UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address. COIVLVIISSIONER FOR PATENTS
`P.O. Box 1450
`Alexmidiim Virginia 22313-1450
`www usplo gov
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`APPLICATION NO.
`
`10/800,295
`
`ISSUE DATE
`
`08/24/2010
`
`PATENT NO.
`
`7783556
`
`39310
`
`7590
`
`08/04/2010
`
`MBHB/TRADING TECHNOLOGIES
`300 SOUTH WACKER DRIVE
`SUITE 3200
`CHICAGO, IL 60606
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is I I3] day(s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the aboVe—identified application, the filing date that
`detennines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Infonnation
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Tenn Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) fl3Iease see PAIR WEB site http://pair.uspto.goV for additional applicants):
`
`Scott F. Singer, Lake Bluff, IL;
`Michael]. Burns, Chicago, IL;
`Fred Monroe, Silver Springs, MD;
`
`IRl03 (Rev. 10/09)
`
`1
`
`TS 1002
`
`

`
`UNITED STATE DEPARTMENT OF COMMERCE
`United States Pat
`1 nd Trademark Office
`Addflfli
`IV/$2/Ix I go
`R
`R PATENTS
`Alcémndrin. Vuginin 22313-1450
`www.u:ptn.gov
`
`CONFIRMATION NO. 8245
`
`GROUP ART UNIT
`3695
`
`ATTORNEY
`°°°KET N0-
`o4-225
`
`(Bib Data Sheet
`
`_ SERIAL NUMBER
`.10/8400.295
`
`FILING OR 371(c)
`DATE
`.03/12/2004.
`RULE ’
`
`‘
`
`'
`
`V
`.
`- PPLICANTS
`Scott F._ Singer; Lake Bluff,.IL;
`Michael J. Burns, Chicago, IL;
`Fred Monroe, Silver Springs, MD;
`
`.
`
`—
`
`7*‘
`
`tnaataaaweiwauawaastwuau
`
`fi*t‘kI'i*t*k‘k‘kk*tfl***I
`
`|F.'REQIJIRED, FOREIGN FILING LICENSE GRANTED
`—”. O5/28/2004'
`'
`I
`~
`
`Foreign Priority claimed
`D yes D no
`5USC;‘119.V(a-d)conditions Dyesflnoflmeraner
`9‘
`‘
`I
`Allowance
`erified and .
`-
`cknowleded
`Examiner's Sinature
`
`DDRES_S .
`39310
`'
`
`A
`
`.
`
`-
`
`»
`
`STATE OR
`COUNTRY
`‘L
`
`SHEETS
`DRAWING
`10
`
`CLAIMS
`27
`
`'
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`-
`-ITLE -
`SYSTEM AND‘ METHOD FORDISPLAYING ORDER INFORMATION IN RELATION TO A DERIVATIVE OF
`PRICE
`-
`'
`.
`
`to charge/credit DEPOSIT ACCOUNT
`..___for following:
`
`CI 1.16 Fees ( Filing)
`
`CI 1.17 Fees ( Processing Ext. of
`time I
`D 1 18 Fees ( Issue)
`
`El Credit
`
`2
`
`

`
`PART B -
`
`TRANSlVHTI'AL
`
`Complete and semi this farm, mgether with nppiieahie i"ee(.s), tea: Mail Mail Stegi ISSUE FEE-
`Cnm missiimer fen‘ I’atei1ts
`R0. Em: 3.-‘$53
`Aiex:isi(ii'ia, Virginia 22313-1456
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`MBH B/Trading Technologies
`300 Somh Wacker Drive
`
`Sulte 3200
`Cmca-9°» ”- 60606
`
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`
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`APPLI’ ‘ " "'10 ‘ 1‘-K).
`10/800,295
`'.l'.l’,l LL. Ul’ IN Vi{NIl‘l(}N‘.
`
`Al’1’1_N. ‘1‘YPE
`nonprovisional
`
`,
`
`’
`
`FIIJNG DA
`03/12/2004
`
`FlR‘:§'l' NAMED 1}‘-I \.»'ENT()R
`Scott F. Singer
`
`A“-_'T(}‘RNEY l)(}‘CK1?i' I\0.
`
`(.‘()l\ll’ll{.\/.i.»{llOI\ 1‘-K).
`
`SMALL l_7N1'I'l‘Y
`
`"
`
`’
`
`’ " ‘
`
`PUBLICATION EEE
`
`'l OTAL 1‘EE(S)D(§E
`
`DATE DUE
`07/16/2010
`
`1. (‘
`3e 01‘ c01'resn0ii<ieriee address 01'ind,i<:21tio11 of "Fee Address" {'37
`CFR 1.353).
`*
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`P'l'O.W'SB/4'.7; Rev 03-02 or mere r tent) aft
`éd. Use of n Custmltei‘
`‘
`Numiser is required.
`3 '1 «iIi—11‘~A'i
`3. ASSIGN E NAME AND RESIDENC D,
`lf an :35 gyee is itieritifted below, the doc;1mi»::rit has l‘.<‘,t‘fd filed £01‘
`'.‘fie6. below,_ :10 3.
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`data will appear.‘ 9:; the ipatent.
`P.l.EASi;'.
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`
`21-iulbert & Berghoff LLP
`
`(A) N AM
`Trading Technologies International, Inc.
`
`{B} RESIDE;N(?E: (Ci’l“.{ 3;-.d S’1‘A,'J'E, OF. COU.i‘=i‘TR,‘.()
`Chicago, IL
`
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`43.
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`5. Change in Enti _
`l). Apniicaiit is no longer claiiiiixig Sf\«L=‘xLL ENTITY status. See 37 CFR l.27(g)(2).
`LE 21. A;3pliv;;i.ntcl;1in1s SMALL ENTlTY status. See 37 CFR 1.27.
`I
`‘en Fee -.
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`by the reveals 01" the ‘United State
`tam L111(lTZ"d(l':l31’1L1 A Office.
`
`AA4llt-1:0;
`
`.4 dSig*iatu1‘e /Thomas J‘ Loos’,
`
`Typed Cv1‘pY‘i
`
`;l]’1L11’J’1C Thomas ‘J' L005
`
`Date
`
`‘July 8' 2010
`
`Registzratiori No. 60v161
`
`This ceiieetmn r>i‘mi'm'rrie.t
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`
`3
`
`

`
`Privacy Act Statement
`
`The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with
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`
`4
`
`

`
`PATENT
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`(Case No. 04-225)
`
`In re Application of:
`
`Scott F. Singer et al.
`
`Group Art Unit: 3695
`
`Serial No.: 10/800,295
`
`Confirmation No.: 8245
`
`Filed: March 12,2004
`
`Examiner: Liu, Chia-Yi
`
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`NOTICE OF CHANGE OF STATUS TO LARGE ENTITY
`37 C.F.R.
`1.27
`2
`
`Dear Sir:
`
`Notice is hereby given under 37 C.F.R. § 1.27(g)(2) that small entity status is no longer
`
`claimed by the applicant.
`
`Date:
`
`July 8, 2010
`
`Respectfully submitted,
`
`By:
`
`/Thomas J. Loos/
`Thomas J. Loos
`
`Registration No. 60,161
`
`5
`
`

`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`(MBHB Case No. 04-225)
`
`In re Application of:
`
`Scott F. Singer et al.
`
`Serial No.: 10/800,295
`
`Filed: March 12,2004
`
`Mail Stop Issue Fee
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`%/\’/\’/%/%/\./\’/%/
`
`Group Art Unit: 3695
`
`Confirmation No.: 8245
`
`Examiner: Liu, Chia—Yi
`
`COMMENTS ON STATEMENT OF REASONS FOR ALLOVVANCE
`
`Applicant thanks Examiner Liu for the thorough examination and for recognizing the
`
`allowability of the subject matter of the claims. Applicant respectfully submits that
`
`the
`
`characterization of the invention of the claims in the Examiner’s Statements for Reasons for
`
`Allowance in the Notices of Allowance mailed January 6, 2010 and April 16, 2010 may not take
`
`into account the entirety of the features of the invention reflected in the claims, the specification,
`
`and the prosecution history of the application. To that end, Applicant points out that the claims,
`
`specification, and prosecution history in their entirety provide an adequate basis for allowability.
`
`Applicant also notes that there may be additional reasons for allowance that have not
`
`been specifically stated. Applicant respectfully submits that, notwithstanding the Examiner’s
`
`Statements of Reasons for Allowance, each of the allowed claims is patentable in its own right,
`
`for other reasons raised during prosecution and/or explained in the application.
`
`To the extent that specific parts of the examiner’s statement of reasons for allowance may
`
`pertain to features appearing in some but not all claims, Applicant respectfully submits that the
`
`Examiner has thoroughly examined the claims,
`
`recognized the features appearing or not
`
`appearing in each of the claims, and properly found each of the claims to be allowable. To the
`
`extent that the Examiner has paraphrased claim features, Applicant respectfully submits that the
`
`claims have been construed in View of their language in light of the specification and not limited
`
`by any of the Examiner’s statements or by the recitation therein of any specific claim features.
`
`6
`
`

`
`Further,
`
`the statement of reasons for allowance includes statements regarding the
`
`disclosure of certain pieces of art. While Applicant does not necessarily agree with these
`
`characterizations of What
`
`is disclosed by the art, Applicant agrees with Examiner that the
`
`application is allowable over the disclosure of the cited art.
`
`Dated: July 8, 2010
`
`Respectfully submitted,
`
`:
`
`/Thomas J. Loos/
`Thomas J. Loos
`
`Reg. No. 60,161
`
`7
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`10800295
`
`12-Mar-2004
`
`-ml‘ °f l""°"t'°"’
`
`SYSTEM AND METHOD FOR DISPLAYING ORDER INFORMATION IN RELATION
`TO A DERIVATIVE OF PRICE
`
`First Named Inventor/Applicant Name:
`
`Scott F. Singer
`
`Filer:
`
`Thomas J. Loos
`
`Attorney Docket Number:
`
`04-225
`
`Filed as Large Entity
`
`Utility under 35 USC 1 1 1 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`Usms)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-AlIowance-and-Post-Issuance:
`
`Utility Appl issue fee
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`Extension-of-Time:
`
`8
`
`

`
`Description
`
`|
`
`FeeCode
`
`Quantity
`
`Amount
`
`|
`
`Sub-Total in
`USD($)
`
`Miscellaneous:
`
`Total in USD ($)
`
`9
`
`

`
`Electronic Acknowledgement Receipt
`
`EFS ID:
`
`7976164
`
`Application Number:
`
`10800295
`
`International Application Number:
`
`Confirmation Number:
`
`T't'° °f "“’°"t'°"‘
`
`SYSTEM AND METHOD FOR DISPLAYING ORDER INFORMATION IN RELATION
`TO A DERIVATIVE or PRICE
`
`First Named Inventor/Applicant Name:
`
`Scott F. Singer
`
`Customer Number:
`
`39310
`
`Filer:
`
`Thomas J. Loos
`
`Filer Authorized By:
`
`Attorney Docket Number:
`
`04-225
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`08-JUL-2010
`
`12—MAR—2004
`
`14:52:23
`
`Application Type:
`
`Utility under 35 USC111(a)
`
`Payment information:
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`Submitted with Payment
`
`Payment Type
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`Payment was successfully received in RAM
`RAM confirmation Number
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`Deposit Account
`
`Authorized User
`
`yes
`
`Deposit Account
`
`$1510
`1045
`
`132490
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
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`Charge any Additional Fees required under 37 C.F.R. Section 1.1 7 (Patent application and reexamination processing fees)
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`10
`
`

`
`Charge any Additional Fees required under 37 C.F.R. Section 1.1 9 (Document supply fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
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`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`File Listing:
`
`Document
`Number
`
`Document Descri
`
`tion
`
`P
`
`File Size(Bytes)/
`Message Digest
`260086
`
`Multi
`Part /.zip (if appl.)
`
`1
`
`Issue Fee Payment (PTO-85B)
`
`04-225_|ssueFee_070810.pdf
`
`6e60dd726b(bdDe28a48723c4lf3942a958
`35322
`
`no
`
`no
`
`no
`
`no
`
`2
`
`1
`
`2
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`2
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`Warnings:
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`2
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`9
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`Warnings:
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`_
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`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`IVNITED STATES DEPARTMENT OF COMMERCE
`Ifnited States Patent and Trademark Office
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`NOTICE OF ALLOWANCE AND FEE(S) DUE
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`04/16/2010
`7590
`39310
`MBIIB/TRADING TECHNOLOGIES
`soosoUTHwAcI<ER
`SUITE 3200
`CIIICAG0’ IL
`
`HNER
`E‘
`MU’ CmA'Y1
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`3695
`DATE MAILED: 04/16/2010
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`APPLICATION NO.
`
`FILL\lG DATE
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`FIRST NAIVIED INVENTOR
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`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`04-225
`Scott F. Singer
`03/12/2004
`10/800.295
`'I'I'I'LE 011 IN VI_’N'I'ION: SYSTELVI AND METI IOD 1'0R DISPLAYING ORDER INI‘ORM_A'I'ION IN RELATION TO A DERIVA I'IVE 01" PRICE
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`APPLICATION NO.
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`FILL\IG DATE
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`FIRST NAIVIED INVENTOR
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`ATTORNEY DOCKET NO.
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`CONFIRMATION NO.
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`04-225
`Scott F. Singer
`03/12/2004
`10/800,295
`TITLE 01:’ INVENTION: SYSTLLVI AND METI IOD 1'OR DISPLAYING ORDER IN1tORM_ATION IN RELATION TO A DERIVATIVE 01" PRICE
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`APPLN. TYPE
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`ISSUE FEE DUE
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`PUBLICATION FEE DUE
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`PREV. PA 3 ISSUE FEE
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`LIU. CHIA—YI
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`705—O37000
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`1. Change of correspondence address or indication of "Fee Address" (37
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`13
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`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`IINITED STATES DEPARTMENT OF COMMERCE
`Ifnited States Patent and Trademark Office
`Address: COMIVIISSIONER FOR PATENTS
`P O Box 1450
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`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`I0/800,295
`
`03/I2/2004
`
`Scott E. Singer
`
`04-225
`
`8245
`
`04/16/2010
`7590
`39310
`MBIIB/TRADING TECHNOLOGIES
`soosoUTHwAcI<ER
`SUITE 3200
`CIIICAG0’ IL
`
`HNER
`E‘
`MU’ CmA'Y1
`
`3695
`DATE MAILED: 04/16/2010
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
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`The Patent Term Adjustment to date is 733 day(s). If the issue fee is paid on the date that is three months after the
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`PTOL—85 (Rev. 08/07) Approved for use through 08/31/2010.
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`Page 3 of 3
`
`14
`
`

`
`Application No.
`
`10/800,295
`Examiner
`
`CH|A—Y| LIU
`
`App|icant(s)
`
`SINGER ET AL.
`Art Unit
`
`3695
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
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`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
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`1. IXI This communication is responsive to the RCE filed 3/30/2010.
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`2. IX The allowed c|aim(s) is/are 28-49.
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`3. El Acknowledgment is made of a claim forforeign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) El All
`b) E] Some*
`c) E] None
`of the:
`1. El Certified copies of the priority documents have been received.
`2. El Certified copies of the priority documents have been received in Application No. j
`3. El Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received:
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`Applicant has THREE MONTHS FROM THE “MAILING DATE” of this communication to file a reply complying with the requirements
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`5. El CORRECTED DRAWINGS (as “replacement sheets") must be submitted.
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`6. I:I DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
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`Attachment(s)
`1. El Notice of References Cited (PTO—892)
`2. El Notice of Draftperson‘s Patent Drawing Review (PTO—948)
`
`3. IX Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date
`4. El Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5