`
`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
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`
`Case CBM2015-00181
`Patent No. 7,676,411
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`Mail Stop "Patent Board"
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 223 13-1450
`
`
`
`Case CBM2015-00181 of
`U.S. Patent No. 7,676,411
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`Exh. No. Description
`U.S. Patent No. 7,676,411 to Kemp, II et al. ("’411 patent")
`1001
`File History of Application Ser. No. 11/585,907, which became the
`1002
`’411 patent, as filed and obtained from PAIR ("411 Patent File His-
`_______________ tory")
`U.S. Patent No. 5,077,665 to Silverman et al. ("Silverman")
`1003
`U.S. Patent No. 5,297,031 to Gutterman et al. ("Gutterman")
`1004
`U.S. Patent No. 5,375,055 to Togher et al. ("Togher")
`1005
`"Futures/Option Purchasing System Trading Terminal Operation
`1006
`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
`Trading Terminal Operation Guide" ("TSE Certificate")
`WO 90/11571 to Belden et al. ("Belden")
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. 04-cv-53 12, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 ("Kawashirna Depo. Tr.")
`Petition to Make Special Under 37 C.F.R. § 1.102(d) for Ser. No.
`09/590,692, filed August 21, 2000 ("Petition to Make Special")
`Request for Reexamination of U.S. Patent No. 6,772,132, Control
`No. 90/011,250, filed September 22, 2010 ("Reexam Request")
`
`1007
`
`1008
`
`1009
`1010
`
`1011
`
`1012
`
`1013
`
`Order Denying Request for Reexamination of U.S. Patent No.
`6,772,132, Control No. 90/011,250, mailed December 14, 2010
`("Order Denying Reexam")
`Alan Cooper, "About Face: The Essentials of User Interface De-
`1014
`_____________ sign,"_First_Edition, 1995. ("Cooper")
`Ben Shneiderman, "Designing the User Interface: Strategies for Ef-
`1015
`fective Human-Computer Interaction," Third Edition, 1998 ("Shnei-
`derman")
`
`-1-
`
`
`
`Case CBM2015-00181 of
`U.S. Patent No. 7,676,411
`
`Exh. No. Description
`1016
`Microsoft Computer Dictionary, Fifth Edition, 2002, page 150
`("Microsoft Computer Dictionary")
`Robert Dccl, "The Strategic Electronic Day Trader," 2000 ("Deel")
`U.S. Patent No. 5,263,134 to Paal et at. ("Paal")
`Declaration of Kendyl A. Roman ("Roman Dccl.")
`
`1017
`1018
`1019
`1020
`1021
`
`1022
`1023
`1024
`1025
`
`1026
`1027
`1028
`
`1029
`
`1030
`
`1031
`
`1032
`
`1033
`
`1034
`
`Curriculum Vitae of Kendyl A. Roman ("Roman CV")
`List of Materials Considered by Kendyl A. Roman ("Roman List of
`Materials")
`
`U.S. Patent No. 6,408,282 to Buist ("Buist")
`Declaration of David Rho ("Rho Deci.")
`Curriculum Vitae of David Rho ("Rho CV")
`List of Materials Considered by David Rho ("Rho List of Materi-
`als")
`Weiss, "After the Trade is Made," pp. 44-46. ("Weiss")
`U.S. Patent No. 5,960,411 to Hartman et at. ("Hartman")
`TDAmeritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM20 14-00133, Paper 18 ("POPR")
`
`TDAmeritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00133, Paper 19 ("Ins. Dec.")
`
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00 133, Paper 29 ("Reh’g Dec.")
`
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00133, Paper 32 ("POR")
`
`Redacted Second Corrected Expert Report of Christopher Thomas,
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Iii. Dec. 12, 2013) ("Thomas Report")
`Transcript of the Deposition of Christopher Thomas, April 28, 2015
`("Thomas Tr.")
`
`Transcript of the Deposition of Christopher Thomas, Trading Tech-
`nologies International, Inc. v. eSpeed, Inc. et al., No. 04-cv-53 12
`("eSpeed Tr.")
`
`-2-
`
`
`
`Case CBM2015-00181 of
`U.S. Patent No. 7,676,411
`
`Exh. No. Description
`1035
`Trading Techs. Int’lv. CQG, No. 05-cv-481 1, slip op. at 10 (N.D.
`Iii. Feb. 24, 2015)
`
`1036
`
`1037
`
`1038
`
`1039
`1040
`1041
`1042
`
`Inside Macintosh, Promotional Edition, Apple Computer, Inc.,
`("Inside Macintosh")
`
`1985
`
`Valerie Illingworth, and I.C. Pyle, Dictionary of Computing, 4
`Oxford University Press, 1996 ("Oxford Dictionary")
`Declaration of Adam Kessel in Support of Petitioner’s Motion for
`Pro Hac Vice Admission
`Email Correspondence of April 5, 2016
`Email Correspondence of April 12-13, 2016
`
`1h Ed,
`
`Teleconference in CBM2015-00179 of March 23, 2016
`Transcript of Teleconference, May 2, 2016
`
`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
`(202) 371-2600
`
`obert E. Sokohl (Reg. No. 36,013)
`Attorney for Petitioners
`
`-3-
`
`(cid:9)
`
`
`Case CBM2015-00181 of
`U.S. Patent No. 7,676,411
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that copies of the foregoing PETITION-
`
`ERS’ UPDATED EXHIBIT LIST and EXHIBIT 1042 were served electronical-
`
`ly via e-mail on May 12, 2016, in their entireties via 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. Ernsley (Back-up Counsel)
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`erika. amer@finnegan.com
`joshua.goldberg@firmegan.com
`kevin.rodkey(2finnegan.com
`rachel.emsley@finnegan.com
`Trading-Tech-CBM(finnegan. corn
`
`Steven F. Borsand (Back-up Counsel)
`Trading Technologies International, Inc.
`tt-patent-cbm(tradingtechnol ogles. com
`
`Michael D. Gannon (Back-up Counsel)
`Leif R. Sigmond, Jr. (Back-up Counsel)
`MCDONNELL, BOEHNEN, HULBERT & BERGHOFF LLP
`gannon@mbhb . corn
`sigmond@mbhb.com
`
`Date: May 12, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`28094811 .DOCX
`
`STER E, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`Ro ert F. Sokohl (Reg. No. 36,013)
`Attorney for Petitioners
`
`