From:
`Sent:
`
`To:
`
`Cc:
`
`Subject:
`
`Goldberg, Joshua
`Tuesday, May 10, 2016 10:49 AM
`
`tria|s@uspto.gov
`
`phi|lips@fr.com; CBM41919-0004CP1@fr.com; CBM41919-0005CP1@fr.com;
`CBM41919-00O2CP1@fr.com; PTABInbound@fr.com; rsokoh|—PTAB@skgf.com;
`rsokoh|@skgf.com; lgordon—ptab@skgf.com; rbemben—PTAB@skgf.com;jstrang—
`PTAB@skgf.com; mrosato@wsgr.com; margenti@wsgr.com; tt—patent—
`cbm@tradingtechno|ogies.com; Arner, Erika; Emsley, Rachel; Rodkey, Kevin; Bell, Cory;
`Trading-Tech-CBM
`
`Request for Conference Call in CBM2015—00161 (CBM2016—O0O35), CBM2015—00172
`(CBM2016—O0040), CBM2015—00179, CBM201S—0O181, CBM2015—00182,
`CBM2016—00009
`
`Attachments:
`
`EvidencesummaryforPetitioners.x|sx
`
`Dear PTAB,
`
`As pointed out in Patent Owner's mandatory notices, these proceedings involve patents that have been heavily
`
`litigated. They have survived numerous invalidation attempts both in district court and in the patent office, sometimes
`
`by consent judgement and sometimes by court/jury/examiner findings. During the course of the many proceedings
`involving these patents, millions of documents have been produced and scores of individuals have provided
`
`testimony. Although Patent Owner should not be prejudiced as a result of the inability of these CBMs to accommodate
`
`the large volume of material from these earlier proceedings supporting its positions, Patent Owner has spent the past
`
`few months identifying a very small subset of the documents and individuals, which it would be willing to move forward
`with in these CBMs if an agreement on their admissibility could be reached with Petitioners and if it was clear Patent
`
`Owner would not be prejudiced by such a compromise. To that end, Patent Owner has spent the last month trying to
`
`reach a compromise with Petitioners on how to get this small subset of material into these proceedings without
`
`unnecessarily increasing the cost of these proceedings. Although not required to do so, Patent Owner has even
`
`identified to Petitioners the specific documents and testimony (with pincites) from the prior proceedings that it seeks to
`
`rely on in its patent owner responses. Despite Patent Owner's attempts, the parties have been unable to reach a
`
`compromise. Accordingly, Patent Owner requests:
`
`0 Waiver of FRE 901 (authentication) in these proceedings such that either party in these proceedings can directly rely
`
`on (as opposed to only via an expert) documentary evidence without authenticating such evidence if the evidence was
`
`(i) produced by a party to a previous litigation (as opposed to a third party) from its own records in the previous
`
`litigation, (ii) admitted as a trial exhibit in the previous litigation, and (iii) not subject to any dispute concerning
`
`authenticity in the prior litigation.
`
`0 Waiver of FRE 802 (hearsay) in these proceedings such that either party can directly rely on (as opposed to only via
`
`an expert) sworn testimony from other proceedings without preparing a new declaration for these proceedings so long
`
`as the opposing party has the opportunity to depose the testifying individual if it desires such a deposition;
`
`0 Additional discovery in the form of subpoenas to facilitate depositions of individuals listed on the attached
`
`spreadsheet, which was provided to Petitioners on May 2, 2016;
`
`0 The Board's guidance on Petitioners’ duty to produce evidence related to how the GUI tools in their products were
`developed, which contradicts their positions that the claims are obvious because such evidence, for example, will show
`
`the state of mind of a POSITA, failure of others, copying, and other secondary considerations;
`
`Page 1 of 8
`
`TRADING TECH EXHIBIT 2179
`
`IBG ET AL. V. TRADING TECH
`
`CBM2015—00l8l
`
`

`
` An extension of the deadline for the Board to issue its final written decisions to facilitate further extensions of time 
`for TT’s patent owner responses; and
`
` To the extent these proceedings cannot be timely completed without depriving Patent Owner of a full and fair 
`opportunity to defend its patents due to the limitations of these proceedings, which are not set up to deal with the 
`volume of evidence Patent Owner has supporting the validity of its patents, and due to positions being taken by 
`Petitioners, that the institution decisions be vacated. 
`
`The parties are available for a conference call to discuss these issues on May 11, 2016, after 1:30pm Eastern. 
`
`Best regards, 
`
`Joshua L. Goldberg 
`
`Backup Counsel for Patent Owner 
`
` 
`Joshua L. Goldberg
`Attorney at Law
`Finnegan, Henderson, Farabow, Garrett & Dunner, LLP
`901 New York Avenue, NW, Washington, DC 20001-4413
`202.408.6092 | fax 202.408.4400 | joshua.goldberg@finnegan.com  
`www.finnegan.com | Bio | LinkedIn | PTAB Guidebook 
` 
`
`2
`
`Page 2 of 8
`
`

`
`Witnesses
`
`Last Name
`
`First Name
`
`Cite
`
`Anthony
`
`David
`
`Declaration: fin00049
`
`Relevance including but 
`not limited to:
`
`secondary considerations; 
`shortcomings of alleged 
`prior art
`
`Declaration: fin00027; 
`Deposition: fin00011 at pp. 1‐60, 
`64, 70‐71; 98‐100, 107‐108, 112‐
`150, 152‐155, 164, 186‐192
`Deposition 1: fin00035 at pp. 1‐
`5, 9‐41, 43‐70, 74‐75, 79‐115, 
`122‐126, 138‐144, 150, 152‐154, 
`156‐174, 193‐195; Deposition 2: 
`fin00035‐01 at pp. 1‐15, 19, 22‐
`
`mindset of Posa; secondary 
`considerations; 
`shorcomings of alleged 
`prior art
`
`mindset of Posa; secondary 
`considerations; 
`shortcomings of alleged 
`prior art
`
`Feltes
`
`Dave
`
`Garrow
`
`Nick
`
`Grisafi
`
`Tom
`
`Lapan
`
`Elliott
`
`Martin
`
`David
`
`McCausland
`
`Robert
`
`Mellor
`
`Declaration: fin00060
`Deposition: fin00118 at pp. 1‐9, 
`34‐87; 99‐114, 116‐145; 147, 150‐
`154, 157‐165, 169, 175, 210‐212, 
`266‐267, 271‐273, 282‐286, 294‐
`297, 299‐316
`Declaration: fin00067; 
` Deposition: fin00081 at pp. 1‐7, 
`11‐12, 28‐29, 37‐39, 42‐45, 47‐
`110, 114‐123, 126‐129, 141‐147, 
`Deposition: fin00036 at pp. 1‐4, 
`8, 13, 35‐62, 65‐67, 71‐81, 87‐90, 
`Declaration: fin00169; 
`Deposition: fin00168 at pp. 39‐
`
`secondary considerations; 
`shortcomings of alleged 
`prior art
`
`mindset of Posa; secondary 
`considerations; 
`shorcomings of alleged 
`prior art
`
`secondary considerations; 
`shorcomings of alleged 
`prior art
`mindset of posa; secondary 
`considerations
`
`CBM and 101
`
`mindset of Posa; secondary 
`considerations; 
`shortcomings of alleged 
`prior art
`
`Zellinger
`
`James
`
`Declaration: fin00080
`
`Page 3 of 8
`
`

`
`Documents
`
`Def. Ex. 116 
`Def. Ex. 118 
`Def. Ex. 119 
`Def. Ex. 120 
`Ex. 621 from 
`Ex. 644A from 
`Ex. 651 from 
`Ex. 652 from 
`Ex. 653 from 
`Ex. 654 from 
`Ex. 261 from 
`Ex. 262 from 
`Ex. 263 from 
`Ex. 10 from 
`
`DTX 119
`
`DTX 155
`PTX 38
`
`PTX 78
`PTX 79
`PTX 80
`PTX 81
`PTX 110
`PTX 123
`PTX 279
`PTX 281
`PTX 286
`PTX 294
`
`PTX 356
`
`PTX 357
`
`PTX 359
`
`fin00035‐02
`fin00021
`fin00022
`fin00023
`fin00118‐01
`fin00118‐02
`fin00118‐03
`fin00118‐04
`fin00118‐05
`fin00118‐06
`fin00081‐01
`fin00081‐02
`fin00081‐03
`fin00036‐01
`
`fin00022
`
`fin00005
`fin00098
`
`fin00090‐01
`fin00090
`fin00089
`fin00099
`fin00096
`fin00091
`fin00086
`fin00085
`fin00092
`fin00097
`
`fin00002
`
`fin00003
`
`fin00006
`
`state of 
`technology; Pats
`state of 
`technology; LIFFE 
`brochure
`copying; eSpeed
`mindset of Posa, 
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`state of art; LIFFE 
`brochure
`state of art; LIFFE 
`brochure
`state of art; LIFFE 
`brochure
`
`Page 4 of 8
`
`

`
`PTX 440
`PTX 441
`PTX 448
`
`PTX 2064
`
`PTX 2077
`PTX 600
`
`copying; eSpeed
`copying; eSpeed
`copying; eSpeed
`copying and 
`mindset of POSA; 
`GL
`copying and 
`mindset of POSA; 
`GL
`copying; CQG
`
`fin00087
`fin00101
`fin00088
`
`fin00115
`
`fin00116
`fin00114
`
`Page 5 of 8
`
`

`
`Witnesses
`
`Declarants
`
`Last name
`Anthony
`Beattie
`Burns
`Cahnman
`Clark
`Durkin
`Ellis
`Feltes
`Gancer
`Gelber
`Glickman
`Grisafi
`Jahno
`Johnson
`Johnston
`Kidd
`Leone
`Marlovics
`Martin
`McElveen
`Melgarejo
`Mendelson
`Monieson
`Moore
`Moricz
`Northway
`Oryhon
`Parker
`Ristau
`Ryan
`
`All relevant to at least 
`secondary considerations 
`and mindset of a POSA; 
`shortcomings of alleged 
`prior art
`
`First Name
`David
`Pace
`Thomas
`Ray
`David
`Dan
`David
`David
`Steve
`Brian
`Joel
`Tom
`Steven
`Paul
`Scott
`Corbin
`Patrick
`Dieter
`David
`Charles
`Pablo
`Mark
`Doug
`Rob
`Peter
`Jason
`Mark
`Arthur
`Ralph
`Chuck
`
`Cite
`fin00049
`fin00050
`fin00051
`fin00052
`fin00053
`fin00013
`fin00056
`fin00027
`fin00057
`fin00058
`fin00059
`fin00060
`fin00061
`fin00062
`fin00063
`fin00064
`fin00065
`fin00066
`fin00067
`fin00028
`fin00068
`fin00069
`fin00070
`fin00071
`fin00072
`fin00073
`fin00074
`fin00075
`fin00170
`fin00077
`
`Also deposed
`*
`
`*
`
`*
`
`*
`
`*
`
`*
`
`Page 6 of 8
`
`

`
`Schulman 
`Warner
`Zellinger 
`
`Lawrence
`Russell
`James
`
`fin00078
`fin00079
`fin00080
`
`*
`
`Expert
`
`Relevance including, 
`but not limited to:
`
`secondary 
`considerations
`secondary 
`considerations
`
`CBM and 101
`
`CBM and 101
`
`docs, mindset of 
`POSA and secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`CBM and 101
`mindset of POSA; 
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`mindset of POSA; 
`secondary 
`considerations; 
`shortcomings of 
`alleged prior art
`secondary 
`considerations
`
`Testifying
`
`Abramson
`
`Deux
`
`Dezmelyk
`
`Ferraro
`
`Gill
`
`Gisch
`
`Grey
`
`Hehmeyer
`Hjartoy
`
`Holder
`
`Kennedy
`
`Krause
`
`Russ
`
`Ray
`
`Robert
`
`Richard
`
`Bill
`
`Elizabeth
`
`Brian
`
`Chris
`Per
`
`Mark
`
`Kevin
`
`James
`
`*
`
`*
`
`*
`
`*
`
`Lapan
`
`Lewis
`
`Eliott
`
`Amanda
`
`Page 7 of 8
`
`

`
`Mauro
`
`Charles
`
`McCausland
`
`Robert
`
`McCormick
`
`James
`
`McHorris
`Mellor
`
`William
`
`Monieson
`
`Steve
`
`Noviello
`
`Peake
`
`Restivo
`
`Riedesel
`
`Santos
`
`Shontz
`
`Joe
`
`Junius
`
`John
`
`Eric
`
`Gilles
`
`Allen
`
`Silveman
`
`David
`
`Silverman
`
`David L.
`
`Steger
`
`Swift
`
`Taylor
`Van Dusen
`
`Lon
`
`Blake
`
`John
`Steve
`
`*
`
`*
`
`*
`
`*
`
`mindset of POSA; 
`secondary 
`considerations
`mindset of POSA; 
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`CBM and 101
`secondary 
`considerations
`mindset of POSA; 
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`mindset of POSA; 
`secondary 
`considerations; 
`shortcomings of 
`alleged prior art
`mindset of POSA; 
`CBM and 101
`secondary 
`considerations
`secondary 
`considerations
`secondary 
`considerations
`CBM and 101
`
`Page 8 of 8