Paper No. ____
` Filed: February 24, 2016
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`TRADESTATION GROUP, INC. AND
`TRADESTATION SECURITIES, INC.
`
`Petitioner
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2015-00161
`U.S. Patent 6,766,304 B2
`_________________
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`PATENT OWNER’S UPDATED EXHIBIT LIST
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Pursuant to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
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`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners TradeStation Group, Inc. and TradeStation
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`Securities, Inc. Exhibit 2097 is served via email directed to counsel of record for
`
`the Petitioner.
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`Exhibit 2002
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`Exhibit 2003
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`Exhibit 2004
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`Exhibit 2005
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`Filed Exhibits Description
`Exhibit 2001
`Trading Technologies International Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for Intellectual
`Property and Director of the United States Patent and Trademark
`Office, regarding Abuse of Covered Business Method Review
`Process, dated August 10, 2015
`Attachment A to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 609
`Attachment B to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc , Case No. 10-C- 715 (N.D.Ill.), Dkt. 613
`Attachment C to Letter to Director Lee: TradeStation’s Petition
`for Covered Business Method Review of U.S. Patent 6,766,304
`B2
`Attachment D to Letter to Director Lee: TD AmeriTrade Holding
`Corp et al. v Trading Technologies Int’l, Case No. CBM2014-
`00136, Paper No. 18, Patent Owner’s Preliminary Response,
`dated September 3, 2014
`Attachment E to Letter to Director Lee: Trading Tech Int’l v
`CQG, Inc. and CQGT, LLC, Case No. 05-cv-4811 (N.D.Ill.),
`Dkt. 1073, Memorandum Opinion and Order denying Motion for
`Summary Judgment (35 U.S.C. § 101).
`Attachment F to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc., Case No. 10-C- 715 (N.D.Ill.), Dkt. 181,
`TradeStation Defendants’ Amended Motion and Memorandum in
`Support of Partial Summary Judgment (priority date).
`Attachment G to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc., Case No. 10-C- 715 (N.D.Ill.), Dkt. 176,
`Defendants’ Case Management Statement for May 5, 2011 Status
`Hearing.
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`Exhibit 2006
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`Exhibit 2007
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`Exhibit 2008
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`Exhibit 2009
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`Exhibit 2010
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`Exhibit 2011
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`Exhibit 2012
`Exhibit 2013
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`Exhibit 2014
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`Exhibit 2015
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`Exhibit 2016
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`Exhibit 2017
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`Exhibit 2018
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`Exhibit 2019
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`Exhibit 2020
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Attachment H to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc., Case No. 10-C- 715 (N.D.Ill.), Dkt. 528,
`Position Statement of the TD Ameritrade Defendants on the
`Federal Circuit’s Decision in OEC and How this Case Should
`Proceed.
`Transcript of Teleconference Call with the Board, dated
`September 10, 2015
`Petition for Covered Business Method Review Under 35 U.S.C.
` § 321 and § 18 of the Leahy-Smith America Invents Act, CQG,
`Inc. and CQGT, LLC v. Trading Tech Int’l, Inc., CBM2015-
`00057, January 9, 2015
`Email to Petitioner regarding Discovery, September 1, 2015
`Email from Board authorizing Patent Owner to file Reply In
`Support of Motion for Additional Discovery
`Trading Technologies International Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for Intellectual
`Property and Director of the United States Patent and Trademark
`Office, regarding Continued Abuse of Post-Grant Review
`Process, dated October 23, 2015
`Attachment I to Letter to Director Lee: Trading Tech Int’l v BGC
`Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 546,
`Memorandum in Support of the TDAmeritrade Defendants’
`Motion to Stay Proceedings.
`Attachment J to Letter to Director Lee: Trading Tech Int’l v BGC
`Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 558,
`TradeStation Defendants’ Joinder In and Motion for Stay.
`Attachment K to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 543,
`Notification of Docket Entry Denying Renewed Motion for
`Summary Judgment.
`Attachment L to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 617,
`Order Granting TT’s Motion to Lift the Stay
`Attachment M to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 876,
`Memorandum Opinion and Order Denying CQG’s Motion to
`Stay
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 105, Memorandum
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Exhibit 2021
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`Exhibit 2022
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`Exhibit 2025
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`Opinion and Order (Oct. 31, 2006)
`Notice of Intent to Issue Ex Parte Reexamination Certificate
`90/008,577 (January 7, 2008)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 889, Memorandum
`Opinion and Order (Jan. 20, 2015)
`Exhibit 2023 Word Comparison CQG CBM Petition on ‘304 Patent with
`TradeStation CBM Petition on ‘304 Patent
`Exhibit 2024 Word Comparison Declaration of John Phillip Mellor Ex. 1028
`with Ex. 2012.
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 709, CQG’s Motion for
`Summary Judgment that the ‘304 and ‘132 Patents are Invalid
`under 35 U.S.C. § 112, ¶ 1 for Lack of Written Description (Mar.
`17, 2014)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 712, CQG’s
`Memorandum of Law in Support of Its Motion for Summary
`Judgment on § 112, ¶ 1 (Mar. 17, 2014)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 720-3, Exhibit D –
`Declaration of John P. Mellor in Support of CQG’s Motion for
`Summary Judgment on § 112, ¶ 1 (Mar. 17, 2014)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Transcript of Proceedings held before
`Hon. Sharon J. Coleman (Mar. 16, 2015)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 1163, Trading Tech’s
`Rule 50 Motion on CQG’s Written Description Defense (Mar.
`12, 2015)
`Trading Technologies International, Inc. v. CQQ, Inc., and
`CQGT, LLC, Case No. 1:05-CV-04811 (N.D. Ill.), Docket No.
`886, Notification of Docket Entry (Jan. 14, 2015)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 898, CQG’s Opening
`Brief Regarding the Patent-Ineligibility/Invalidity of the TT
`Patents-in-Suit under 35 U.S.C. § 101 (Feb. 2, 2015)
`July 2015 Update Appendix 1: Examples, USPTO Examination
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`Exhibit 2026
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`Exhibit 2027
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`Exhibit 2028
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`Exhibit 2029
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`Exhibit 2030
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`Exhibit 2031
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`Exhibit 2032
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Exhibit 2033
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`Exhibit 2034
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`Exhibit 2035
`Exhibit 2036
`Exhibit 2037
`Exhibit 2038
`Exhibit 2039
`Exhibit 2040
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`
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`Guidelines
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 749, Trading TTech’s
`Cross-Motion for Partial Summary Judgment that the “Static”
`Limitations Meet the Written Description Requirement (May 16,
`2014)
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Docket No. 889, Memorandum and
`Order on Summary Judgment under § 112, ¶ 1 (Jan. 20, 2015)
`Reserved
`Reserved
`Reserved
`Reserved
`Senate Congressional Record, S936-S953 (Feb. 28, 2011)
`Crossing the Finish Line on Patent Reform: What Can and
`Should Be Done, Hearing Before the Subcommittee on
`Intellectual Property, Competition, and the Internet of the
`Committee on the Judiciary House of Representatives (Feb. 11,
`2011)
`Study and Report on the Implementation of the Leahy-Smith
`America Invents Act, USPTO Report to Congress (Sept. 2015)
`Exhibit 2042 Markup of H.R. 1249, The America Invents Act, House of
`Representatives Committee on the Judiciary (Apr. 14, 2011)
`Versata Development Group, Inc. v. SAP America, Inc. and SAP
`AG, Case No. 2014-1194 (CAFC), Docket No. 61, Brief for the
`Intervenor - Director of the United States Patent and Trademark
`Office (May 1, 2014)
`IEEE 100 The Authoritative Dictionary of IEEE Standards
`Terms, 7th ed., p. 130 (2000)
`Definition of “Business Operation,” BusinessDictionary.com,
`Web Page Print Out
`Trading Technologies International, Inc. v. BCG Partners, Inc.,
`Case No. 1:10-CV-00715 (N.D. Ill.), Docket No. 562, Reply
`Memorandum in Support of the IBG Defendants’ Motion to Stay
`Proceedings Pursuant to Section 18(b) of the America Invents
`Act (Jun. 18, 2014)
`Reserved
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`Exhibit 2041
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`Exhibit 2043
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`Exhibit 2044
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`Exhibit 2045
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`Exhibit 2046
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`Exhibit 2047
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Reserved
`Reserved
`National Aeronautics and Space Administration Web Page Print
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`Computer Interaction Master’s Program
`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`Declaration of David F. Anthony (July 29, 2004)
`Declaration of Pace Beattie (Aug. 25, 2004)
`Declaration of Thomas Burns (Aug. 16, 2004)
`Declaration of Ray Cahnman (July 23, 2004)
`Declaration of David Clark (July 30, 2004)
`Declaration of David Ellis (Sept. 13, 2004)
`Declaration of David Feltes (Aug. 27, 2004)
`Declaration of Steve Gancer (Aug. 3, 2004)
`Declaration of Brian Gelber (Aug. 9, 2004)
`Declaration of Joel Glickman (July 31, 2004)
`Declaration of Tom Grisafi (July 31, 2004)
`Declaration of Steven [sic] Janho (July 5, 2004)
`Declaration of Paul R.T. Johnson, Jr. (July 29, 2004)
`Declaration of Scott L. Johnston (Sept. 24, 2004)
`Declaration of Corbin E. Kidd (Aug. 10, 2004)
`Declaration of Patrick Leone (Aug. 31, 2004)
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`Exhibit 2048
`Exhibit 2049
`Exhibit 2050
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`Exhibit 2051
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`Exhibit 2052
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`Exhibit 2053
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`Exhibit 2054
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`Exhibit 2055
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`Exhibit 2056
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`Exhibit 2057
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`Exhibit 2058
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`Exhibit 2059
`Exhibit 2060
`Exhibit 2061
`Exhibit 2062
`Exhibit 2063
`Exhibit 2064
`Exhibit 2065
`Exhibit 2066
`Exhibit 2067
`Exhibit 2068
`Exhibit 2069
`Exhibit 2070
`Exhibit 2071
`Exhibit 2072
`Exhibit 2073
`Exhibit 2074
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`Exhibit 2091
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`Exhibit 2092
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`Exhibit 2093
`Exhibit 2094
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Declaration of Dieter Marlovics (Aug. 9, 2004)
`Exhibit 2075
`Declaration of David B. Martin, Jr. (Aug. 13, 2004)
`Exhibit 2076
`Declaration of Charles L. McElveen III (May 18, 2004)
`Exhibit 2077
`Declaration of Pablo Melgarejo (Aug. 23, 2004)
`Exhibit 2078
`Declaration of Mark A. Mendelson (July 28, 2004)
`Exhibit 2079
`Declaration of Doug Monieson (Aug. 9, 2004)
`Exhibit 2080
`Declaration of Rob Moore (July 27, 2004)
`Exhibit 2081
`Declaration of Peter Moricz (Aug. 16, 2004)
`Exhibit 2082
`Declaration of Jason Northway (Aug. 10, 2004)
`Exhibit 2083
`Declaration of Mark Oryhon (Aug. 5, 2004)
`Exhibit 2084
`Declaration of Arthur Parker (Aug. 10, 2004)
`Exhibit 2085
`Declaration of Chuck Ryan (Aug. 31, 2004)
`Exhibit 2086
`Declaration of Lawrence Schulman (July 28, 2004)
`Exhibit 2087
`Declaration of Russell A. Warner (Aug. 17, 2004)
`Exhibit 2088
`Declaration of James J. Zellinger (Aug. 31, 2004)
`Exhibit 2089
`Exhibit 2090 Meyers, Brad A. “A Brief History of Human-Computer
`Interaction Technology.” Interactions 5.2 (1998): 44-54
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Redacted Version of Second
`Corrected Expert Report of Christopher Thomas
`Trading Techs. Int’l, Inc. v. CQG, Inc., Case No. 1:05-CV-04811
`(N.D. Ill.), TT 101 Hearing Presentation (PTX6001)
`Order Denying Reexam Request 90/011,250 (Dec. 14, 2010)
`Trading Technologies International Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for Intellectual
`Property and Director of the United States Patent and Trademark
`Office, regarding Continued Abuse of Post-Grant Review
`Process, dated October 30, 2015
`Transcript of Teleconference with the Board, dated
`November 23, 2015
`Trading Technologies International Inc.’s Letter To Hon.
`Michelle K. Lee, Under Secretary of Commerce for Intellectual
`Property and Director of the United States Patent and Trademark
`Office, regarding Continued Abuse of Post-Grant Review
`Process, dated February 5, 2016
`Served
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`Exhibit 2095
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`Exhibit 2096
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`Exhibit 2097
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`Served Exhibits
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`Exhibits
`Exhibit 2097
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`Dated: February 24, 2016
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`
`Description
`Declaration of Jay Q. Knobloch
`
`
`Respectfully submitted,
`
`By: /Rachel L. Emsley/
` Rachel L. Emsley, Back-up Counsel
`Reg. No. 63,558
`
`Counsel for Patent Owner
`Trading Technologies International, Inc.
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`CERTIFICATE OF SERVICE
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`Case CBM2015-00161
` U.S. Patent 6,766,304 B2
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`The undersigned hereby certifies that a copy of the foregoing Patent
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`
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`Owner’s Updated Exhibit List and Exhibit 2097 were served on February 24,
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`2016, via email directed to counsel of record for the Petitioner at the following:
`
`John C. Phillips
`phillips@fr.com
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`Kevin Su
`CBM41919-0005CP1@fr.com
`
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`Dated: February 24, 2016
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`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`Finnegan, Henderson, Farabow, Garrett
`& Dunner, LLP