PTDISBIEE (D-1-01)
`Approved lor use through 1013112902. OMB 0651-0031
`._.—_j—____._._..._.._:.-.___._.
`U.S. Patent and Trademark Oflice: US. DEPARTMENT OF COMMERCE
`' Under the Paperwork Reduction Act at 1995. no persons are -'2a1.nred'laresoand lo a oollection otlntnrrnattnn unless it disolavs a and OMB 50l1Irclnunlba'
`- REQUEST FOR ACCESS TO AN APPLICATION UNDER 37 CFR 1.14(e)
`in re Application of
`
`
`
`Assistant Commissioner for Patents
`Washington, DC 20231
`
`
`
`mber
`Filed
`APD|iZti217.iz % 6’ .32“:
`/mm2200-
`-
`2
`
`
`Art Unit
`
`I Examiner
`
`'
`
`Paper No. # ;2 /
`
`1, C]
`
`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)
`[:](A) referred to in:
`
`. page ____, line
`United States Patent Application Publication No. ______________
`, line
`United Slates Patent Numher_’J_- 0 @
`0 0__‘_3_q_g 6 4'
`. column _
`an international Application which was filed on or after November 29, 2000 and which
`
`designates the United States, WIPO Pub. No. _
`__
`____, page ___, line
`D (B) referred to in an application that is open to public inspection as
`set forth in 37 CFR 1.11(b) or
`____. line __
`1.14-(e)(2)(i), i.e.. Application No.
`______________, paper No. ____. page
`
`Oi‘
`
`2. D thereby request access under
`37 CFR 1.14(e)(1) to an application in which the applicant
`has filed an authorization to la
`y open the complete application to the public.
`
`FROM
`9/99
`
`9/9» c:/,9. /zé 9 pfirewrseku//age
`
`Signature
`
`3/,5/0 3
`
`
`
`5h’/9/?/H
`Typed or printed name
`
`
`
`._,.
`
`CONFIDENTIAL
`
`eS0000065566
`
`
`
`V.-rw;-v<[<'.'»n""."‘
`
`‘='-’‘‘‘‘'‘‘-'’‘''
`
`'‘'"'’""h" '
`
`TTX03065266
`
`000101
`
`CQG014202098
`CQGO14202098
`
`000101
`
`

`
`
`
`-
`' 7' 37 "‘
`«case
`is ._-s~.i::za.:?in, cr..c u.::."1aZ.- .....iscla
`
`
`Unified s:a':—s Paientépplicafion Puisicafion
`
`Unified S‘:27'.'_=s Patent ixlummr
`
`.ca!urnn
`___:______ 0. llr:
`
`3c}7.5age_
`
`fin;
`o.-
`
`.
`
`:-.,
`
`_
`
`WIPO Pub. ND.
`
`. pagej__, line
`
`.
`
`ate-d lnfonnaiion a?::o:.:'t A-:cess in Pending Appflcaéions (3? CF? 1.14}:
`C12-3:355 to pending applications is no.
`=ilab!e to me gublic but so:
`may be available aw: may be
`
`
`
`
`"ul:llc Records upon payment cfiho appropriaw I95 (37 CFR 1.'!9(l:.)), as follow.
`purchased from the Grace of
`For aublis-had anollcai-ions Ehat are sill! nenolg-_q._ a memberof the public may o‘oE.in a copy of:
`lha file contents;
`the pending appllcafion as cfiglnally filed; or
`any document in éhe file or‘ he pending zapplicaion.
`For -_-znaLrbl‘1s21ed aaolicafions that are still uendlno:
`(13 if the benefit of the uendino aoolication is claimed under 35 U.S.C. 11Q(e_‘.,120, 121. or 365 in another
`.-appficaiian il1_=_tl-.as: (a) issued as 2 us. paterxt. or (b)
`as a statutory invenfior. r:-gisiratéon. .=. U.S..
`pe‘IT=rl: applicafion publication. or an lnternaiional ;:lair=ni egpficaficn guhficafion in accord anca wfih PCT
`Arilcla 21(2). a member oi‘ as _cublic may
`a copy oi:
`lhe file contents;
`the pending applicatbn as originally filed: or
`any document in the file ofme penning appficailcn.
`If the appficaticr. ls inccroorated bv .-eference or oifherwise icienfified in:—'_- US.
`
`Si;-,'n_2i;m,,__
`(C:
`
`.
`
`2 12:.-.u-.v_-:55‘
`..':L
`nsiszlma
`:-s;:a:.¢‘u' _u;:.:r.$1ai.1d.~1i:'usI:=‘ .
`2:‘
`-‘.25?
`'
`:=.'cr.- .
`JG 5
`5P—CO!'r':.=.'='x".~
`
`.
`
`""3
`
`
`
`iI
`
`Il
`
`l l
`
`Tracsrms
`
`C.-E.-. U.S. D=.-parr\anL n Comma ..
`ADC-?.ES5. ‘DRE.-'~lG TC: File lnfonzsztlsn Unit, Cn/si:—l ?la2T1...e, inc.-.~. 1901, 2021 Sc_..‘.
`--3‘(.‘.'.‘-—.-370-5-‘.‘
`
`
`
`
`.,.._._.,.
`
`..V,‘,....‘.
`
`
`
`
`
`
`
`CONFIDENTIAL
`
`000102
`
`TTX03065267
`
`CQG014202099
`CQG014202099
`
`000102
`
`

`
`
`
`21 San‘-J1 Cia".:
`
`
`Rehéeci lnfonraaiion aéoufi .5.4:cess ‘o 3‘--enriira
`A-lpiiazaii-ans {SF CF?-3-. 1.143:
`.
`. .
`.
`Bi‘
`.
`_
`
`
`la and may he
`sublic but copias may '9 5'
`p-.2.-<:r-.===d from the Ol'1‘ice-:>.
`Jbiic Records unan
`appmpriate fee (37 CPR 1.19(b)). as follows:
`For rsublisi-led anoiicaiiuns
`2:‘-.‘: still ner:di_r_, 2
`ITIZTIEEI‘ of the public may abteln 2 cogzyofz
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`_....v\
`
`
`
`1I
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`aha pending applicaiion as eiiginflly file-.2‘; er
`any document in the file of ire pa-iding applies?-an.
`For unaJ!)iis!1ad andicaiions that are still nendina:
`120, 121. or 365 in another
`lad under 35 U.S.C. 119-’
`(1)
`if the benefiioffize aendina E nli
`fie
`' cla
`
`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.
`the file contents:
`-
`the pending application as originally filed: or
`any document in the fiiaof the pending applicetlen.
`— U.S. pal.=.nt_ r-: =tamton_: inventi-an
`if the a_pllca+.lor. ES ncomorated bv .'er'e.-ence or oil-lsswise ic'
`
`
`uonal pate:-Hi application pubfication in
`regisiraiic-n. .=. U.S. _n
`..m''. appficaiior: pubiicaizion. or an Em:
`
`eccerdance wiih PCT Article 21(2), 2 mar.-1i.7er of ihé public may 9 train a ca,-.3! or‘:
`,
`i.'1nc‘ma apnlic2‘li'cn as “ichally filed.
`
`
`
`(2)
`
`
`
`'l—f'll 3: L»:
`
`
`‘G 'l.'-‘*: F:'ls'll'lfa.'.'n.-_»‘
`
`
`
`
`CONFIDENTIAL
`
`
`
`
`
`TTX°3°65268
`
`CQG014202100
`CQGO142021OO
`
`000103
`
`000103
`
`

`
`
`
`United Sleies
`are-1tA_npficeiion Fuisli-.1:-Lficn No.
`Uni-:ed Slates Pe’er.ti\lum1:er E 2 2213 7-»polumn Flo
`
`WIPG Pub. No. .iine . pa-Je
`
`
`,
`
`
`
`‘
`Er'.1gc::m_ ‘
`
`File lnfom
`
`C,-In‘:
` n. ‘/A
`-I
`
`- one: (703,! .':'G3—2'.7EE
`
`_...._
`
`
`
`
`
`
`
`‘
`
`r’ -
`
`'
`J
`
`_
`
`
`
`o9:EL’.:: In' 3Q 91.
`_ _
`
`
`
`Flelai-ed inforrnaiiora ei:-oust Access io Pending
`Dirac!‘ '‘-:cess to pending ep;3iE<:aéicas is no: aiieilehle Ea
`purchased from the Oi-.=.ce -of Public Reccm'e upo
`vment or me eppmprae‘
`
`
`
`For aublishe: eaoiiceiiors ifiai: are still uena‘:g:i_. ._ member or‘file public rn.-_-;/
`.
`the file conbnis:
`the pending = nfcaiion as ofigimsily filed; or
`
`any docurnemm élsefile of ‘£116 pending eppflczfian.
`For -maubiished eaaliraiicins that are sfll nendinv.‘-:
` under 35 U.S_C. ‘I1’:‘:(e)., 120. 121. or 365 in another
`(1)
`if the benefit afiiee oendino ennli
`tion is clai.
`
`
`tory inve
`eppficafion
`‘hes: (a) issum 2 2 U5. pe‘ra~.'ii‘. or (b) pubfis.
`'
`n reoisration, e U.S._
`patent applicr. Ton publication. or an imer-national ;::e-Leaf application pui!ficefion in
`rdaace wiih PCT
`
`Ariicle 21 (2). 2 member of ihe public may obEin a copy or‘:
`the file conie.-‘Its;
`-
`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
`
`
`
`regis' aiion, e U.S.
`iappfcra-':'o.1 pubiication. or an imemefionel patent epplic "
`
`accordance with PCT Asucle 21(2), e mber of
`:— public my obiain a copy or‘:
`the pending appllzetlon as
`clndlv filed.
`
`
`
`(2)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`i
`
`
`
`
`
`
`
`CONFIIDENTIAL
`
`000104
`
`
`
`TTX03065269
`
`CQGO14202101
`CQG014202101
`
`000104
`
`

`
`F.
`1I
`E
`
`
`
`lllllllllllHIltlliltlllflflgmgighttltlllllltIlllllll
`
`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
`
`
`
`
`IIIIIEIJEEEIEIIIEEEItnnuannunnmnma
` BE II\Efillllilltflllllltllllfii
`lfllilflfigllflflllllllllllfil
`
`
`
`
`
`: <3 ;3 '
`
`
`
`CONFIDENTIAL
`
`000105
`
`TTX0306527O
`
`CQGO14202102
`CQG014202102
`
`eS0OO0O65570
`
`000105
`
`

`
`
`
`'.-u “-
`'\F:'-r:‘I!: '
`U5. Paar: an: Tlacsmm cam: us
`uncnr mu .=nuwur.i Radudm Ac‘.-at
`1555. an an.-ran: 1.1 rue.-treat: mcaad ta 1 =Ic¢':.1 ai i:=.‘o:mn;‘.:n mu; :1 ;-:.:;-.;
`
`
`
`
`
`
`
`
`.-" _
`.
`Ila nfunnafian Unit
`Ifirrhglcolr-Pfatodfumata:
`lfipplicatlcn NLrni:ar
`1 Filed
`Cn'/siaiPiaza'i'nrae.Fta . 1:01
`'
`U201 [fié Egfiga
`2/Wt’ 2, 520330
`2021 southcla-mace
`'
`Arlingtnn. VA .-
`.
`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
`
`Fag:-9.’ Nc.
`
`
`
`
`
`
`
`United States PatantAp_DIication Publication Na.
`
`638 .page.
`
`. column
`United Srates Patent Numbsrgo Z 29¢ 53
`
`WIPO Pub. No.
`page
`
`line
`
`. line.
`
`'
`
`line
`
`
`or
`
`,
`
`
`
`
`
`(2)
`
`_
`
`
`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:
`Far unuuisllshad a
`(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;
`
`
`the pending appllcaticn as originally filed; or
`
`
`-
`.
`any document in the file of the pending application.
`
`
`llthaappllcation Bl
`tad vraf
`9 o
`lherwisa identified in a U5. patent. a statutory invslificn
`
`
`registration. a U.S. patent application publication. or an international patent appiicaiicn puhlicaflcn in
`
`
`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
`
`
`
`‘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:
`aaauacani an lanluiinn. cantlcmdaslylagolunoe byzs u.s.c. 122 cm: 3:’ c:.=.1.1:. Thu :fl!I'_'l:.'I nu Oil-‘filled tn an 12 l.'J1'iI.il!l in :_~.-.1:lal=. =r-‘-‘== --=
`gultlring. przgring. gnu cutmm ma c:r.-.,-.ii'_u,4. g,;;5a:ian (cm. to slim LE?TO._'i'ins will v_a.-1 .‘.I:l.-.¢im_; ucca Ilillllq-"?«rn§.-ail cue.
`‘ Tqs .
`imam“ 55” 1,5" |-“uh! m gafi-‘pug; mi; (5511 ;_mv_Iq( uggnwons lay.-guudn; flux §lildI|'n. mould DI an: In QMC31 9- lnf...1nztmn O: ..r. U .3
`+—.«.—.—. mil».
`in -: nmmmmrnv r:—.=r-ur.-a = r. RIN ~J.=.:‘i. Aun=-n.1.-i- VA 12:11-11565. D_o NO 5:311: FE“ CF. cOMF'.EiE'.'r Fear}. Tu n-
`
`
`
`eS0000065571
`
`CONFIDENTIAL
`
`
`
`,,..
`
`000106
`
`TTX03065271
`
`CQG014202103
`CQG014202103
`
`
`
`‘W7"‘‘“”,"‘i
`
`N
`
`..t.,....—.«.
`
`000106
`
`

`
`............... 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“
`
`
`
`.,.._#-_
`
`.g.——«—\
`
`
`
`1;
`(Kb:
`
`unmumnlllalmglgllgggyjlgglgll11111111111
`
`(12)
`
`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_;-
`
`IeeuneuuennESIIIJIJIZUDIJDUEDE
`ISiiaifinalaflaurTIEIEEEIIFEEIIIIIIEIII
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`eS00O0O6_t'>572
`
`CONFIDENTIAL
`
`000107
`
`TTX03065272
`
`CQGO14202104
`CQG014202104
`
`000107
`
`

`
`
`
`
`
`
`
`
`
`
`1}
`
`(2)
`
`
`
`
`
`.__..\A~—fi»«
`
`
`
`lI1
`
`in
`
`
`
`{
`
`"
`
`
`RECEIVED
`
`AUG 2 ‘-5 2004
`
`File Information Unit
`
`
`
`P--an:Applica'n'on P-.'blic.=.fian Mo.
`
`United S‘L=_¥:ss Pa'r.=.ni Nur.-
`6 772 /3; ,caiumn
`WIPG 5'-Mb. No.
`
`
`c- apprcpriaia fa
`51:3 C2-‘Ft 1.1
` _9('3))=
`co_ :4 r.
`‘SIDE? of -‘he pul:-Iic may obtain
`
`
`
`licaéians £3? C‘ '
`
`
`
`
`
`
`
`
`
`
`
`
`
`led lnfz:-nnaiiora 21:-on.-ii’ Access to Pending .'1,_=:;
`c.-:-ass éo penning applicaficns is
`Di.
`availe
`pure.‘-aged from its 01':
`cf ;-’-iubiic Rena.-cls upon‘
`For aubfishe-:1 acoiicafions ii-lei: are sill asnc'ir_G. "
`the file com’:-anis;
`the pending application as crigi.-idly filed: or
`
`
`any docnlment in the file of the pending appllceflon.
`For -an
`
`-Ibiisi d aonllcatlons ll1at are all nendir-us:
`{.4L°.' :-
`li me benefit offre oendina anolicziion I claimed under 35 U.S.C. 11
`120, 121. or 365 in another
`
`
`egpicafion
`'tl'1as: (5) issued as 2 US. pzient, or(b)g:1uhlisl'1e'cl as a stat
`
`artery invention ragis7.rafion, 5 U.S._
`paierlt apglimzion pubficaficn, or an internal anal pafient
`nlication puizflczu-:-.1 in accordance wiih PCT
`
`,'-‘rjcle 21(2), 2 member of me public may obtain a copy of.
`the file contents;
`
`the pending eppficetion as originally filed: or
`any documeni in the file of the penning appllcsiier.
`if the aplicailcr. IS incomoratai bv rafera.1c:.= or 0-':l-lerwi
`
`
`regfsiraficn, a U.S. paéent appiczfinn pubiicatiun. or a.
`CT/-la‘
`’ _.
`
`member of £115 public .. ay obtain .5 ca
`
`..as ougzrzallv filed.
`
`
`CONFIDENTIAL
`
`000108
`
`TTX03065273
`
`CQG014202105
`CQG014202105
`
`
`
`000108
`
`

`
`V
`
`_
`.
`' 0
`(12) Umted States Patent
`KEMP: 11 et 81-
`'
`'
`
`llllflflflmlll|ll|llllil||lli....Jflll|Wl|lMl|I|i||l|||lll|ll|f
`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
`PM ..
`.
`.
`_
`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
`wo
`137
`10/2000
`3333?,/15:33
`lmlflggll’
`wo amass:
`moon
`wo nuzms
`moo:
`wo ouassog
`u/mo]
`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
`
` flummcs logcally up ardnwn, lefi or righi ucmss the plane
`
`j’
`7-;
`
`1
`-
`
`,
`,
`’
`‘
`
`g
`‘
`
`0
`‘
`
`'
`
`.
`
`‘
`
`‘
`
`,
`-
`3
`"
`, 0
`.
`L .
`
`/
`
`1
`
`_
`
`*
`
`,
`
`tr
`)5.
`,
`
`......——.-mm
`
`/1
`,
`
`’
`3
`i_
`
`7*‘
`1
`
`.
`
`—
`
`[
`f
`
`I
`
`3
`'
`
`'«
`
`
`
`f
`5
`,
`
`.
`
`I
`
`:3
`f-=
`E§h
`#2
`E
`-
`‘E
`
`U-
`E‘-'
`I
`' I
`I
`I
`
`_ I
`1.“
`'
`E
`-
`-‘
`
`.
`
`eSO0OO065574
`
`CONFIDENTIAL
`
`TTX03065274
`
`
`
`000109
`
`CQG014202106
`CQGO14202106
`
`I
`
`'
`
`,
`
`I
`‘
`.
`
`3
`2,
`'
`E
`
`g
`;
`i
`
`7‘
`
`000109
`
`

`
`averse:
`Aapro-Jae for us-
`‘Jvcugtl 7l3‘.r‘20G‘:'. one -‘IE
`'
`
`
`‘
`_ U.5. Fact and Trademark Otis‘.
`.S. DEPARTMENT OF COMlLi=.-u..=.
`Under the Paperwork Rec‘uc:c.-I ;n::c.’1SEE. no :ersc.-is are required an ramn: '3 z mllesticn aiinformecic
`d!SlJlE‘l5 a -.-all: C.‘-£ :1.-e-.'cl =~.~.-r.-;’:es.
`
`REQUEST FOR ACCESS TO AN ABANDONED APPiJCATiON UNDER 37 CFR 1.14
`' no of
`
`Erin; completed form to:
`File lnfomiation Unit
`Crystal Plaza Three. Room 1D1
`2021 South Clark F-‘lacs
`Arlington, VA
`Telephone: (703) 308-2733
`
`Pape:'No.
`
`I
`
`
`
`
`File lnformatlofi Um‘
`I hereby request access under 37 CFR 1.14{a)('l)(iv) to the application file record of the above-identified ABANDONED
`application, which is identified in, or to which a benefit is claimed. in the foliowing document (es 3:-town in the
`attachment):
`
`
`‘
`
`United States Patent/-ipplicafion Publication No.
`
`
`.page. _________line
`‘
`
`,
`
`column
`' United States Patent Number 4-Z2213 2-
`WIPO Pub. No.
`. page ____. line
`
`. line. ._____i or
`
`Reiated inform ation about Access to Pending Appiications (3? CFR 1.14):
`Direct access to pending applications is not available to the public but copia may be available and may be
`purchased from the Office of Public Records upon payment or’ the appropriate fee (37 CFR 1.19(b)). as follows:
`For oublishad aoulicalions that are still oendino a member of the public may obtain a copy on
`the file contents:
`the pending application as originally tiled; or
`any document in the file of the pending application.
`For unpublished agoligafigns that are still nendino:
`(1)
`If the e
`to
`di
`litztion is claimed under 35 U.S.C. 119(3), 120, 121. or 365in another
`application that has: (a) issued as a U.S. patent. or (b) published as a statutory invention registration. a U.S.
`patent application publication, or an intan-rational pawni application publication in accordance with PC?
`Article 21(2). a member of the public may obtain a copy at‘:
`the file contents;
`the pending application as originally filed; or
`any document in the file of the pending applitztion.
`‘ified in a US. patent, a siattxtory Tr.-raniion
`if the application is '
`ted
`'
`.—.id-
`registration, at us. patent application publication, or an international patent application publication in
`
`(2)
`
`accordance with PCTArtic|e 21(2). a member of the public may obtain a copy or’.
`
`Typed or printed nane .
`
`
`Registration Number. if applicable
`
`
`
`79.?’4’7.f1.22?€/9
` Telephone Number
`
`
`
`
`
`gsiharinc pa ring. and submfllin
`
`Embll
`:1 IE...
`5 15 C9
`
`
`
` . wiilva-1; depending upon the ' . A
`edr.-sing this Lll'£"| siauld be sr-:.t In the Chi.
`-
`Ils I‘
`VA 1231?»
`EC . C-T SEE-JD FEES C-F. COMP’.
`.
`- ’
`
`
`
`CONFIDENTIAL
`
`000110
`
`4380000065575
`
`l
`
`TTX03O
`
`6527
`
`5
`
`CQGO14202107
`CQG014202107
`
`i i
`
`_.._-._..<-._..a~..
`
`
`
`lIr
`ll
`
`000110
`
`

`
`Pmlsaraa m7
`.
`1
`-03
`H‘ btI.S.Dl;::nt an: 1;rafl::::i:tBgll‘;éa.qst:.:"p‘Jgg;;'A7R'°,'M’2E‘;;':-0°;-'v1cH°t;:_;1-0031’
`
`a I:
`on u n ormalion unleasitdisla 5 ; yam
`ERCE
`OMB ‘7°""°l number
`
`N UNDER 37 CFR L14
`
`
`
`
`
`Bring can-rpletedlrzrrn to:
`File lntorrnatian Unlt
` 2021 South Clark Place
`Arlingtnn, VA
`Telephone: (703) 308-2733
`
`
`—«\
`
`
`
`'
`titration, which is identified tn, in to
`a
`a$chmenl:):
`'
`dawment(‘S S"°WH in
`
` the
`
`
`
` ‘,_we...
`
`3 member or the
`
`-
`
`e
`(37 CFR 1_19(b)). as folluwa:
`'
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`end!“
`“hushed 3
`the-file wntenta;
`the pending application as origtnaily filed; or
`
`any document tn the tile of the pending applitgmm
`Fa ggguhlishect applications mat are still gendigg:
`(1)
`lithe bane
`ufth
`din a
`llcationia dal edund
`
`'
`,
`.12lJ.1
`er35 U.S.C.1‘lSl
`_
`(E)
`21 or 365 In anoma
`blts
`application that has: (a) Issued as a U.S. patent, or (In)
`
`PU
`had as a statute
`_
`.
`t
`It
`-
`patent application publlcalmn, or an International patent application pub
`W men 0" regl5tra"°"' 3 Us-
`
`Article 21(2). a member of the public may obtain a copy of:
`"cam" "'1 30D0l'dance with Per
`the file contents;
`
`the pending application as originally filed; or
`
`
`any document in the file cfthe pending appliuatjan,
`it the application is incor arated b refere
`ur othenrvlse ldentitiad in a
`(2)
`
`registration. a U.S. patent applltion publication, or an intarna '
`
`accordance with PCTArtlcle 21(2), 2: memberal‘ the public ma
`
`the enlna - icatlon as orilrlall
`filad
`
`
`
`
`
`
`
`Registratiun Number. if applicable
`
`(Z032 ‘it 3-0 ZZEEQ
`
`Telephone Number
`
`
`
`
`
`
`
`a
`ulredtoobtainornzlai
`Thiscullanlimnlinlcrmatianisrequiredby57CFR LI4. Thetntmmainnis
`
`P 2 1
`2004
`lo amcesslan application. Conlidahialily Is go-vented by 35 u.s.c. 122 and rfiqcrn 1.14. This1: Efigge “°'°1“2""°“" ‘“ 5‘
`Gums ‘B
`galhering.pr-:paIi'Ig. and submitting the carnplaled application loan in lhe USPTO. fine will varydepending upn
`.
`amount olllm: ywu requie In complete this term andlnr suggestions lnr reducing this burden. should be sent in the Chlel I t
`‘E I
`'1 mm '-
`Trade-nafl Ollicn. U.S. Depal1mentu!ConImerce, PD. 801 1450. Aleltandria. \/A ZZ3‘..'!-
`
`_
`use. DONOT sewn FEES ORCOMPL:
`ADDRESS. BRIAG TO: Flle tnfcumalton Unit. Crystal Plaza Three, Room 1D0‘l, 2011 South Clark Place Ailing-tan VA
`5
`Ifyou need assistance in completing I/reform, call I-J00-PTO-9/99 andselect aplran .7.
`
`
`
`
`_,
`i
`
`
`
`CONFIDENTIAL
`
`eS00O0O65576
`
`
`
`TTX03065276
`
`000111
`
`CQG014202108
`CQGO14202108
`
`000111
`
`

`
`erolsalaa (07-03:
`.
`Approved for use through 7l31I2DD3. OMB 0651-0031
`us. Patent and Trademark Olfice: L15. DEPARTMENT OF COMMERCE
`Under the Panervvnnt Redudion Act M1955. no persons are required to re ~- nd to a ccnecrion at intomraiion unless it disola s a valid OMB control number.
`REQUEST FOR ACCESS TO AN ABANDONED APPLICATION UNDER 37 CFR 1 .14
`_
`in reApplic_atlonof
`
`Bring completed fomr_lo:
`l‘-“lie lntormabon Unit
`Crystal Plaza Three. Room1DiJ1
`2021 South Clark Place
`Arlington, VA
`Telephone: (703) 308-2733
`
`FiECElVED
`
`
`sflzemm
`
`File information Unit
`
`"‘”"”"I “L “E
`Filed
`Appr ion Number
`‘
`3 2
`3 2_ 60
`E i
`
`PaperNo.
`
`1
`I
`
`1
`
`l
`
`;
`'
`
`,
`
`1
`
`'
`
`I
`rl
`S’ J
`
`3
`'
`
`{
`i
`
`L
`
`,,.
`
`_!
`i
`~
`
`,
`;
`f
`"
`
`2
`
`0
`
`‘
`
`
`
`;
`
`
`
`
`
`I hereby request access under 37 CFR 1.14(a)(1)(lv) to the application file record of the above-identified ABANDON_ED
`application, which is identified in, one which a benefit is claimed, in the following document (as shown in the
`attachment):
`
`United States PatentApplication Publication No.
`, column
`United States Patent Number G,
`I
`
`WIPO Pub. No.
`line
`. page
`
`, page.
`.iine.
`
`line
`
`or
`
`Pending Applications (37 CFR 1.14):
`Direct access to pending applications is not available to the public but copies may be available and may be
`purchased fromthe Office ofPublic Records upon payment ofthe appropriate fee (37 CFR 1.19(b)), as follows:
`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.
`For unpublished applications that are still pending:
`(1)
`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.
`patent appticaiion publication, or an intemaiional patent application publication in accordance with PCT
`Article 21(2). a member of the public may obtain a copy at:
`‘
`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.
`. pa nt -lirlication pubfication. or an international patent ap lication publica ‘on in
`'
`.CTA '
`l'1(2). a memberof the public may obtain a cap of:
`.
`- - ,- cati oriilly filed
`
`(2)
`
`.
`=
`3
`
`‘
`5
`
`;
`1
`
`0
`1
`‘
`
`_
`
`-
`
`'
`
`
`
`
`
`Timed °' Pflmed name
`
`
`Registration Number. lfapplicable
`
`
`70 3-‘fl§~0‘3<7§
`
`Telephone Number
`
`.
`
`it
`
`—
`
`um
`
`‘=.:43!
`
`
`
`This ootieaion at infonnatinn is required by 37 cFR1.14. The information is required to obtain or retain a benefit bylhe pubtlcvmlch is I: file (and by the USFTO
`to process; an application. confidentiality is governed by 35 use. 122 and 37 CFR 1.14. ‘nits collection is estimated intake 12 minute: to complete. including
`gathering. preparing. and submitting the ccmoletedappiication iorm to the USP'l'D_ Time wiiwrydepencilng upon theiiidivldual case. Any comments on the
`amount of time you require to complete this form andlor suggestions tor reducing this burden. should be sent to the chiei lniormation Ofiicer. u.s. Patent and
`Trademark Oifice. U.S. Department of Commerce. P.O. Box 1450. Alexandria, VA 22913-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS
`annnr:=: RRINL‘. Tn- Fit: lnFnrl'nafinr| tlrrit ¢‘.nrr=tat Plaza Thrnn. Room 1001. 2021 South Clark Place. Arllnulon. VA.
`
`n
`
`
`
`
`
`
`
`
`CONHDENWAL
`
`eS0OO0065577
`
`
`
`
`
`TTX03065277
`
`000112
`
`CQG014202109
`CQGO14202109
`
`000112
`
`

`
`g..-
`
`
`' R-E‘QUEo4 a-GRACCES
`
`
`
`RECEIVED
`SEP 2 79 Zflllll
`
`
`
`
`
`
`File Information Unit
`
`Bring c=n=_ul’eF_=d form ab:
`File lnionneiion Unit
`Cdrstal Fleze Tnree,_Rccl::1 11301
`2021 Saufh Clerk Place .‘
`Arlington. VA
`Telephone: (703) 308-27.3a.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`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):
`-‘
`
`United Staies Pafenmpplication Fubliceflon No.0\.\'((9~Ci C?
`
`United States Patent Number
`column
`
`line ,
`
`page.
`or
`, line.
`
`
`
`
`
`
`WIPO Pub. No.
`
`. page
`
`. line
`
`
`
`
`
`
`
`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
`'
`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‘.
`
`the penoin application as oriinally filed.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`(2)
`
`.
`
`Typed or _on‘nted name
`
`
`
`
`Registefion Nurnhe‘. lfeppllceble '
`”283+fl§*/{f