UNITED STATES PATENT AND TRADEMARK OFFICE
`
`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
`
`
`
`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
`
`
`
`Case CBM2015-00 179 of
`U.S. Patent No. 7,533,056
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`’056
`
`1003
`
`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
`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-53 12, 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 Steidimayer 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 El")
`
`-1-
`
`
`
`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`
`1019
`
`1028
`
`- Equivolume Charting," 1975
`
`Description
`Ex. No.
`1018 Ben Shneiderrnan, "Designing the User Interface: Strategies for Effective
`Human-Computer Interaction," Third Edition, 1998 ("Shneiderman")
`Sunny J. Harris, "Trading 101 - How to Trade Like a Pro," 1996 ("Har -
`ris")
`1020 Robert Deel, "The Strategic Electronic Day Trader," 2000 ("Deel")
`Sun Microsystems, Inc., "Open LookTM Graphical User Interface Func-
`1021
`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
`("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-481 1, 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. Roman ("Roman Decl.")
`1033 Curriculum Vitae of Kendyl A. Roman ("Roman CV")
`
`-2-
`
`
`
`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`
`Ex. No.
`1034
`
`1036
`
`1038
`
`1039
`
`1040
`
`1041
`
`1042
`
`1037
`
`Description
`List of Materials Considered by Kendyl A. Roman ("Roman List of Ma-
`terials")
`1035 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 Technologies
`International, Inc. v. eSpeed, Inc. et al., No. 04-cv-53 12 ("eSpeed Tr.")
`Second Corrected Expert Report of Christopher Thomas, Trading Tech-
`nologies Intl., Inc. v. CQG, Inc. et al., Case No. 1 :05-cv-048 11 ("Thomas
`Rep.")
`Institution Decision, Paper 19, CBM2014-0013 1 ("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")
`Settlement Agreement (Board Only)
`Transcript of teleconference, March 23, 2016
`1046
`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
`Email Correspondence of April 12-13, 2016
`Transcript of Teleconference, May 2, 2016
`
`1045
`
`1050
`
`1051
`
`-3-
`
`
`
`Case CBM2015-00179 of
`U. S. Patent No. 7,533,056
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`Date: May 12, 2016
`
`1100 New York Avenue, N.W. (cid:9)
`Washington, D.C. 20005-3934 (cid:9)
`(202) 371-2600
`
`ROert E. Sokohi (Reg. No. 36,013)
`Attorney for Petitioners
`
`-4-
`
`
`
`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 1051 were served on May 12,
`
`2016, via e-mail in their entireties on the following counsel of record for Patent
`
`Owner:
`
`Erika H. Amer (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. corn
`joshua. goldberg(finnegan. corn
`kevin.rodkey@finnegan. corn
`rachel. emsley@fiimegan. corn
`Trading-Tech-CBM(finnegan. corn
`
`Steven F. Borsand (Back-up Counsel)
`Trading Technologies International, Inc.
`tt-patent-cbm((cid:228)tradingtechno1ogies. corn
`
`Michael D. Gannon (Back-up Counsel)
`Leif R. Sigmond, Jr. (Back-up Counsel)
`McDonnell, Boehnen, Hulbert & BerghoffLLP
`gannon@mbhb . corn
`sigrnond@rnbhb . corn
`
`Date: May 12, 2016
`
`1100 New York Avenue, N. W,
`Washington, D.C. 20005-3934
`(202) 371-2600
`2809478_1 .DOCX
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`fR6ert E. Sokohi (Reg. No. 36,013)
`
`Attorney for Petitioners
`
`
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