Paper No. ____
` Filed: May 12, 2016
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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 CBM2015-00181
`U.S. Patent 7,676,411
`_________________
`
`PATENT OWNER’S UPDATED EXHIBIT LIST
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`

`
`Case CBM2015-00181
`U.S. Patent 7,676,411
`Pursuant to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
`
`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 2072 through 2103 were reserved for
`
`later use. Exhibit 2107 was filed on the PRPS and served via email to counsel of
`
`record for the Petitioner.
`
`Exhibit 2002
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`Exhibit 2003
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`Exhibit 2004
`Exhibit 2005
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`Exhibit 2006
`
`Filed Exhibits Description
`Exhibit 2001
`Transcript of Teleconference with the Board, dated
`November 13, 2015
`Attachment A to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc, Case No. 10-C- 715 (N.D.Ill.), Dkt. 609
`Attachment B to Letter to Director Lee: Trading Tech Int’l v
`BGC Partners, Inc , Case No. 10-C- 715 (N.D.Ill.), Dkt. 613
`Email to Petitioner regarding Discovery, October 19, 2015
`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 2007 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
`3
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`Exhibit 2008
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`Exhibit 2009
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`Exhibit 2010
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`Exhibit 2011
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`Exhibit 2012
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`
`
`

`
`Case CBM2015-00181
`U.S. Patent 7,676,411
`
`Exhibit 2013
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`Exhibit 2014
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`Exhibit 2015
`
`Exhibit 2016
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`Exhibit 2017
`Exhibit 2018
`
`Exhibit 2020
`
`Exhibit 2021
`
`Exhibit 2022
`
`Exhibit 2023
`
`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
`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 2019 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 Techs. 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 Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Transcript of Proceedings - Motion (Sept. 10, 2015)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Ex. 1032, Declaration of
`Kendyl A. Román (May 17, 2014)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Ex. 2097, Declaration of
`Harold Abilock (March 6, 2015)
`Trading Techs. 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 3, 2011)
`Trading Techs. 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 Techs. Int’l, Inc. v. BCG Partners, Inc., Case No. 1:10-
`
`Exhibit 2024
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`Exhibit 2025
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`Exhibit 2026
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`Exhibit 2027
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`4
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`

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`Case CBM2015-00181
`U.S. Patent 7,676,411
`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 (June 18,
`2014)
`Trading Techs. 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 Techs. Int’l v. BGC Partners,Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 546, Memorandum in Support of the TD
`Ameritrade Defendants’ Motion to Stay Proceedings Pursuant to
`Section 18(b) of the America Invents Act (May 22, 2014)
`Trading Techs. 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 Techs. Int’l v. TradeStation Securities, 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 (Oct. 12, 2010)
`U.S. Patent No. 6,993,572 B2
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Volume 11-A Trial Transcript of Proceedings
`(Sept. 26, 2007)
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (Oct. 10, 2007)
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Instructions (Oct. 10, 2007)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc. et al. , Case No. 04-cv-
`5312, Dkt. 1140, Notification of Docket Entry (Jan. 3, 2008)
`79 Fed. Reg. 74618- 633, USPTO 2014 Interim Guidance on
`Patent Subject Matter Eligibility (Dec. 16, 2014)
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines (July 2015)
`The American Heritage College Dictionary Fourth Edition, 100
`(2002): Definition of “Axis”
`Notice of Allowance 09/590,692 (Feb. 10, 2004)
`Notice of Intent to Issue Ex Parte Reexamination Certificate
`90/008,576 (Jan. 16, 2008)
`Decision Denying Request for Ex Parte Reexamination
`90/011,250 (July 15, 2011)
`5
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`Exhibit 2028
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`Exhibit 2029
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`Exhibit 2030
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`Exhibit 2031
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`Exhibit 2032
`Exhibit 2033
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`Exhibit 2034
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`Exhibit 2035
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`Exhibit 2036
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`Exhibit 2037
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`Exhibit 2038
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`Exhibit 2039
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`Exhibit 2040
`Exhibit 2041
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`Exhibit 2042
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`

`
`Case CBM2015-00181
`U.S. Patent 7,676,411
`Information Disclosure Statement 90/008,576 (Sept. 26, 2008)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-
`5312, Supplemental Invalidity Contentions of eSpeed, Inc.,
`eSpeed International, Ltd., Ecco LLC, and EccoWare Ltd. (May
`25, 2007)
`Petition to Make Special Under 37 C.F.R. § 1.102(d) 09/590,692
`(Aug. 21, 2000)
`Excerpts from File History of 09/590,692, Information
`Disclosure Statements signed by Examiner (various dates)
`Corrected Request for Ex Parte Reexamination 90/008,576 (May
`25, 2007)
`Information Disclosure Statement 90/008,576 (Feb. 28, 2008)
`Request for Reexamination 90/011,250 (Sept. 22, 2010)
`Non-Final Rejection 09/590,692 (June 8, 2001)
`Reserved
`Smith, Warren, Subpoena Honyaku English - Japanese
`Translation List, Google Group Discussion Web Page Print out
`(Aug. 24, 2007)
`Submission of Publications, etc., PCT 2004-504652 (Apr. 18,
`2005) (Japanese language original)
`Submission of Publications, etc., PCT 2004-504652 (Ap. 18,
`2005) (Translation)
`Certification of Translation (Nov. 15, 2005)
`Japanese Patent 2004-504652
`Auroratm: The Most Technologically Advanced Trading System
`Available Today, Aurora Chicago Board of Trade
`Rosenthal Collins Group LLC Notice of Opposition to a
`European Patent, EP1319211 (Jan. 12, 2006)
`Deutsche Börse AG Notice of Opposition to a European Patent,
`EP1319211 (Jan. 12, 2006)
`Eccoware Limited Notice of Opposition to a European Patent,
`EP1319211 (Jan. 13, 2006)
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D. Ill.), Dkt. 105, Memorandum Opinion and Order
`(Oct. 31, 2006)
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D. Ill.), Dkt. 1043, CQG’s Reply Brief Regarding the
`Patent-Ineligibility/Invalidity of the TT Patents-In-Suit Under 35
`6
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`Exhibit 2043
`Exhibit 2044
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`Exhibit 2045
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`Exhibit 2046
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`Exhibit 2047
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`Exhibit 2048
`Exhibit 2049
`Exhibit 2050
`Exhibit 2051
`Exhibit 2052
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`Exhibit 2053
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`Exhibit 2054
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`Exhibit 2055
`Exhibit 2056
`Exhibit 2057
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`Exhibit 2058
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`Exhibit 2059
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`Exhibit 2060
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`Exhibit 2061
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`Exhibit 2062
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`

`
`Case CBM2015-00181
`U.S. Patent 7,676,411
`
`U.S.C. § 101 (Feb. 17, 2015)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000137, TDA Ex. 1050,
`Deposition of Harold Abilock (Apr. 24, 2015)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Petitioners’ Reply to
`Patent Owner’s Response, Paper 48 (May 29, 2015)
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D.Ill.), Dkt. 898, Redacted CQG’s Opening Brief
`Regarding the Patent-Ineligibility/Invalidity of the TT Patents-In-
`Suit Under 35 U.S.C. § 101 (Feb. 2, 2015)
`Response to Communication Pursuant to Article 101(1) and Rule
`81(2) to (3) EPC dated 1 Dec. 2010 (the "Article 101(1)
`Communication"), Opposition to EP1319211 (June 14, 2011)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 550, Memorandum in Support of the IBG
`Defendants’ Motion to Stay Proceedings Pursuant to Section
`18(b) of the America Invents Act (June 2, 2014)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 553, CQG’s Position Statement Regarding TD
`Ameritrade’s Motion to Stay (June 4, 2014)
`Response to the Office Action Mailed April 18, 2008, Appl. No.
`11/585,966
`Comments on Allowance, Appl. No. 11/415,163 (July 19, 2010)
`Served
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
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`7
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`Exhibit 2063
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`Exhibit 2064
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`Exhibit 2065
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`Exhibit 2066
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`Exhibit 2067
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`Exhibit 2068
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`Exhibit 2069
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`Exhibit 2070
`Exhibit 2071
`Exhibit 2072
`Exhibit 2073
`Exhibit 2074
`Exhibit 2075
`Exhibit 2076
`Exhibit 2077
`Exhibit 2078
`Exhibit 2079
`Exhibit 2080
`Exhibit 2081
`Exhibit 2082
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`

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`Case CBM2015-00181
`U.S. Patent 7,676,411
`
`Exhibit 2083
`Exhibit 2084
`Exhibit 2085
`Exhibit 2086
`Exhibit 2087
`Exhibit 2088
`Exhibit 2089
`Exhibit 2090
`Exhibit 2091
`Exhibit 2092
`Exhibit 2093
`Exhibit 2094
`Exhibit 2095
`Exhibit 2096
`Exhibit 2097
`Exhibit 2098
`Exhibit 2099
`Exhibit 2100
`Exhibit 2102
`Exhibit 2103
`Exhibit 2104
`Exhibit 2105
`Exhibit 2106
`Exhibit 2107
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`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Reserved
`Served
`Served
`Served
`Transcript of Teleconference with the Board, dated May 11,
`2016
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`Case CBM2015-00181
`U.S. Patent 7,676,411
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`
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`Description
`Declaration of Cory C. Bell
`Table of Contents from CBM2015-00181 Petition (Exhibit 1019)
`Table of Contents from CBM2015-00182 Petition (Exhibit 1007)
`Futures/Option Purchasing System: Trading Terminal Operation
`Guide
`
`
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`Served Exhibits
`
`Exhibits
`Exhibit 2071
`Exhibit 2104
`Exhibit 2105
`Exhibit 2106
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`Dated: May 12, 2016
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`Respectfully submitted,
`
`By: /Rachel L. Emsley/
` Rachel L. Emsley, Back-up Counsel
`Reg. No. 63,558
`
`
`
`Counsel for Patent Owner
`Trading Technologies International, Inc
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`9
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`Case CBM2015-00181
`U.S. Patent 7,676,411
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`
`
`Owner’s Updated Exhibit List and Exhibit 2107 were served on May 12, 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
`CBM41919-0008CP1@fr.com
`
`PTAB@skgf.com
`
`Date: May 12, 2016
`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`Finnegan, Henderson, Farabow, Garrett
`& Dunner, LLP