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`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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`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`PETITIONERS’ UPDATED EXHIBIT LIST
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`1003
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`Description
`Ex. No.
`1001 U.S. Patent No. 7,533,056 to Friesen et al. (’056 patent”)
`1002 File History of Application Ser. No. 11/417,544, which became the ’056
`patent, as filed and obtained from PAIR (’056 Patent File History”)
`“Futures/Option Purchasing System Trading Terminal Operation Guide,”
`Tokyo Stock Exchange (“TSE JP”)
`1004 Certified Translation of “Futures/Option Purchasing System Trading
`Terminal Operation Guide” (“TSE”)
`1005 Certificate of Translation for “Futures/Option Purchasing System Trad-
`ing Terminal Operation Guide” (“TSE Certificate”)
`1006 History of the American and NASDAQ Stock Exchanges, Business Ref-
`erence Services, The Library of Congress
`1007 Deposition Transcript of Atsushi Kawashima, Trading Technologies In-
`ternational, Inc., v. eSPEED, Inc., Case No. 04-cv-5312, United States
`District Court, Northern District of Illinois, Eastern Division, dated No-
`vember 21, 2005 (“Depo. Transcript”)
`1008 U.S. Patent No. 5,375,055 to Togher et al. (“Togher”)
`1009 U.S. Patent No. 5,619,631 to Schott (“Schott”)
`1010 U.S. Patent No. 5,136,501 to Silverman et al. (“Silverman”)
`1011 U.S. Patent No. 5,414,809 to Hogan et al. (“Hogan”)
`1012 U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`1013 U.S. Patent No. 5,454,104 to Steidlmayer et al. (“Steidlmayer”)
`1014 Reuters Globex User Guide, June 1995 (“Globex”)
`1015 Alan Cooper, “About Face: The Essentials of User Interface Design,”
`First Edition, 1995. (“Cooper”)
`1016 Edward R. Tufte, “The Visual Display of Quantitative Information,”
`1983 (“Tufte VDQI”)
`1017 Edward R. Tufte, “Envisioning Information,” Third Edition, December
`1992 (“Tufte EI”)
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`- 1 -
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`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
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`Description
`Ex. No.
`1018 Ben Shneiderman, “Designing the User Interface: Strategies for Effective
`Human-Computer Interaction,” Third Edition, 1998 (“Shneiderman”)
`1019 Sunny J. Harris, “Trading 101 – How to Trade Like a Pro,” 1996 (“Har-
`ris”)
`1020 Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`1021 Sun Microsystems, Inc., “Open Look™ Graphical User Interface Func-
`tional Specification,” November 1989 (“Open Look”)
`1022 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”)
`1023 Richard W. Arms Jr., “Profits in Volume - Equivolume Charting,” 1975
`(“Arms”)
`1024 Definition of “default,” The Computer Glossary, Fifth Edition, 1991 page
`175. (“Computer Glossary”)
`1025 Definition of “default,” The Illustrated Dictionary of Microcomputers,
`Third Edition, 1990, page 90. (“Illustrated Dictionary”)
`1026 Definition of “default,” Webster’s New World College Dictionary,
`Fourth Edition, 2007, page 378. (“Webster’s”)
`1027 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)
`1029 Weiss, “After the Trade is Made,” pp. 44-46. (“Weiss”)
`1030 Memorandum Opinion and Order, Trading Technologies International,
`Inc. v. BCG Partners, Inc., Case No. 1:10-cv-00715, United States Dis-
`trict Court for the Northern District of Illinois, Eastern Division, filed
`February 9, 2012 (“SJ Opinion”)
`1031 Vernon L. Smith, “An Experimental Study of Competitive Market Be-
`havior,” The Journal of Political Economy, Vol. LXX, No. 2, April 1962
`(“Smith”)
`1032 Declaration of Kendyl A. Román (“Román Decl.”)
`1033 Curriculum Vitae of Kendyl A. Román (“Román CV”)
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`1028
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`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
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`1041
`1042
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`Description
`Ex. No.
`1034 List of Materials Considered by Kendyl A. Román (“Román List of Ma-
`terials”)
`1035 Declaration of Harold Abilock, CBM2014-00131
`1036 Petitioner’s Reply, Paper 48, CBM2014-00131
`1037 Patent Owner Response, Paper 38, CBM2014-00131 (“POR”)
`1038 Transcript of Deposition of Christopher Thomas, CBM2014-00131
`1039 Transcript of Deposition of Christopher Thomas, Trading Technologies
`International, Inc. v. eSpeed, Inc. et al., No. 04-cv-5312 (“eSpeed Tr.”)
`1040 Second Corrected Expert Report of Christopher Thomas, Trading Tech-
`nologies 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”)
`1043 Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th Ed, Ox-
`ford University Press, 1996 (“Oxford Dictionary”)
`1044 Mark J. Powers, “Starting Out in Futures Trading,” Sixth Edition, 2001
`(“Powers”)
`1045 Settlement Agreement (Board Only)
`1046 Transcript of teleconference, March 23, 2016
`1047 Ex Parte Reexamination Filing Data, United States Patent and Trade-
`mark Office, September 30, 2014
`1048 Ex Parte Reexamination Dashboard, September 2012
`1049 Declaration of Adam Kessel in Support of Petitioner’s Motion for Pro
`Hac Vice Admission
`1050 Email Correspondence of April 12-13, 2016
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`Date: April 29, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
`/Richard M. Bemben #68658/
`
`
`Robert E. Sokohl (Reg. No. 36,013)
`Lori A. Gordon (Reg. No. 50,633)
`Richard M. Bemben (Reg. No. 68,658)
`Attorneys for Petitioners
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`- 4 -
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`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that copies of the foregoing PETITION-
`
`ERS’ UPDATED EXHIBIT LIST and EXHIBIT 1050 were served on April 29,
`
`2016, via e-mail in their entireties on the following counsel of record for Patent
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`Owner:
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`Erika H. Arner (Lead Counsel)
`Joshua L. Goldberg (Back-up Counsel)
`Kevin D. Rodkey (Back-up Counsel)
`Rachel L. Emsley (Back-up Counsel)
`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 (Back-up Counsel)
`Trading Technologies International, Inc.
`tt-patent-cbm@tradingtechnologies.com
`
`Michael D. Gannon (Back-up Counsel)
`Leif R. Sigmond, Jr. (Back-up Counsel)
`McDonnell, Boehnen, Hulbert & Berghoff LLP
`gannon@mbhb.com
`sigmond@mbhb.com
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
`
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`Date: April 29, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`2803558_1.DOCX
`
`
`/Richard M. Bemben #68658/
`
`
`Robert E. Sokohl (Reg. No. 36,013)
`Lori A. Gordon (Reg. No. 50,633)
`Richard M. Bemben (Reg. No. 68,658)
`Attorneys for Petitioners
`
`
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