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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
`Patent 7,676,411
`___________________
`
`
`
`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
`
`
`
`
`
`
`
`
`
`CBM2015-00181
`U.S. Patent No. 7,676,411
`PETITIONER’S UPDATED EXHIBIT LIST
`
`Description
`U.S. Patent No. 7,676,411 to Kemp, II et al. (“’411 patent”)
`File History of Application Ser. No. 11/585,907, which became the
`’411 patent, as filed and obtained from PAIR (“’411 Patent File
`History”)
`U.S. Patent No. 5,077,665 to Silverman et al. (“Silverman”)
`U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`U.S. Patent No. 5,375,055 to Togher et al. (“Togher”)
`“Futures/Option Purchasing System Trading Terminal Operation
`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-5312, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Kawashima 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”)
`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
`Design,” First Edition, 1995. (“Cooper”)
`Ben Shneiderman, “Designing the User Interface: Strategies for
`Effective Human-Computer Interaction,” Third Edition, 1998
`(“Shneiderman”)
`
`Exh. No.
`1001
`1002
`
`1003
`1004
`1005
`1006
`
`1007
`
`1008
`
`1009
`1010
`
`1011
`
`1012
`
`1013
`
`1014
`
`1015
`
`- 1 -
`
`
`
`Exh. No.
`1016
`
`1017
`1018
`1019
`1020
`1021
`
`1022
`1023
`1024
`1025
`
`1026
`1027
`1028
`
`1029
`
`1030
`
`1031
`
`1032
`
`1033
`
`1034
`
`CBM2015-00181
`U.S. Patent No. 7,676,411
`
`Description
`Microsoft Computer Dictionary, Fifth Edition, 2002, page 150
`(“Microsoft Computer Dictionary”)
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`U.S. Patent No. 5,263,134 to Paal et al. (“Paal”)
`Declaration of Kendyl A. Román (“Román Decl.”)
`Curriculum Vitae of Kendyl A. Román (“Román CV”)
`List of Materials Considered by Kendyl A. Román (“Román List of
`Materials”)
`U.S. Patent No. 6,408,282 to Buist (“Buist”)
`Declaration of David Rho (“Rho Decl.”)
`Curriculum Vitae of David Rho (“Rho CV”)
`List of Materials Considered by David Rho (“Rho List of
`Materials”)
`Weiss, “After the Trade is Made,” pp. 44-46. (“Weiss”)
`U.S. Patent No. 5,960,411 to Hartman et al. (“Hartman”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00133, Paper 18 (“POPR”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00133, Paper 19 (“Ins. Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00133, 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. Ill. 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
`Technologies International, Inc. v. eSpeed, Inc. et al., No. 04-cv-
`5312 (“eSpeed Tr.”)
`
`- 2 -
`
`
`
`CBM2015-00181
`U.S. Patent No. 7,676,411
`
`Description
`Trading Techs. Int’l v. CQG, No. 05-cv-4811, slip op. at 10 (N.D.
`Ill. Feb. 24, 2015)
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`(“Inside Macintosh”)
`Valerie Illingworth, and I.C. Pyle, Dictionary of Computing, 4th Ed,
`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
`Teleconference in CBM2015-00179 of March 23, 2016
`Transcript of Teleconference, May 2, 2016
`Transcript of Teleconference, June 6, 2016
`Intentionally left blank
`Intentionally left blank
`New York Times, “Futures/Options; Automation in Trading,”
`December 10, 1984
`Intex Trading Screen
`Commodity Futures Trading Commission, Strategic Plan (2007-
`2012
`CBM2015-00182 (’132 patent) Patent Owner Exhibit List
`CBM2015-00161 (’304 patent) Patent Owner Exhibit List
`Deposition Transcript of Dan R. Olsen, Jr.
`CONFIDENTIAL Deposition Transcript of Christopher H. Thomas
`Declaration of Robert E. Sokohl, March 23, 2016.
`Exhibit 1 from the Deposition of Atushi Kawashima, June 17, 2016.
`Exhibit 2 from the Deposition of Atushi Kawashima, June 17, 2016.
`Exhibit 3 from the Deposition of Atushi Kawashima, June 17, 2016.
`Exhibit 4 from the Deposition of Atushi Kawashima, June 17, 2016.
`
`Exh. No.
`1035
`
`1036
`
`1037
`
`1038
`
`1039
`1040
`1041
`1042
`1043
`1044
`1045
`1046
`
`1047
`1048
`
`1049
`1050
`1051
`1052
`1053
`1054
`1055
`1056
`1057
`
`- 3 -
`
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`
`
`Date: October 7, 2016
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`2823929_1.DOCX
`
`CBM2015-00181
`U.S. Patent No. 7,676,411
`
`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
`
`
`
`
`- 4 -
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`
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`
`
`CBM2015-00181
`U.S. Patent No. 7,646,411
`
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that the foregoing PETITIONERS’
`
`UPDATED EXHBIT 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
`
`
`
`
`4823344_1.docx
`
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