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
`U.S. Patent 7,533,056
`_________________
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`PATENT OWNER’S UPDATED EXHIBIT LIST
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` Paper No. ____
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` Filed: July 26, 2016
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`

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`Case CBM2015-00179
`U.S. Patent 7,533,056
`Pursuant to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
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`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners IBG, LLC, Interactive Brokers LLC,
`
`TradeStation Group, Inc., TradeStation Securities, Inc., TradeStation
`
`Technologies, Inc., and IBFX, Inc. Exhibits 2343 and 2344 were filed on PTAB
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`E2E and served via email to counsel of record for the Petitioner.
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`Exhibit 2002
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`Exhibit 2004
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`Exhibit 2005
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`Exhibit 2006
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`Exhibit 2007
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`Exhibit 2008
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`Exhibit 2009
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`Exhibit 2010
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`Filed Exhibits Description
`Exhibit 2001
`Transcript of Teleconference with the Board, dated
`November 23, 2015
`Versata Development Group, Inc. v. SAP America, Inc. and SAP
`AG, Case No. 2014-1194 (CAFC), Docket No. 61, Brief for the
`Intervenor - Director of the United States Patent and Trademark
`Office (May 1, 2014)
`Exhibit 2003 Meyers, Brad A. “A Brief History of Human-Computer
`Interaction Technology.” Interactions 5.2 (1998): 44-54
`National Aeronautics and Space Administration Web Page Print
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`Computer Interaction Master’s Program
`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`1
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`Exhibit 2011
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`Exhibit 2012
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`
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`

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`Exhibit 2013
`Exhibit 2014
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`Exhibit 2016
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`Exhibit 2017
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`Exhibit 2018
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`Exhibit 2019
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`Exhibit 2020
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`Exhibit 2021
`
`Case CBM2015-00179
`U.S. Patent 7,533,056
`Senate Congressional Record, S936-S953 (Feb. 28, 2011)
`Crossing the Finish Line on Patent Reform: What Can and
`Should Be Done, Hearing Before the Subcommittee on
`Intellectual Property, Competition, and the Internet of the
`Committee on the Judiciary House of Representatives (Feb. 11,
`2011)
`Exhibit 2015 Markup of H.R. 1249, The America Invents Act, House of
`Representatives Committee on the Judiciary (Apr. 14, 2011)
`Study and Report on the Implementation of the Leahy-Smith
`America Invents Act, USPTO Report to Congress (Sept. 2015)
`Trading Tech Int’l v BGC Partners, Inc., Case No. 10-C-715
`(N.D.Ill.), Dkt. 613, Supplemental Response of Certain
`Defendants to TT’s Emergency Motion (July 20, 2015)
`Trading Tech Int’l v BGC Partners, Inc., Case No. 10-C-715
`(N.D.Ill.), Transcript of Proceedings - Motion (September 10,
`2015)
`TD Ameritrade Holding Corporation et al. v. Trading
`Technologies International, Inc., Case No. CBM2014-000131,
`Declaration of Kendyl A. Román (May 17, 2014)
`TD Ameritrade Holding Corporation et al. v. Trading
`Technologies International, Inc., Case No. CBM2014-000131,
`Declaration of Harold Abilock (March 6, 2015)
`Trading Tech Int’l v BGC Partners, Inc., Case No. 10-C-715
`(N.D.Ill.), Dkt. 176, Defendants’ Case Management Statement
`for May 5, 2011 Status Hearing (May 30, 2011)
`Trading Tech Int’l v BGC Partners, Inc., Case No. 10-C-715
`(N.D.Ill.), Dkt. 528, Position Statement of the TD Ameritrade
`Defendants on the Federal Circuit’s Decision in OEC and How
`this Case Should Proceed (Feb. 20, 2014)
`Trading Technologies International, Inc. v. BCG Partners, Inc.,
`Case No. 1:10-CV-00715 (N.D. Ill.), Docket No. 562, Reply
`Memorandum in Support of the IBG Defendants’ Motion to Stay
`Proceedings Pursuant to Section 18(b) of the America Invents
`Act (Jun. 18, 2014)
`Trading Tech Int’l v BGC Partners, Inc, Case No. 10-C-715
`(N.D.Ill.), Dkt. 558, TradeStation Defendants’ Joinder In and
`Motion for Stay (June 11, 2014)
`Trading Tech Int’l v BGC Partners, Inc, Case No. 10-C-715
`(N.D.Ill.), Dkt. 546, Memorandum in Support of the TD
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`Exhibit 2022
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`Exhibit 2023
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`Exhibit 2024
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`Exhibit 2025
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`2
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`

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`Case CBM2015-00179
`U.S. Patent 7,533,056
`Ameritrade Defendants’ Motion to Stay Proceedings Pursuant to
`Section 18(b) of the America Invents Act (May 22, 2014)
`Trading Tech Int’l v BGC Partners, Inc., Case No. 10-C-715
`(N.D.Ill.), Dkt. 609, Response of Certain Defendants to Trading
`Technologies’ “Emergency” Motion (July 15, 2015)
`Trading Tech Int’l v TradeStation Securities, Inc. and
`TradeStation Group, Inc., Case No. 10-cv-884 (N.D.Ill.),
`TradeStation Securities, Inc.’s and TradeStation Group, Inc.’s
`Initial Invalidity Contentions Pursuant to Local Patent Rule 2.3
`(October 12, 2010)
`U.S. Patent No. 6,993,572 B2
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., Ecco LLC and Ecco Ware Ltd., Case No.
`1:04-CV-05312 (N.D. Ill.), Volume 11-A Trial Transcript of
`Proceedings (September 26, 2007)
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (October 10, 2007)
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Instruction Form (October 10, 2007)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc. et al. , Case No. 04-cv-
`5312, Dkt. 1140, Notification of Docket Entry (January 3, 2008)
`79 Fed. Reg. 74618- 633, USPTO 2014 Interim Guidance on
`Patent Subject Matter Eligibility (December 16, 2014)
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`The American Heritage College Dictionary Fourth Edition, 100
`(2002): Definition of “Axis”
`Served
`Office Action in Ex Parte Reexamination 90/013,578 (Jan. 28,
`2016)
`Reserved
`
`Served
`Reserved
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`Transcript of Teleconference with the Board, dated May 11,
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`3
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`Exhibit 2026
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`Exhibit 2027
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`Exhibit 2028
`Exhibit 2029
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`Exhibit 2030
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`Exhibit 2031
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`Exhibit 2032
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`Exhibit 2033
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`Exhibit 2034
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`Exhibit 2035
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`Exhibit 2036
`Exhibit 2037
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`Exhibit 2038 –
`2102
`Exhibit 2103
`Exhibit 2104 -
`Exhibit 2106
`Exhibit 2107
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`

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`Case CBM2015-00179
`U.S. Patent 7,533,056
`
`2016
`Reserved
`
`Thomas Ex. C - U.S. Patent No. 6,772,132
`Reserved
`
`Exhibit 2108 –
`Exhibit 2115
`Exhibit 2116
`Exhibit 2117 –
`Exhibit 2120
`Exhibit 2121 U.S. Patent Classification System – Classification Definitions –
`Class 705
`Reserved
`Reserved
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, (January 2011): 1-8
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`Reserved
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`Exhibit 2122
`Exhibit 2123
`Exhibit 2124
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`Exhibit 2125
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`Exhibit 2126 -
`Exhibit 2139
`Exhibit 2140
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`Exhibit 2141
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`Exhibit 2142
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`Exhibit 2143
`Exhibit 2144
`Exhibit 2145
`Exhibit 2146
`Exhibit 2147
`Exhibit 2148
`Exhibit 2149
`Exhibit 2150
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`Exhibit 2151
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`Exhibit 2152
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`Exhibit 2153
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`
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`Transcript of Teleconference with the Board, dated June 13,
`2016
`Transcript of Teleconference with the Board, dated June 14,
`2016
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Transcript of Proceedings (May 12, 2016)
`TS0028765
`TS0107054
`TS0024612
`TS1261405
`TS1268720
`TS1533977
`TS1525667
`Video Deposition Transcript of John Bartleman, dated June 8,
`2016 in Trading Technologies International, Inc. v. BGC
`Parnters, Inc., Case No. 1:10-cv-715 (Consolidated) (N.D. Ill.).
`Draft Video Deposition Transcript of John Bartleman, dated June
`9, 2016 in Trading Technologies International, Inc. v. BGC
`Parnters, Inc., Case No. 1:10-cv-715 (Consolidated) (N.D. Ill.).
`Listing Additional Discovery Sought: Produced Documents and
`Transcripts
`Listing of Additional Discovery Sought: Documents Withheld in
`District Court
`
`4
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`

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`Case CBM2015-00179
`U.S. Patent 7,533,056
`Video Deposition Transcript of Milan Galik, dated June 13, 2016
`in Trading Technologies International, Inc. v. BGC Parnters,
`Inc., Case No. 1:10-cv-715 (Consolidated) (N.D. Ill.).
`Relevance of Additional Discovery Sought
`IBG 00026004
`IBG_00040515
`IBG_00014726
`TSE-filed opposition document to Japanese Patent Application
`No. 2001-564025 (TSE0000000982-995)
`Certified Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`Harold Abilock Certification of Translation of TSE-filed
`opposition document to Japanese Patent Application No. 2001-
`564025 (TSE0000000982-995)
`JP Patent Application 2001-564025
`Deposition Transcript of Atushi Kawashima, dated June 17, 2016
`Reserved
`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`Declaration of Richard Friesen
`Declaration of Eric Gould-Bear
`Declaration of Christopher Thomas, dated June 24, 2016
`Reserved
`
`Declaration of Dan R. Olsen, Jr.
`Exhibit TSE1 from Kawashima 2005 Deposition
`(TSE0000000996-1016)
`Certified Translation of Exhibit TSE1 from Kawashima 2005
`Deposition (TSE0000000996-1016)
`Harold Abilock Certification of Translation of Exhibit TSE1
`from Kawashima 2005 Deposition (TSE0000000996-1016)
`Reserved
`
`Declaration of Peter C. Hart
`Reserved
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`Thomas Ex. A - Christopher Thomas CV
`Reserved
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`5
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`Exhibit 2154
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`Exhibit 2155
`Exhibit 2156
`Exhibit 2157
`Exhibit 2158
`Exhibit 2159
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`Exhibit 2160
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`Exhibit 2161
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`Exhibit 2162
`Exhibit 2163
`Exhibit 2164
`Exhibit 2165
`Exhibit 2166
`Exhibit 2167
`Exhibit 2168
`Exhibit 2169
`Exhibit 2170-
`Exhibit 2173
`Exhibit 2174
`Exhibit 2175
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`Exhibit 2176
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`Exhibit 2177
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`Exhibit 2178-
`2180
`Exhibit 2181
`Exhibit 2182 -
`Exhibit 2200
`Exhibit 2201
`Exhibit 2202
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`

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`Case CBM2015-00179
`U.S. Patent 7,533,056
`
`Reserved
`Thomas Ex. B - Microsoft DNA Case Study
`Reserved
`
`Friesen/Hart Ex. B - PH00001249-1268: The Trading Game -
`Descriptive Basis for Software Specifications
`Friesen/Hart Ex. C - RF0006028: Email from Kirk Knight to
`Rich Friesen et al. (January 7, 1998)
`Friesen/Hart Ex. D - PH00000001-20: Trading Game Design
`Document (March 5, 1998)
`Friesen/Hart Ex. E - PH00000367-374: epit.com Technology
`Development Agreement (April 1998)
`Friesen/Hart Ex. F - PH00000461-553: ePit Design and
`Technical Specification (June 26, 1998)
`Friesen/Hart Ex. G - RF0007767-7770: Email from Moses Ma to
`Rich Friesen et al. (July 2, 1998)
`Friesen/Hart Ex. H - RF0007829: Email from Moses Ma to Rich
`Friesen et al. (July 6, 1998)
`Friesen/Hart Ex. I - RF0007857: Email from Rich Friesen to
`Tom Biddulph et al. (Jul 9, 1998)
`Friesen/Hart Ex. J - RF0007872-7876: Email from Rich Friesen
`to Peter Hart et al. (July 12, 1998)
`Friesen/Hart Ex. K - RF0007926-7927: Email from Rich Friesen
`to Jeffrey Schneider etal. (August 6, 1998)
`Friesen/Hart Ex. L - RF0008012-8013: Email from Rich Friesen
`to Jeff Schneider and Peter Hart (August 27, 1998)
`Friesen/Hart Ex. M - RF0008020: Email from Rich Friesen to
`Tom Biddulph et al. (August 28, 1998)
`Friesen/Hart Ex. N - RF0008021-8022: Email from Rich Friesen
`to Barry Hank et al. (August 31, 1998)
`Friesen/Hart Ex. O - RF0008080: Email from Tom Biddulph to
`Peter Hart et al. (Sept. 26, 1998)
`Friesen/Hart Ex. P -RF0008101: Email from Tom Biddulph to
`Rich Friesen (October 8, 1998)
`Friesen/Hart Ex. Q - RF0008346: Email from Rich Friesen to
`Jeffrey Schneider (October 12, 1998)
`Friesen/Hart Ex. R - RF0008348: Email from Tom Biddulph to
`Rich Friesen et al. (October 13, 1998)
`Friesen/Hart Ex. S - RF0008729: Email from Tom Biddulph to
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`6
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`Exhibit 2203
`Exhibit 2204
`Exhibit 2205 –
`Exhibit 2298
`Exhibit 2299
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`Exhibit 2300
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`Exhibit 2301
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`Exhibit 2302
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`Exhibit 2303
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`Exhibit 2304
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`Exhibit 2305
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`Exhibit 2306
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`Exhibit 2307
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`Exhibit 2308
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`Exhibit 2309
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`Exhibit 2310
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`Exhibit 2311
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`Exhibit 2312
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`Exhibit 2313
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`Exhibit 2314
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`Exhibit 2315
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`Exhibit 2316
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`
`
`

`
`Case CBM2015-00179
`U.S. Patent 7,533,056
`
`Peter Hart et al. (October 20, 1998)
`Friesen/Hart Ex. T - PH00001393-1396: ePIT Trading Board,
`Alternative Design Specification
`Friesen/Hart Ex. U - RF0008734-8735: Email from Peter Hart to
`Tom Biddulph (October 20, 1998)
`Friesen/Hart Ex. V - RF0008736-8738: Email from Jeffrey
`Schneider to Peter Hart (October 20, 1998)
`Friesen/Hart Ex. W - RF0008766: Email from Tom Biddulph to
`Peter Hart et al. (October 23, 1998)
`Friesen/Hart Ex. X - RF0008770 : Email to Tom Biddulph
`(October 23, 1998)
`Friesen/Hart Ex. Y - RF0008809-8810: Email to Tom Biddulph
`(Novmeber 20, 1998)
`Friesen/Hart Ex. Z - RF0008926: Email to Tom Biddulph et al.
`(November 24, 1998)
`Friesen/Hart Ex. AA - RF0009144: Email to Peter Hart et al.
`(December 16, 1998)
`Friesen/Hart Ex. BB - RF0009145-9146: Trading Contest Notes
`(December 16, 1998)
`Friesen/Hart Ex. CC - RF0041686-41687: ePit Newsletter email
`(December 23, 1998)
`Friesen/Hart Ex. DD - Deposition Transcript of Thomas
`Biddulph, (November 15, 2011) (excerpt)
`Friesen/Hart Ex. EE - RF0033245-33246: email from Rich
`Friesen to Peter Hart (December 11, 1998)
`Friesen/Hart Ex. FF - RF0001809: email regarding ePit
`Newsletter (March 5, 1999)
`Reserved
`
`Transcript of Teleconference with the Board, dated July 15, 2016
`Served
`Served
`Served
`Reserved
`
`Trading Tech Int’l v BGC Partners, Inc, et al., Case No. 10-cv-
`715 (N.D.Ill.), Dkt. 789, Minute Entry
`Trading Tech Int’l v BGC Partners, Inc, et al., Case No. 10-cv-
`715 (N.D.Ill.), Dkt. 788, Transcript of Proceedings, dated July 7,
`
`7
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`Exhibit 2317
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`Exhibit 2318
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`Exhibit 2319
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`Exhibit 2320
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`Exhibit 2321
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`Exhibit 2322
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`Exhibit 2323
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`Exhibit 2324
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`Exhibit 2325
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`Exhibit 2326
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`Exhibit 2327
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`Exhibit 2328
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`Exhibit 2329
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`Exhibit 2330 -
`Exhibit 2334
`Exhibit 2335
`Exhibit 2336
`Exhibit 2337
`Exhibit 2338
`Exhibit 2338 -
`Exhibit 2342
`Exhibit 2343
`
`Exhibit 2344
`
`
`
`

`
`2016
`
`Case CBM2015-00179
`U.S. Patent 7,533,056
`
`Description
`Declaration of Cory C. Bell
`U.S. Patent No. 6,803,931 to Roman (‘931 patent”)
`Declaration of Cory C. Bell, dated July 18, 2016
`Declaration of Jennifer M. Kurcz
`Video of T. Biddulph’s Software Examination
`
`Respectfully submitted,
`
`By: /Rachel L. Emsley/
` Rachel L. Emsley, Back-up Counsel
`Reg. No. 63,558
`
`
`
`Counsel for Patent Owner
`Trading Technologies International, Inc.
`
`8
`
`Dated: July 26, 2016
`
`
`
`Served Exhibits
`
`Exhibits
`Exhibit 2036
`Exhibit 2103
`Exhibit 2336
`Exhibit 2337
`Exhibit 2338
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`

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`Case CBM2015-00179
`U.S. Patent 7,533,056
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`
`
`Owner’s Updated Exhibit List and Exhibits 2343 - 2344 were served on July 26,
`
`2016, via email directed to counsel of record for the Petitioner at the following:
`
`Robert Sokohl
`rsokohl-PTAB@skgf.com
`
`Lori Gordon
`lgordon-PTAB@skgf.com
`
`Richard Bemben
`rbemben-PTAB@skgf.com
`
`John C. Phillips
`CBM41919-0007CP1@fr.com
`
`PTAB@skgf.com
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`
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`Dated: July 26, 2016
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`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, LLP