating to any past infringement.
`TT is not waiving the right to assert the ’304 and/or ’132 patents against MAN based on
`
`MAN’s use and/or distribution of such third party software in the future. MAN is not
`
`waiving any rights to assert that such third party software does not infringe the ’304
`
`and/or ‘I32 patents ifTT makes such an assertion of infringement in the future.
`
`8.
`
`TT waives its rights to damages from MAN arising from the use, sale or offers to
`
`sell, importation and/or other distribution of the electronic trading software products
`
`referred to in paragraph 5 above prior to entry of this Judgment.
`
`00022
`
`00022
`
`

`
`___——-—-......._l.
`
`__._._...
`
`9.
`
`This Court shall retain jurisdiction over this case for purposes of enforcing the
`
`Consent Judgment.
`
`10.
`
`The right to enforce this Consent Judgment shall transfer to any successor-im
`
`interest to T1‘.
`
`1 1.
`
`Each party shall bear its own costs and attorneys
`
`3
`
`fees.
`
`SO ORDERE
`Dated:
`
`I
`
`2.0 5/
`
`United States District Court Judge
`
`AGREED TO:
`
`Dated:
`
`‘l X 3‘! 05
`
`
`
`Leif R. Sigmond, Jr. (ID No.
`04980)
`Matthew J. Sampson (ID No. 6207606}
`McDonnell Boehnen Hnlbert & Berghoff LL!’
`300 South Wacker Drive
`Chicago, IL 60606
`Tel.: (312) 913-0001
`Fax: (3l2) 913-0002
`
`Attorneys for Plaintiff
`TRADING TECHNOLOGIES
`INTERNATIONAL, INC.
`
`
`
`
`
`81)
`Bradford P. Lyerla (ID No. 622
`Marshall, Gerstein & Borun, L P
`23 S. Wacker Drive
`6300 Sears Tower
`Chicago, Illinois 60606
`Tel.: 3l2.474.6300
`Fax: 312.474.0048
`Attorneys for Defendant
`MAN FINANCIAL, INC.
`
`
`
`00023
`
`00023
`
`

`
`EXHIBIT 1
`
`00024
`
`00024
`
`

`
`UNITED STATES DISTRICT COURT
`NORTHERN DISTRICT OF ILLINOIS
`EASTERN DIVISION
`
`Civil Action No. 05 C 2984
`
`Judge Gettlemarl
`
`Magistrate Judge Mason
`
`)
`
`})
`
`))
`
`))
`
`))
`
`)
`
`_.______..._.._.._..___..__.__._....._._
`
`Trading Teehnologim International, Inc.,
`
`Plaintifl".
`
`v.
`
`Patsystetns (NA) LLC, and Patsysterns PLC,
`
`Defendants.
`
`QQESEEIAQQQEHHEE
`
`As a result of settlement of this action by virtue of a confidential settlement
`
`agreement between the parties dated May 19. 2005 which shall become effective upon
`entry of this Consent Judgment and upon consent of Plaintiff. Trading Technologies
`lntemational, Inc. ("T'l"”) and Defendants. Patsystems (NA) LLC and Patsystems PLC
`(collectively “PATS"), judgment is hereby entered against PATS upon TT‘s Complaint,
`and it is hereby ORDERED. ADJUDGED, and DECREED that:
`
`TI‘ commenced this action for patent infringement against FATS on May 19,
`1.
`2005. This action alleges that FATS infringes U.S. Patent Nos. 6.766.304 ("’304 patent")
`and 6,772,132 (“’ I 32 patent"). FATS has received and reviewed a copy ofthe Complaint
`
`filed by T1‘ in this action.
`
`2.
`
`This Court has jurisdiction over the parties to this action and over the subject
`
`matter of the Complaint.
`
`00025
`
`00025
`
`

`
`UNITED 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, Vi.rgLnia 22313-1450
`WvWv.uspto.gov
`
`APPLICATION NUMBER
`
`E ING OR 371 (C) DATE
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NO./TITLE
`
`09/590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`024051/0135
`CONFIRMATION NO. 2769
`
`Joe Herndon
`
`POWER OF ATTORNEY NOTICE
`
`McDonnell, Boehnen, Hulbert, & Berghoff LLP
`300 South Wm. Drive
`Chicago,, IL 60606-6709
`
`willllllIllIllmlmlllllllllllllylllllllnlllllllll
`
`Date Mailed: 12/05/2007
`
`NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 11/06/2007.
`
`- The Power of Attorney to you in this application has been revoked by the assignee who has intervened as
`provided by 37 CFR 3.71. Future correspondence will be mailed to the new address of record(37 CFR 1.33).
`
`/dee11i0tt/
`
`Office of Initial Patent Examination (571) 272-4000 or 1-800-PTO-9199
`
`page 1 of 1
`
`00026
`
`00026
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`U1‘
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Vi.rgLnia 22313-1450
`WvWv.uspto.gov
`
`APPLICATION NUMBER
`
`E ING OR 371 (C) DATE
`
`FIRST NAMED APPLICANT
`
`ATTY. DOCKET NO./TITLE
`
`09/590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`024051/0135
`CONFIRMATION NO. 2769
`
`22428
`FOLEY AND LARDNER LLP
`suITE500
`3000 K STREET NW
`
`WASHINGTON, DC 20007
`
`POWER OF ATTORNEY NOTICE
`
`willllllIllIllmlmlllllllllllllllullillIllllllllllll
`
`Date Mailed: 12/05/2007
`
`NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
`
`This is in response to the Power of Attorney filed 11/28/2007.
`
`- The withdrawal as attorney in this application has been accepted. Future correspondence will be mailed to the
`new address of record. 37 CFR 1.33.
`
`/dee11i0tt/
`
`Office of Initial Patent Examination (571) 272-4000 or 1-800-PTO-9199
`
`page 1 of 1
`
`00027
`
`00027
`
`

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`PTOISB/21 (09-04)
`Approved for use through 07/81/2006, OMB O651v0031
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`TRANSMITTAL
`FORM
`
`Application Number
`
`F‘"“9 D“
`First Named inventor
`Art Unit
`
`O9/590,692
`
`5/9/00
`Kemp
`3624
`
`{to be used for all correspondence after initial filing)
`1
`
`Exammer Name
`Attorney Docket Number
`
`I Weisberger
`]024051.Q135
`
`(Check all that apply)
`
`A
`
`ENCLOSURES
`Drawings)
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`E] Fee Transmittal Form
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`Cl Fee Attached
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`[:1 After Final
`
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`
`
`E] Affidavits/declaration(s)
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`Appeal Communication to TC
`(Appeal Notice, Brief, Reply Brief)
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`
`
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`
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`Propnetary lnfmmamn
`Status Letter
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`
`Other Enc|osure(s) (please identify
`below):
`Statement Under 37 CFR
`
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`I: Response to Missing Parts
`
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`Fm" Name
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`McDonnell Boehnen Hulbert & Berghoff LLP
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`SIGNATURE OF APPLICANT, ATTORNEY, OR AGENT
`
`Signature
`
`/Joseph A, Herndonl
`
`Printed name
`Date
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`
`Joseph A. Herndon
`November 6, 2007
`
`50,469
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`
`
`
`
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`
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`CERTIFICATE OF TRANSMISSIONIMAILING
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`I hereby certify that this correspondence is being electronically transmitted to the USPTO or deposited with the United States Postal Service with
`sufficient postage as first class mail in an envelope addressed to: Commissioner for Patents, P O, Box 1450, Alexandria, VA 223134450 on
`the date shown below,
`
`Date November 6, 2007
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`Signature
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`/Joseph A. Herndonl
`Joseph A. Herndon
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`00028
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`

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`PTO/SB/82 (Oi-06)
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`REVOCATION OF POWER OF
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`AND
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`t_. _ _...~_....._.......«.._.,..—...—....y.....—._.~..._-........- ~.. .».....». -y....?.._..-~_v_............__._...__._............ .,.._..e...._..........w«....._..
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`PTO/SB/96 (tO~O7)
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`STATEMENT UNDER 37 CFR 3.73{b[
`
`i Applicant/Patent Owner: Trading Technologies International, inc.
`
`3 Application No./Patent No.: 5,772.132
`
`Filed/Issue Date: 8/4/04
`
`Entitled: Click Based Trading With intuitive Grid Display of Market Depth
`
`Trading Technologies International, lnc.
`(Name of Assignee)
`states that it is:
`
`_
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`ill [X] the assignee of the entire right, title, and interest; or
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`i 2. [:I an assignee of less than the entire right, title and interest
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`in the patent app