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`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 7,533,056
`___________________
`
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`
`
`
`
`CBM2015-00179
`U.S. Patent No. 7,533,056
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`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 ’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
`Trading Terminal Operation Guide” (“TSE Certificate”)
`1006 History of the American and NASDAQ Stock Exchanges, Business
`Reference Services, The Library of Congress
`1007 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”)
`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”)
`
`- 1 -
`
`
`
`CBM2015-00179
`U.S. Patent No. 7,533,056
`
`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
`(“Harris”)
`1020 Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`1021 Sun Microsystems, Inc., “Open Look™ Graphical User Interface
`Functional 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
`District 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
`Behavior,” 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”)
`
`1028
`
`- 2 -
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`CBM2015-00179
`U.S. Patent No. 7,533,056
`
`1041
`1042
`
`Description
`Ex. No.
`1034 List of Materials Considered by Kendyl A. Román (“Román List of
`Materials”)
`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
`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”)
`1043 Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th Ed,
`Oxford 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
`Trademark 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
`1051 Transcript of Teleconference, May 2, 2016
`1052 Transcript of Teleconference, June 6, 2016
`1053 Declaration of Kendyl A. Román from CBM2016-00031
`1054 Deposition Transcript of Richard Friesen
`
`- 3 -
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`CBM2015-00179
`U.S. Patent No. 7,533,056
`
`Description
`Ex. No.
`1055 Deposition Transcript of Peter C. Hart
`1056 Merriam-Webster Collegiate Dictionary (11th ed.)
`1057 Webster’s New World College Dictionary (4th ed.)
`1058 Cleveland, “The Elements of Graphing Data," 1994”
`1059 Deposition Transcript of Dan R. Olsen, Jr.
`1060 Deposition Transcript of Christopher H. Thomas
`1061 Declaration of Robert E. Sokohl, March 23, 2016.
`1062 Exhibit 1 from the Deposition of Atushi Kawashima, June 17, 2016.
`1063 Exhibit 2 from the Deposition of Atushi Kawashima, June 17, 2016.
`1064 Exhibit 3 from the Deposition of Atushi Kawashima, June 17, 2016.
`1065 Exhibit 4 from the Deposition of Atushi Kawashima, June 17, 2016.
`
`
`
`
`Date: October 7, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
`/Richard M. Bemben/
`
`
`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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`
`
`CBM2015-00179
`U.S. Patent No. 7,533,056
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that the foregoing PETITIONERS’
`
`UPDATED EXHIBIT LIST was served electronically via e-mail on October 7,
`
`2016, in its entirety on Attorneys for Patent Owner:
`
`Erika H. Arner, Joshua L. Goldberg, Kevin D. Rodkey,
`Rachel L. Emsley, Cory C. Bell
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`Erika.arner@finnegan.com
`Joshua.goldberg@finnegan.com
`Kevin.rodkey@finnegan.com
`Rachel.emsley@finnegan.com
`Cory.bell@finnegan.com
`Trading-Tech-CBM@finnegan.com
`
`Steven F. Borsand
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`tt-patent-cbm@tradingtechnologies.com
`
`Michael D. Gannon, Leif R. Sigmond, Jr., and Jennifer M. Kurcz
`MCDONNELL BOEHNEN HULBERT & BERGHOFF LLP
`gannon@mbhb.com
`sigmond@mbhb.com
`kurcz@mbhb.com
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
`/Richard M. Bemben/
`
`
`Robert E. Sokohl (Reg. No. 36,013)
`Lori A. Gordon (Reg. No. 50,633)
`Richard M. Bemben (Reg. No. 68,658)
`Attorneys for Petitioners
`
`
`
`Date: October 7, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`4823190_1.docx
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