UNITED STATES PATENT AND TRADEMARK OFFICE
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`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`IBG LLC; INTERACTIVE BROKERS LLC;
`TRADESTATION GROUP, INC.; TRADESTATION SECURITIES, INC.;
`TRADESTATION TECHNOLOGIES, INC.; and IBFX, INC.
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`____________________
`
`Case: CBM2015-00179
`Patent No. 7,533,056
`____________________
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
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`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`IBG LLC; INTERACTIVE BROKERS LLC;
`TRADESTATION GROUP, INC.; TRADESTATION SECURITIES, INC.;
`TRADESTATION TECHNOLOGIES, INC.; and IBFX, INC.
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`____________________
`
`Case: CBM2015-00179
`Patent No. 7,533,056
`____________________
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`
`
`
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
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`
`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`PETITIONER’S UPDATED EXHIBIT LIST
`
`Description
`U.S. Patent No. 7,533,056 to Friesen et al. (’056 patent”)
`File History of Application Ser. No. 11/417,544, which became the
`’056 patent, as filed and obtained from PAIR (’056 Patent File His-
`tory”)
`“Futures/Option Purchasing System Trading Terminal Operation
`Guide,” Tokyo Stock Exchange (“TSE JP”)
`Certified Translation of “Futures/Option Purchasing System Trading
`Terminal Operation Guide” (“TSE”)
`Certificate of Translation for “Futures/Option Purchasing System
`Trading Terminal Operation Guide” (“TSE Certificate”)
`History of the American and NASDAQ Stock Exchanges, Business
`Reference Services, The Library of Congress
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. 04-cv-5312, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Depo. Transcript”)
`U.S. Patent No. 5,375,055 to Togher et al. (“Togher”)
`U.S. Patent No. 5,619,631 to Schott (“Schott”)
`U.S. Patent No. 5,136,501 to Silverman et al. (“Silverman”)
`U.S. Patent No. 5,414,809 to Hogan et al. (“Hogan”)
`U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`U.S. Patent No. 5,454,104 to Steidlmayer et al. (“Steidlmayer”)
`Reuters Globex User Guide, June 1995 (“Globex”)
`Alan Cooper, “About Face: The Essentials of User Interface De-
`sign,” First Edition, 1995. (“Cooper”)
`Edward R. Tufte, “The Visual Display of Quantitative Information,”
`1983 (“Tufte VDQI”)
`Edward R. Tufte, “Envisioning Information,” Third Edition, De-
`cember 1992 (“Tufte EI”)
`
`Ex. No.
`1001
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`1009
`1010
`1011
`1012
`1013
`1014
`1015
`
`1016
`
`1017
`
`
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`- 1 -
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`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`
`Description
`Ben Shneiderman, “Designing the User Interface: Strategies for Ef-
`fective Human-Computer Interaction,” Third Edition, 1998 (“Shnei-
`derman”)
`Sunny J. Harris, “Trading 101 – How to Trade Like a Pro,” 1996
`(“Harris”)
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`Sun Microsystems, Inc., “Open Look™ Graphical User Interface
`Functional Specification,” November 1989 (“Open Look”)
`Valerie Quercia et al., “X Window System User’s Guide,”
`OSF/Motif 1.2 Edition, The Definitive Guides to the X Window
`System, Vol. 3, August 1993 (“X Window”)
`Richard W. Arms Jr., “Profits in Volume - Equivolume Charting,”
`1975 (“Arms”)
`Definition of “default,” The Computer Glossary, Fifth Edition, 1991
`page 175. (“Computer Glossary”)
`Definition of “default,” The Illustrated Dictionary of Microcomput-
`ers, Third Edition, 1990, page 90. (“Illustrated Dictionary”)
`Definition of “default,” Webster’s New World College Dictionary,
`Fourth Edition, 2007, page 378. (“Webster’s”)
`Microsoft Computer Dictionary, Fifth Edition, 2002, pages 102,
`150, 174, 176, and 348 (“Microsoft Computer Dictionary”)
` Trading Techs. Int’l. v. CQG, No. 05-cv-4811, slip op. at 10 (N.D.
`Ill. Feb. 24, 2015)
`Weiss, “After the Trade is Made,” pp. 44-46. (“Weiss”)
`Memorandum Opinion and Order, Trading Technologies Interna-
`tional, Inc. v. BCG Partners, Inc., Case No. 1:10-cv-00715, United
`States District Court for the Northern District of Illinois, Eastern Di-
`vision, filed February 9, 2012 (“SJ Opinion”)
`Vernon L. Smith, “An Experimental Study of Competitive Market
`Behavior,” The Journal of Political Economy, Vol. LXX, No. 2,
`April 1962 (“Smith”)
`Declaration of Kendyl A. Román (“Román Decl.”)
`
`Ex. No.
`1018
`
`1019
`
`1020
`1021
`
`1022
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`1023
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`1024
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`1025
`
`1026
`
`1027
`
`1028
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`1029
`1030
`
`1031
`
`1032
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`
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`- 2 -
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`Ex. No.
`1033
`1034
`
`1035
`1036
`1037
`1038
`1039
`
`1040
`
`1041
`1042
`
`1043
`
`1044
`
`1045
`1046
`
`
`
`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`
`Description
`Curriculum Vitae of Kendyl A. Román (“Román CV”)
`List of Materials Considered by Kendyl A. Román (“Román List of
`Materials”)
`Declaration of Harold Abilock, CBM2014-00131
`Petitioner’s Reply, Paper 48, CBM2014-00131
`Patent Owner Response, Paper 38, CBM2014-00131 (“POR”)
`Transcript of Deposition of Christopher Thomas, CBM2014-00131
`Transcript of Deposition of Christopher Thomas, Trading Technolo-
`gies International, Inc. v. eSpeed, Inc. et al., No. 04-cv-5312
`(“eSpeed Tr.”)
`Second Corrected Expert Report of Christopher Thomas, Trading
`Technologies Intl., Inc. v. CQG, Inc. et al., Case No. 1:05-cv-04811
`(“Thomas Rep.”)
`Institution Decision, Paper 19, CBM2014-00131 (“Decision”)
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`(“Inside Macintosh”)
`Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th
`Ed, Oxford University Press, 1996 (“Oxford Dictionary”)
`Mark J. Powers, “Starting Out in Futures Trading,” Sixth Edition,
`2001 (“Powers”)
`Settlement Agreement (Board Only)
`Transcript of teleconference, March 23, 2016
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
`/Robert Sokohl/
`
`Robert E. Sokohl (Reg. No. 36,013)
`Attorney for Petitioners
`
`
`
` Date: April 5, 2016
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
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`- 3 -
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`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that a true and correct copy of the forego-
`
`ing PETITIONERS’ UPDATED EXHIBIT LIST was served on April 5, 2016,
`
`via e-mail in its entirety on the following counsel of record for Patent Owner:
`
`Erika H. Arner
`Joshua L. Goldberg
`Kevin D. Rodkey
`Rachel L. Emsley
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
`erika.arner@finnegan.com
`joshua.goldberg@finnegan.com
`kevin.rodkey@finnegan.com
`rachel.emsley@finnegan.com
`trading-tech-CBM@finnegan.com
`
`
`
`
`
`
`
`Steven F. Borsand
`Trading Technologies International, Inc.
`tt-patent-cbm@tradingtechnologies.com
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/ROBERT SOKOHL/
`
`Robert Sokohl (Reg. No. 36,013)
`Attorney for Petitioners
`
`
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`
`
`2792709_1.DOCX
`
`
`
`
`Date: April 5, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
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