`
`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 CBM20 15-00179 of
`U.S. Patent No. 7,533,056
`PETITIONERS' UPDATED EXHIBIT LIST
`
`Ex. No.
`1001
`1002
`
`1003
`
`1004
`
`1005
`
`1006
`
`1007
`
`1008
`1009
`1010
`1011
`1012
`1013
`1014
`1015
`
`1016
`
`1017
`
`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 History")
`"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 Trad-
`ing Terminal Operation Guide" ("TSE Certificate")
`History of the American and NASDAQ Stock Exchanges, Business Ref-
`erence Services, The Library of Congress
`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")
`U.S. Patent No. 5,3 75,055 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 Design,"
`First Edition, 1995. ("Cooper'')
`Edward R. Tufte, "The Visual Display of Quantitative Information,"
`1983 ("Tufte VDQI")
`Edward R. Tufte, "Envisioning Information," Third Edition, December
`1992 ("Tufte EI")
`
`- 1 -
`
`
`
`Case CBM20 15-00179 of
`U.S. Patent No. 7,533,056
`
`Ex. No.
`1018
`
`Description
`Ben Shneiderman, "Designing the User Interface: Strategies for Effective
`Human-Computer Interaction," Third Edition, 1998 ("Shneiderman")
`
`1019
`
`1020
`1021
`
`1022
`
`1023
`
`1024
`
`1025
`
`1026
`
`1027
`
`1028
`
`1029
`1030
`
`1031
`
`1032
`1033
`
`Sunny J. Harris, "Trading 101 -How to Trade Like a Pro," 1996 ("Har-
`ris")
`
`Robert Deel, "The Strategic Electronic Day Trader," 2000 ("Deel'')
`
`Sun Microsystems, Inc., "Open Look™ Graphical User Interface Func-
`tional 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 Microcomputers,
`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 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")
`
`Vernon L. Smith, "An Experimental Study of Competitive Market Be-
`havior," The Journal of Political Economy, Vol. LXX, No. 2, April 1962
`("Smith")
`
`Declaration ofKendyl A. Roman ("Roman Decl.")
`
`Curriculum Vitae ofKendyl A. Roman ("Roman CV")
`
`- 2 -
`
`
`
`Case CBM20 15-00179 of
`U.S. Patent No. 7,533,056
`
`Ex. No.
`1034
`
`1035
`1036
`1037
`1038
`1039
`
`1040
`
`1041
`1042
`
`1043
`
`1044
`
`1045
`1046
`1047
`
`1048
`1049
`
`1050
`1051
`1052
`
`Description
`List ofMaterials Considered by Kendyl A. Roman ("Roman List ofMa-
`terials")
`Declaration of Harold Abilock, CBM20 14-00131
`Petitioner's Reply, Paper 48, CBM2014-00131
`
`Patent Owner Response, Paper 38, CBM2014-00131 ("POR")
`Transcript of Deposition of Christopher Thomas, CBM20 14-00131
`Transcript of Deposition of Christopher Thomas, Trading Technologies
`International, Inc. v. eSpeed, Inc. et al., No. 04-cv-5312 ("eSpeed Tr.")
`
`Second Corrected Expert Report of Christopher Thomas, Trading Tech-
`nologies Inti. , 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, Ox-
`ford 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
`
`Ex Parte Reexamination Filing Data, United States Patent and Trade-
`mark Office, September 30, 2014
`Ex Parte Reexamination Dashboard, September 2012
`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
`Transcript of Teleconference, June 6, 2016
`
`- 3 -
`
`
`
`Case CBM2015-00179 of
`U.S. Patent No. 7,533,056
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`Date: June 6, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`Lori A. Gordon (Reg. No. 50,633)
`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 1052 were served on June 6,
`
`2016, via e-mail in their entirety, 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.amer@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)
`LeifR. Sigmond, Jr. (Back-up Counsel)
`McDonnell, Boehnen, Hulbert & BerghoffLLP
`gannon@mbhb.com
`sigmond@mbhb.com
`
`Date: June 6, 2016
`
`STERN E, KESSLER, GOLDSTEfN & Fox P.L.L.C.
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`Lori A. Gordon (Reg. No. 50,633)
`Attorney for Petitioners