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`TRADING TECH EXHIBIT 2037
`IBG ET AL. v. TRADING TECH
`CBM2015-00179
`
`

`
` IJNI TED S '.['ATE'.~'_-I PATEN T AND TRADEE-‘IARK QFFI CE
`
`Cornrnis-sinner for Patents
`United States Patent and Tradernark Office
`F'.O. Elu;~c145I:i
`Alexaridria, VA 2231 3-1 450
`vuwuwusprogoxr
`
`DO NOT USE IN PALM PRINTER
`
`(THIRD PARTY REQUESTER'S CORRESPONDENCE ADDRESS)
`
`Smith, Gambrell & Russell LLP
`
`1055 Thomas Jefferson Street, NW
`
`Suite 400
`
`Washington, D.C. 20007
`
`EX PARTE REEXAMINATION COMMUNICATION TRANSMI'I'I'AL FORM
`
`REEXAMINATION CONTROL NO. 90/013 578.
`
`PATENT NO. 7533056.
`
`ART UNIT 3992.
`
`Enclosed is a copy of the latest communication from the United States Patent and Trademark
`Office in the above identified ex parte reexamination proceeding (37 CFR 1.550(f)).
`
`Where this copy is supplied after the reply by requester, 37 CFR 1.535, or the time for filing a
`reply has passed, no submission on behalf of the ex parte reexamination requester will be
`acknowledged or considered (37 CFR 1.550(g)).
`
`PTOL—465 (Rev.07—04)
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`

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`Office Action in Ex Parte Reexamination
`
`Control No.
`90/013,578
`
`Examiner
`B. JAMES PEIKARI
`
`Patent Under Reexamination
`7533056
`
`Art Unit
`
`3992
`
`AIA (First Inventor to
`File) Status
`No
`
`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
`
`a.IZ Responsive to the communication(s) filed on 9/2/15.
`D A declaration(s)/affidavit(s) under 37 CFR 1.130(b) was/were filed on
`
`b. I] This action is made FINAL.
`
`c. D A statement under 37 CFR 1.530 has not been received from the patent owner.
`
`A shortened statutory period for response to this action is set to expire g month(s) from the mailing date of this letter.
`Failure to respond within the period for response will result in termination of the proceeding and issuance of an ex parte reexamination
`certificate in accordance with this action. 37 CFR 1.550(d). EXTENSIONS OF TIME ARE GOVERNED BY 37 CFR 1.550(c).
`If the period for response specified above is less than thirty (30) days, a response within the statutory minimum of thirty (30) days
`will be considered timely.
`
`Part I
`
`THE FOLLOWING ATTACHMENT(S) ARE PART OF THIS ACTION:
`
`1. El Notice of References Cited by Examiner, PTO—892.
`
`3. El
`
`Interview Summary, PTO—474.
`
`2. D Information Disclosure Statement, PTO/SB/08.
`
`4. El
`
`.
`
`Part II
`
`SUMMARY OF ACTION
`
`Claims 1 are subject to reexamination.
`
`Claims j are not subject to reexamination.
`
`Claims j have been canceled in the present reexamination proceeding.
`
`Claims
`
`are patentable and/or confirmed.
`
`Claims 1-15 are rejected.
`
`Claims
`
`are objected to.
`
`The drawings, filed on
`
`are acceptable.
`
`CI The proposed drawing correction, filed on
`
`has been (7a) I:I approved (7b)I:I disapproved.
`
`El Acknowledgment is made of the priority claim under 35 U.S.C. § 119( )—(d) or (f).
`
`a) [I All
`
`b)
`
`I:I Some* c) I:I None
`
`of the certified copies have
`
`1a.
`
`1b.
`
`2.
`
`3 4 5
`
`6 7 8
`
`.
`
`1 [I been received.
`
`2 [I not been received.
`
`3 [I been filed in Application No.
`
`4 El been filed in reexamination Control No.
`
`5 El been received by the International Bureau in PCT application No.
`
`* See the attached detailed Office action for a list of the certified copies not received.
`
`9. I: Since the proceeding appears to be in condition for issuance of an ex paite reexamination certificate except for formal
`matters, prosecution as to the merits is closed in accordance with the practice under Ex parte Quayle, 1935 C.D.
`11,453 O.G. 213.
`
`10. D Other:
`
`cc: Re uester (if third
`U.S. Patent and Trademark Office
`
`PTOL-466 (Rev. 08-13)
`
`Page 3 of 13
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`Ottice Action in Ex Parte Reexamination
`
`Part of Paper No. 20160108
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`Page 3 of 13
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`

`
`Application/Control Number: 90/013,578
`
`Page 2
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`Art Unit: 3992
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`DETAILED ACTION
`
`Reexamination
`
`1.
`
`Claims 1-15 of U.S. Patent Number 7,533,056 (the ‘O56 patent) are pending in
`
`this reexamination proceeding.
`
`2.
`
`The following is a brief summary of the prosecution to date in this ex parte
`
`Prosecution Summary
`
`reexamination proceeding:
`
`o
`
`o
`
`On September 2, 2015, a request for ex parte reexamination of claims 1-
`
`15 of the '056 patent was filed by the third party requestor.
`
`On September 22, 2015, the USPTO mailed a decision granting exparte
`
`reexamination and ordering the reexamination of claims 1-15.
`
`3.
`
`The references discussed herein are as follows:
`
`References
`
`(1)
`
`Tokyo Stock Exchange Operation System Division, Futures/Option
`
`Purchasing System Trading Terminal Operation Guide (1998) (“TSE”).
`
`(2)
`
`(3)
`
`United States Patent No. 5,375,055 (“Togher”).
`
`United States Patent No. 5,619,631 (“Schott”).
`
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`

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`Application/Control Number: 90/013,578
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`Page 3
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`Art Unit: 3992
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`Claim Rejections — Relevant Statutes
`
`4.
`
`The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all
`
`obviousness rejections set forth in this Office action:
`
`(a) A patent may not be obtained though the invention is not identically disclosed or described as set
`forth in section 102 of this title, if the differences between the subject matter sought to be patented and
`the prior art are such that the subject matter as a whole would have been obvious at the time the
`invention was made to a person having ordinary skill in the art to which said subject matter pertains.
`Patentability shall not be negatived by the manner in which the invention was made.
`
`Claim Rejections — Detailed Explanation
`
`5.
`
`Claims 1-15 are rejected under 35 U.S.C. § 103ja) as being unpatentable over
`
`TSE in view of Togher and further in view of Schott.
`
`The proposed rejections and supporting explanations in the request on pages 18-
`
`41 and in the claim chart (Exhibit E) on pages 1-63 are incorporated herein by
`
`reference.
`
`Incorporation by reference by the examiner in this rejection shall not include
`
`any reference(s) to declarations, other proceedings, affidavits, court decisions, non-
`
`patent literature, or any other document not explicitly mentioned in the grounds of
`
`rejection above.
`
`In addition, with regard to the combination proposed in the ground for rejection,
`
`the examiner notes the following:
`
`With regard to claim 1, a method of operation used by a computer for displaying
`
`transactional information and facilitating trading in a system where orders comprise a
`
`bid type or an offer type, the method comprising: receiving bid and offer information for
`
`a product from an electronic exchange, the bid and offer information indicating a
`
`plurality of bid orders and a plurality of offer orders for the product; displaying (see
`
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`Application/Control Number: 90/013,578
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`Page 4
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`Art Unit: 3992
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`below) a plurality of bid indicators representing quantity associated with the plurality of
`
`bid orders, the plurality of bid indicators being displayed at locations corresponding to
`
`prices of the plurality of bid orders along a price axis; displaying a plurality of offer
`
`indicators representing quantity associated with the plurality of offer orders, the plurality
`
`of offer indicators being displayed at locations corresponding to prices of the plurality
`
`offer orders along the price axis; receiving a user input indicating a default quantity (see
`
`below) to be used to determine a quantity for each of a plurality of orders to be placed
`
`by the user at one or more price levels; receiving a user input indicating a desired price
`
`for an order to be placed by the user, the desired price being specified by selection of
`
`one of a plurality of locations corresponding to price levels along the price axis; and
`
`sending the order for the default quantity at the desired price to the electronic exchange.
`
`TSE does not explicitly describe the claimed user input indicating a default
`
`quantity. However, Togher discloses the use of user-modifiable default values in a
`
`financial transaction system using a computer to display transaction information and
`
`facilitate trading with bid and offer orders (note the receiving bid and offer information
`
`from an electronic exchange, column 6, line 67 — column 7, line 19).
`
`In the Tog her
`
`system, a user can enter a default quantity called a Normal Trade Size into the Trader
`
`Profile screen (see Togher, Figure 4 below)
`
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`

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`Application/Control Number: 90/013,578
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`Page 5
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`Art Unit: 3992
`
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`and the quantity may be used for subsequent orders with the same quantity (note
`
`Togher, column 12, lines 7-10).
`
`While both TSE and Togher teach displaying bid and offer information to a user,
`
`neither explicitly teaches the claimed displaying the plurality of bid indicators and offer
`
`indicators at corresponding locations along a price axis (e.g., using charts or graphs).
`
`However, the use of such charts and graphs to display financial transaction information
`
`(such as the bids and offers in the TSE and Togher systems) was well known. Schott is
`
`cited as just one example of such. Schott discloses a computer system that teaches a
`
`variety of graphical display techniques (such as pie charts or bar graphs) and indicators
`
`representing various quantities, which may include financial information such as prices
`
`(i.e., currency display, note Schott, column 34, line 13) or budget information (note
`
`Schott, Figures 26A—F).
`
`In particular, Schott describes a computer graphical user
`
`interface that graphs data sets using different visual characteristics to indicate different
`
`values and quantities, as well as adjusting underlying quantities in the graphs by direct
`
`manipulation (i.e., adjusting the size of a graphical representation, such as a bar graph
`
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`Application/Control Number: 90/013,578
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`Page 6
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`Art Unit: 3992
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`or pie chart, to modify the underlying data; note Schott, column 2, lines 9-12, and
`
`column 20, line 62 — column 21, line 10).
`
`Therefore, it would have been obvious to one having ordinary skill in the art at
`
`the time the invention was made to incorporate the user—modifiable default values to
`
`display transaction information and facilitate trading with bid and offer orders of Togher
`
`and the adjustable graphical display of monetary values of Schott into the financial
`
`transaction system of TSE, since (1) the three systems were compatible technologies,
`
`notably that all three taught the display of financial information to a user (as explained
`
`above), (2) Togher was designed to fit in a financial transaction network (note Togher,
`
`column 5, lines 4-6, “the trading system is an electronic brokerage system having a
`
`communication network for facilitating the buying and selling”) and to be flexibly used in
`
`different trading scenarios (note Togher, column 6, lines 61-66, i.e., “another type of
`
`transaction” and “displays data from other information distribution and transaction
`
`processing systems’), (3) Schott was flexibly designed to provide a variety of types of
`
`graphical representations of data (note Schott, column 33, lines 61-63, “creation and
`
`alteration of dynamic graphs is not limited to those types of graphs presented’) and to
`
`be used with in a variety of different implementations (note Schott, column 34, lines 37-
`
`41, "the present invention has equal application to any video display and computer
`
`system capable of using dynamic graphs, and is not limited in its implementation’) and
`
`thus would have been readily adaptable for use in the TSE system, (4) with the
`
`combination of TSE, Togher and Schott, the data would have been represented in a
`
`more user-friendly manner (Scott) and would have permitted greater user control
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`Application/Control Number: 90/013,578
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`Page 7
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`Art Unit: 3992
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`through the user-provided default (Togher), which would have made for a more efficient
`
`and more controllable system.
`
`With regard to claims 2-15, the motivation to combine the TSE, Togher and
`
`Schott references is the same as explained above for claim.
`
`Examiner’s Statement of Reasons for Patentability/Confirmation
`
`6.
`
`None of the claims subject to reexamination have been confirmed at this time.
`
`Conclusion
`
`7.
`
`For the reasons described above, each of patent claims 1-15 is rejected.
`
`This Office action is non-final.
`
`Amendment in Reexamination Proceedings
`
`8.
`
`Patent Owner is notified that any proposed amendment to the specification
`
`and/or claims in this reexamination proceeding must comply with 37 CFR 1.530(d)-(j),
`
`must be formally presented pursuant to 37 CFR 1.52(a) and (b), and must contain any
`
`fees required by 37 CFR 1.20(c).
`
`In order to ensure full consideration of any amendments, affidavits or
`
`declarations, or other documents as evidence of patentability, such documents must be
`
`submitted in response to this Office action. Submissions will be governed by the
`
`requirements of 37 CFR 1.116, after final rejection and 37 CFR 41.33 after appeal,
`
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`Application/Control Number: 90/013,578
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`Page 8
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`Art Unit: 3992
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`which will be strictly enforced. See MPEP § 2250(lV) for examples to assist in the
`
`preparation of proper proposed amendments in reexamination proceedings.
`
`Service of Papers
`
`9.
`
`After filing of a request for ex parte reexamination by a third party requester, any
`
`document filed by either the patent owner or the third party requester must be served on
`
`the other party (or parties where two or more third party requester proceedings are
`
`merged) in the reexamination proceeding in the manner provided in 37 CFR 1.248. The
`
`document must reflect service or the document may be refused consideration by the
`
`Office. See 37 CFR 1.550(f).
`
`Extensions of Time
`
`10.
`
`Extensions of time under 37 CFR 1.136(a) will not be permitted in these
`
`proceedings because the provisions of 37 CFR 1.136 apply only to "an applicant" and
`
`not to parties in a reexamination proceeding. Additionally, 35 U.S.C. 305 requires that
`
`ex parte reexamination proceedings "will be conducted with special dispatch" (37 CFR
`
`1.550(a)). Extensions of time in ex parte reexamination proceedings are provided for in
`
`37 CFR1.550(c).
`
`Litigation Reminder
`
`11.
`
`The patent owner is reminded of the continuing responsibility under 37 CFR
`
`1.565(a) to apprise the Office of any litigation activity, or other prior or concurrent
`
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`Application/Control Number: 90/013,578
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`Page 9
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`Art Unit: 3992
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`proceeding, involving the patent throughout the course of this reexamination
`
`proceeding. The third party requester is also reminded of the ability to similarly apprise
`
`the Office of any such activity or proceeding throughout the course of this reexamination
`
`proceeding. See MPEP §§ 2207, 2282 and 2286.
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`Application/Control Number: 90/013,578
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`Page 10
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`Art Unit: 3992
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`All correspondence relating to this Ex Parte reexamination proceeding should be
`
`directed:
`
`By EFS:
`
`Registered users may submit via the electronic filing system EFS-web, at
`
`https://efs.uspto.gov/efile/myportal/efs—registered
`
`By Mail to: Mail Stop Ex Parte Reexam
`
`Attn: Central Reexamination Unit
`
`Commissioner of Patents
`
`United States Patent & Trademark Office
`
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`By FAX to:
`
`(571) 273-9900
`Central Reexamination Unit
`
`By hand to: Customer Service Window
`Randolph Building
`401 Dulany Street
`Alexandria, VA 22314
`
`For EFS-Web transmissions, 37 CFR 1.8(a)(1)(i) (C) and (ii) states that correspondence
`(except for a request for reexamination and a corrected or replacement request for
`reexamination) will be considered timely filed if (a) it is transmitted via the Office’s
`electronic filing system in accordance with 37 CFR 1.6(a)(4), and (b) includes a
`certificate of transmission for each piece of correspondence stating the date of
`transmission, which is prior to the expiration of the set period of time in the Office action.
`
`Any inquiry concerning this communication or earlier communications from the
`examiner, or as to the status of this proceeding, should be directed to the Central
`Reexamination Unit at telephone number (571) 272-7705.
`
`Signed:
`
`/B. James Peikaril
`
`B. James Peikari
`
`Primary Examiner
`Central Reexamination Unit 3992
`
`Conferees:
`
`/r.g.f./
`
`/\NHC/
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`Application/Control Number: 90/013,578
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