TRADING TECH EXHIBIT 2043
`IBG ET AL. v. TRADING TECH
`CBM2015-00181
`
`

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`lJ.C./
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`Approved for use through HISORODT. OMB 0651-0031
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Undo the Pa rwottr Reduction Act of 1995 no ersons are = ulred to res 3- 4 - B °°“9C“ 0 information unless itcontalns a valid OMB control number.
`
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`Corn are if
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`Substitute for form 1449IPTO
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`Finn Namfid ITIVGITTIOT
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`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`Examiner Cite
`Initials‘
`No.‘
`
`NON PATENT LITERATURE DOCUMENTS
`
`
`
`Include name of the author (in CAPITAL LETTERS). title of the article (when appropriate). title of
`the item (back, magazine, journal. serial, symposium, catalog, etc.), date, page(s), volume-issue
`numbe s ubilsher, c
`and/or count where - ubllshed.
`RCG's Presentation re WitCapita|, 4/22/2004, DX 208, RCG 00O635-FICG ‘
`000663. DTX 208
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`MAURO, Certified Patent Application No. 09/292,552, 4/15/1999, DX 209. eS
`'
`065994-eS 066149,
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`(Use as many sheets as necessary)
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`Jeanne Marie Clark
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`@“ 07-1021-US-HEX-1
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` 284, Tr 099877-Tt 099907, DTX 284
`- Various declarations Re: PatentApplication No. o9292,552. 11/3/zoos, ox ‘
`1
`EVENSTREET Presentation prepared for National Discount Brokers,
`oo/oo/1999. ox 301, CM O06787—CM 006817, DTX 301
`15 WIT DSM user interface instructions, 08/06/98, DX 427, CM 006591-CM
`006632, DTX 427
`Presentation re WIT DSM user interface Trade4.ppt, 10/12/98, DX430, CM
`008265-CM 008330. DTX 430
`17 WIT DSM Presentation re Information display and decision variables, 12/20/98,
`—
`ex 431, CM 004334-CM 004347, DTX 431
`I
`EVENSTFIEET Presentation prepared for Flatiron Partners, 00/00/1999,
`ox 437, CM 007139-CM 007172, DTX'437
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`4
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`-uWITCapitaldigitaltradingiecilitypresentationtoGoldmanSachs, DX438,CM 004523«CM004547,
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`DTX 438
`
`WIT Capital Digital" trading facility presentation to Painewebber, Inc., DX 439,
`DTX 439
`-
`
`Initial it reference considered. whether or not citation is in conformance with MPEP 609. Draw line through citation it not In conformance and not
`‘EXAMINER:
`considered.
`include copy oi this form with next communication to applicant.
`1 Applicant‘; unique citation designation number (optional). 2Applicant is to place a check mark here lfEngIieh language Translation is attached.
`This collection of information is required by 37 CFR 1.98. The lnfomiaiion is required to obtain or retain a benefit by the public which is to tile (and by the USPTO
`to process) an application. Conildentlallty is governed by 35 u.s.c. 122 and 37 CFR 1.14. This collection is estimated to lake 2 hours to complete. lnduding
`gathering. preparing. and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the
`amount of time you require to complete this form andlor suggestions icr reducing this burden. should be sent to the Chief Information Officer. US. Patent and
`Trademark Otiice. P.O. Box 1450. Alexandria. VA 22313-1450. DO NOT SEND FEES DR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for Patents. P.O. Box 1450. Alexandria, VA 22313-1450.
`
`If you need assistance In completing the farm, ce/I 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`Page 2 of 20 '
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`

`Pro/sa/one (11-01)
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. lJ.C./
`for use through 11/30/2007. OMB 0851-(1)31
`U.s. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`ndtoae - lto u-
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`Complete If Known
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`90/008,576
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`Substitute for term 1449IP'l'O
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`
`
`
`
`
`(Use as many sheets as necessary)
`
`
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`
`Jeanne Marie Clark
`Attorney Docket Number 07.102-|_U3-REx-1
`
`
`Examiner Cite
`
`include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of
`
`the item (book, magazine,joumai, serial. symposium, catalog, etc.). date. page(s), volume-issue
`number s ubllsher cl
`and/or count where - ublished.
`WIT Capital after hours trading system, MAURO, 3/19/1999, DX 440. CM 1
`009028-CM 009059, DTX 440
`i
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`
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`22 WIT Capital Corporation digital trading facility presentation, 03/00/99, DX 441,
`DTX 441
`.
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`WIT Capital pdf operator manual for Digital trading facility, 00/00/1999, DX I‘
`442, CM 006510-CM 006513, DTX 442
`V
`-"Overview re Digital trading facility, DX 443, CM_006315-CM 006344, DTX
`
`443
`Photocopy of Disks containing exhibits A and B to declaration of W. Buist,
`
`PX366
`-ESlSS Functional specifications version 2.1, 02/16/88, ex 445, DTX 445
`
`-Overview re SPATS; the Electronic Broker, DX 446, DTX 446
`
`Status review specialist support system study NYSE, 04/10/86, DX 447,
`
`DTX 447
`-= INTEXTrading Screen shots. 01/01/2001. ex 10, eS 0003542—eS ooo3543.
`
`-ESample screens of APT system, DX 150, DTX 150
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`sr§rT2i3?£
`/Jeanne Clarkl
`09/25/2903
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`initial it reference considered. whether or not citation is In contormance with MPEP 609. Draw line through citation it not in conformance and not
`‘EXAMINER:
`considered.
`inciude copy at this term with next communication to applicant.
`1 Appticenrs unique citation designation number (optional). 2 Applicant is to piece a check mark here it English language Translation is attached.
`This collection of lntorrnation In required by 37 CFR 1.98. The information la required to obtain or retain a benefit by the public which it to tile (and by the USPTO
`to procae) an appticatton. Contidentiaiity is governed by 35 u.s.c. 122 and 37 CFR 1.14. This collection is estimated to lake 2 hours to complete. including
`gathering. preparing, and submitting the completed application term to the USPTO. Time win vary depending upon the individual oeee. Any comments on the
`amount of time you require to complete this term and/or suggestions for reducing this burden. should be sent to the chief Information Ofllcer, u.s. Patent and
`Tredernailc Ottice. P.O. Box 1450. Aiendrla. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS To THIS ADDRESS. SEND TO:
`Commissioner for Patents, P.0. Box 1450. Alexandria, VA 22313-1450. -
`
`If you need assistance In completing the fomi, cell 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`Page 3 of 20
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`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C.l
`
`PTO/SBIOBB (11-07)
`for use through ‘|1I30/2007. OMB 0651-0031
`U.S. Patent and Trademark Cities: US. DEPARTMENT OF COMMERCE
`A uired to res nd to ; ceiie ' at Information unless it contains a valid OMB control number.
`
`
`
`Complete ’ n_awn
`
`-
`
`—-
`Under ePeerworttReductionActol1995 no
`
`Substitute for term 14-49IPTO
`
`
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`
`
`
`{Use as many sheets as necessary)
`
`Examiner Name
`
`Jeanne Marie Clark
`Attorney Docket Number
`
`07-1021-US-REX-1
`
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`
`
`Art Unit
`
`90/008,576
`
`O5-25-2007
`
`6,772.1 32
`
`Examiner Cite
`initials‘
`No.‘
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of
`the item (book, magazine. journal, serial, symposium, catalog, etc.), date, page(s). volume-issue
`.
`‘
`where ubiished.
`
`T2
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`NON PATENT LITERATURE DOCUMENTS
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`-‘Photo oftraderw/APT screen, ox 151, LIFFE 00167-LIFFE 00168, orx
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`-uAPT User Guide. 01/00/94, DX 152. LIFFE 000262-LIFFE 000363, orx 152 i_-,
`-H LIFFE guide/pamphlet, ox 143, orx 145
`Release Notes - Market Trader V5.2a, 03/18/99, ox 617, G 118137-G
`
`118152. DTX 617
`MIDAS KAPITI Delivery Note and Release Note- Market Trader V5.2b,
`03/31/1999, ox 619, G 096511-G 096527, orx 619
`
`MIDAS KAPITI Release Notes - Market Trader V5.26, 04/12/1999, DX 620, G
`096694- G 096711, orx 620
`37 MIDAS KAPITI Release Notes - Market Trader V5.2, DX 621, G 096712 -G
`096727, DTX 621, 05/26/99
`
`MIDAS KAPITI Release Notes - Market Trader V5.2e, DX 622, G 096728-
`
`G 096754, DTX 622, 06/01/99
`-
`MIDAS KAPITI Delivery Note and Release Note- Market Trader V5.2e, DX 623,
`G 105641— G 105667, orx 623, 5/26/99
`
`-!Drawing of 1997 TSE terminal by H. KIDA, ox 624, orx 624
`
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`L___J
`
`Date
`Examiner
`09/26/2008
`Considered
`/Jeanne C|arl</
`Signature
`initial ifreterence eorsldered, whether or not citation is in conformance with MPEP B09. Draw line through citation it not in conformance and not
`‘EXAMINER:
`considered.
`include copy or this ionn with next communication to applicant.
`1 Applicants unique citation designation number (optional). 2 Applicant is to place a check mart: here it English language Translation is attached.
`This ooliedion of information is required by 37 _CFR 1.98. The information is required to obtain or retain a benatit by the public which is to tile (and by the USPTO
`to procession application. Confidentiality is governed by 35 u.s.c. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete. including
`Gfiihefinar Pfflliarills. and submitting the completed application term to the USPTO. Time will vary depending upon the individual case. Any comments on the
`amount of time you require to compteta this form andlor suggestions for reducing this burden. should be sent to the chief Information Officer. U.5. Patent and
`Trademark Otiice, P.O. Box 1450. Alexandria. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`commissioner for Patents. P.O. Box 1450, Alexandria, VA 22313-1450.
`
`Ifyou need assistance In completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`Page 4 of 20
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`

`

`FTOISBl08B(11-07)
`’
`/J.C./
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`Approved for use through 11/30/2007. OMB 0651-0031
`U.S. Patent and Trademark Oitice: U.S. DEPARTMENT OF COMMERCE
`-,-_-1 - to e collecti of information unless it contains a valid OMB control number.
`
`Comp ete
`own
`Substitute for form 1449/PTO
`
`
`Application Numbe
`90/008.576
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`
`
`
`Art Unit
`
`
`
`
`
`Jeanne Marie Clark
`E"°'"'"°' Nam‘
`
`
`
`07-1021-US-REX-1
`EEO "“°'"°V°°°"°‘"“'“"°'
`
`NON PATENT LITERATURE DOCUMENTS
`
`Filing Date
`
`First Named Inventor
`
`05-25-2007
`
`6,772,132
`
`(Use as many sheets as necessary)
`
`
`
`Examiner Cite
`initials‘
`No.‘
`
`Include name of the author (in CAPITAL LETTERS). title of the article (when appropriate), title of
`the item (book. magazine, journal, serial, symposium, catalog. etc.). date. page(s), volume-issue
`numbers ublisher c
`and/orooun where ubllshed.
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`156
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`ScreenShots: Patsystem "Canned" Demo, 02/00/97, DX 120, PATS 00545-
`PATS 00559, DTX 120
`
`Trading Technologies Trader System User Documentation. 04/01/98, Release
`3.10, DX 3, TT 015867-Tl‘ 015955, DTX 3
`
`-Aurora Chicago Board ofTrade Brochure, 1990, ES0021230-ES0021241
`Ecco Consulting Study Report MEFF Software Systems, 3/17/1999,
`ES0060578—ESOO60591
`Osaka Stock Exchange Manual (Japanese Document), 4/1996
`REFCO0009773-REFCO0009826
`TIFFE Manual (Japanese Document), 1/1996, FtEFCOO010861-
`REFCO0011210,
`
`
`’
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`l
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`<1
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`- Directory of Software Solutions for LIFFE Connect, 02/0099, DX 156, DTX I
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`-I PTS Client Version 2.1F, 0x 119, PATS 00067-PATS ooo92. DTX 119 1.
`
`PTS trading application Version 1.1 Beta H.1, 03/31/1998, DX 118, PATS
`
`00560 -PATS 00560, DTX 118
`Directory of Software Solutions for LIFFE Connect, Issue 1. 10/00/1998, DX
`
`
`155. DTX 155
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`1
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`/Jeanne Clarkl
`
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`
`09/26/2008
`
`iniuel it reference considered, whether or not citation is in coniormenoe with MPEP 609. Draw line through citation it not in conformance and not
`- INER:
`-
`considered.
`include copy of this form with next communication to epplcent.
`1 Applicants unique citation designation number (optional). 2 Applicant Is to place a check mark here It English language Tr-msletion is attached.
`This collection of Intormatlon is required by 37 CFR 1.88. The tnlormatlon is required to obtain or retain a benefit by the public which is to tile (and by the USPTO
`to process) an application. confidentiality Is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete. tndudlng
`gathering. preparing. and submitting the completed application form to the USPTO.
`'l'tme will vary depending upon the individual case. Any comments on the
`amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief information Otiimr. U.S. Patent and
`Trademark Offlce. P.O. Box 1650. Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO ‘n-us ADDRESS. SEND TO:
`Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`Ifyou need assistance In completing the fonn, call 1-800-PTO-9199 (1 -800-788-9199) and select option 2.
`
`Page 5 of 20
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`

`

`Pro/se/088111-o1)
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`Approved for use through HBW2007. OMB 0651-0031
`u.s. Patent and Trademark Otlice: U.3. DEPARTMENT OF COMMERCE
`- of Information un s It contains a valid OMB ontroi number.
`s
`v
`Complete
`nown
`
`«
`
`Substitute for term 1449IP‘l’O
`
`INFORMATION DISCLOSUR E
`
`STATEMENT BY APPLICANT
`
`(Use as many sheets as necessery)
`
`90/008.576
`
`05-25~2007
`
`5,772,132
`3993
`
`Jeanne Marie Clark
`
`07-1021 -US-REX-‘l
`
`.
`
`Examiner
`Initials’
`
`Cite
`No.‘
`
`7 51
`
`include name of the author (in CAPITAL LETTERS), title of the article (when appropriate), title of
`the item (book, magazine. joumai. serial, symposium, catalog, etc.), date, page(s). voIume~Issue
`andlor coun
`- ubiished.
`Final Detailed Design Document NYMEX ACCESS, 5/5/1992,
`e_50003127-eSOO03541
`The Application Program Interface (API) Reference Manual for LIFFE Connect,
`Release 2.7, 9/1993, box 163, orx 163, eS00O59868-eS00O59958
`
`.
`
` - ubllsher, cl
`
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`fl GLOBEX UserGuide, 1/oo/1997, ox ass, DTX 663, eS0069819-eS0O70081 II ___.J
`Chicago Mercantile Exchange (CME) GLOBEX Brochure, 3/30/1989, DX634,
`DTX634, eSOO3958-eS0003981
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`OM CLICK Trade User's Guide for Windows NT, 10/00/1998,
`eS00064671-eS00064773
`-a Swiss Exchange swx Exchange TS User Manual V2.1, 12/31/1998
`GLOBEX Members Handbook, 6/00/1992, DX632, DTX632,
`eSOO6974—eS0O69818
`
`
`
`
`
`
`
`
`
`The Complete GLOBEX2 Handbook, 5/00/1998, DX635, DTX635,
`CME-E001 0679-0010891
`The Complete GLOBEXZ Handbook, 7/00/1998, DX637, DTX637, CME-E
`014048- CME-E 014286
`
`I
`_’
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`-l
`
`EMINEX Service Outline UserTest/Orientation, 9/1992, esoo64647- eS0064670 L. _._l
`
`Date
`Examiner
`/Jeanne Clark]
`Considered
`Signature
`Initial It’ reioranoe considered. whether or not citation is In conformance wth MPEP 609. Drew line through citation it not In conformance and not
`‘EXAMINER:
`considered. Include copy of this form with next communication to applicant.
`1 Appticarrrs unique citation designation number (optional). 2 Applicant is to place a check mart here it English language Translation is attached.
`This collection or inforrnation is required by 37 CFR 1.98. The information is required to obtain or retain a benefit by the public which is to me (and by the USFTO
`to process) an application. Contidentieilty is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to lake 2 hours to complete. including
`gathering. preparing. and submitting the completed application fonn to the USPTO. Time will vary depending upon the Individual case. Any comments on the
`amount of time you require to complete this form andlor suggestions for reducing this burden. should be sent to the chief Information Oftioer. U.S. Patent and
`Trademark Ottioe. P.0. Box 1450. Alexandria. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for Ptents, P.0. Box 1450. Alexandria, VA 22313-1450.
`
`I! you need assistance In completing the form, ca/I 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`Page 6 of 20
`
`

`

`no/sa/osa (11-o7)
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`Approved for use through 11r30I2007. OMB 0851-0031
`U.$. Patent and Trademark Oilico; US. DEPARTMENT OF COMMERCE
`are utredlo -- -toecotienoilrrtonnailonunlessltcontalnsavalldovifi controln mber.
`UnderthePenvorkReducllonActo1995 no
`
`
`
`Comp ete ’ ’ own
` Substitute tor lorm 1449IPTO
`
`90/008,576
`
`
`
`INFORMATION DISCLOSURE
`05-25-2007
`Filing Date
`
`
`First Named inventor
`STATEMENT BY APPLICANT
`
`6,772,132
`
`
`Application Number
`
`Art Unit
`
`(Use as many sheets as necessary)
`
`
`
`
`E"9"""°' Name
`Jeanne Marie Clark
`
`uni Docket ov-mat-us-new
`
`Examiner Cite
`initials‘
`No.‘
`
`include name of the author (in CAPITAL LETTERS), title of the article (when appropriate). title of
`the item (book, magazine, joumal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`where ublished.
`
`T2
`
`NON PATENT LITERATURE DOCUMENTS
`
`62
`
`Oi’-TC Instructions for Use Version 2.2.8., 0/0/1999,
`eS0064775-eSO032572
`INTERACTIVE BROKERS, "Trade Futures Online with Interactive Brokers”,
`5/9/2005, eSO032571- eSO032572
`NICHOLAS ECONOMIDES, "Electronic Cali Market Trading", Journal of
`Portfolio Management, 2/00/1995, eSO069585-eSO0696l0
`
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`-H MAURO, KLEIA, BUIST, 4/15/1999, EM 061 020 474 File Wrapper
`-H GL WIN Trade Manual Version 4.50, 3/3/1999, G0025683~G0025719
`-TradePad Instuctlons (French), G0O25748-G0O25749
`.
`laTradePad.vsd Document, 2/9/1999, G011169-G011167O
`
`
`
`
`
`
`-E Memo re: Dual ACCESS Version 4.5 release, 3/21/99, GO022956-G0O22959:
`
`
`68 GL WIN et Logiciels complementaires (French). 10//00/99.
`G009121-G009486
`
`'
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`T
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`,0 CAC and s'roxx FUTURES on MATIF NSC VF Launch: 3/15/99.
`GO025669-GOO25682
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`Initial if reference considered, whether or not citation is in conlorrnance with MPEP 609. Drew line through citation If not in conlommnce and not
`‘EXAMINER:
`considered. Include copy oi this form with next communication to flppllcant
`1 Applicant's unique citation designation number (optional). 2 Applicant is to place a check mark here it English language Translation is attached.
`This collection of information is required by 37 CFR 1.98. The Infonnation is required to obtain or retain a benellt by the public whim is to me (and by the USPTO
`to process) an application. confidentiality is governed by 35 U.S.C. 122 and 37 CPR 1.14. This collection is estimated to take 2 hours to complete. including
`gathering, preparing, and submitting the completed application form to the USPTO. Time will very dependng upon the individual case. Any comments on the
`amount of time you require to complete this form endlor suggestions for reducing this burden. shouid be sent to the Chiel Information Officer. U.s. Patent and
`Trademark Otfioe. P.O. Box 1450, Alexandria. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for Patents, P.O. Box 1450, Alexandria. VA 22313-1450.
`,
`
`Ifyou need assistance In completing the form, ca/I 1-800-PTO-9199 0-800-796-9199) and select option 2.
`
`Page 7 of 20
`
`

`

`momma, (1,0,,
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C.l
`Approved for use through 11/300007. OMB 0851-0031
`u.s. Patent and Trademark Oliioe; U.S. DEPARTMENT OF COMMERCE
`~- action of information unless it contains a valid OMB control number.
`
`Complete
`nown
`90/008,576
`.
`
`
`05-25-2007
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`6.772.132
`
`
`
` {Use as many sheets as necessary)
`
`Jeanne Marie Clark
`E"°”“"°' Na"‘°
`
`
`HE ’*“°"‘°’ °°°"°‘ ”“"“’°'
`07-1021-US-REX-1
`
`
`
`
`NON PATENT LITERATURE DOCUMENTS
`
`initials‘
`
`No.
`
`7‘
`
`Include nameoftheauthor(in CAPITAL LETTERS). title ofthearticle (when appropriate). titleof
`
`LIFFE Connect Futures Release Note 050399.doc, 3/3/1998,
`G0111402-G0111407
`.
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`-TradingPad.'doc, 4/30/1999, G0112117-G01 12122
`-TradingPadUserManual.doc, 8/10/1999, G0112123-G01 12131 A
`74
`FUTURES CAC et sroxx sur MATIF NSC VF (French), 3/15/99,
`G01 18814-G0118828
`'
`- GL Trade Presentation (French). 4/25/1999, G01t8989-G0119044
`76
`LIFFE CONNECT FUTURES Functional Technical issues to Resolve,
`4/12/2007, G0119049-G01 19050
`_
`IMember Participation in the Futures Market, 04/12/1999, G011919e-G0119197 It
`78 Email from PATRICIA GAUTHIERH to Sam Page, 1/25/1999,
`I
`GO119377-GO119380
`3
`
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`
`
`
`- LIFFE CONNECT ISV CIRCULAR NO: 001.99, 1/3/1999, G0119566-GO119568 III
`
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`uLIFFE CONNECT ISV CIRCULARNO: 14.99, 3/2/1999, G0119583-GO11959O
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`09/26/2008
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`lnltlel ll reference considered. whether or not citation la in conformance with MPEP 609. Draw line through citation It not in conformance and not
`‘EXAMINER:
`considered. Include copy of this form wlth next communication to applicant.
`1 Applicant’: unique citation designation number (optional). 2 Applicant ls to place a check mark here if English language Translation ls attached.
`Thle collection otlntormation is required by 37 CFR 1.98. The intonnation is required to obtain or retain a benefit by the public which is to tile (and by the USPTO
`to process) an application. confidentiality is governed by 35 U.8.C. 122 and 37 OFR 1.14. This collection is estimated to take 2 hours to complete, including
`gathering, preparing. and submitting the completed application form to the USPTO. Time will vary depending upon the Individual case. Any comments on the
`amount of time you require to complete this form endlor suggestions for reducing this burden. should be sent to the Cttiet tnlormatlon Orllcer. U.S. Patent and
`Trademark 0560. PO. Box 1450. Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO.THIS ADDRESS. SEND TO:
`Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`Ifyou need assistance In completing the form. call 1-800-PTO«9199 (1-800-786-9199) and select option 2.
`
`Page 8 of 20
`
`UncterthePa rworlt Reduction’
`
`substitute for form 1449IPTO
`
`
`
`
`
`-
`
`

`

`"T°’53’°‘° (“mi
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROL}“§p,|:,iV.“/g.,C‘3$.£/‘
`through 11/30/2007. OMB 0851-0031
`US. Patent and Trademark Office: US. DEPARTMENT OF COMMERCE
`-
`1
`- oi information unless it ntsine a valid OMB control number.
`UnderthePesrwori1 Reduction Actof1995 no --- ~-' ~
`
`Complete If Known
` Substitute forfcrrn 1449lPTO
`
`
`
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`
`
`Art Unit
`
`(Use as many sheets as necessary)
`
`Examiner Name
`
`
`
`Jeanne Marie Clark
`
`O7-1021-US-REX-1
`
`Application Number
`
`Filing Date
`First Named Inventor
`
`90/008,576
`
`05-25-2007
`
`8.772.132
`
`Examiner Cite
`initials‘
`No.’
`
`NON PATENT LITERATURE DOCUMENTS
`include name of the author (In CAPITAL LETTERS). title of the article (when appropriate). title of
`the item (book, magazine, journal, serial, symposium. catalog, etc.), date, page(s). volume-lssue
`numbe s ublisher. cl
`andlorcount where ublishod.
`
`‘[2
`
`LIFFE CONNECT ISV CIRCULAR NO: 004.99, 1/15/1999,
`G119615-G0119616
`
`LIFFE CONNECT lSV CIRCULAR NO: 001.99. 1/15/1999,
`G0119617-G0119618
`.
`
`LIFFE CONNECT ISV CIRCULAR NO: 008.98, 12/28/1998,
`G0119631-G0119632
`LIFFE CONNECT for FUTURES: Project Update 2, Meeting of 2/10/99,
`G0119698-GO119704
`LIFFE CONNECT for FUTURES: Project Summary: 4/19/99,
`G0119705-G0119717
`Functional Enhancements for LIFEE CONNECT for FUTURES Project,
`4/12/1999, G0119718—G0119724
`
`_
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`G01_19725—GO119745
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`-HFunctional Enhancements for LIFEE CONNECTfor FUTURES Project,
`3/3/99
`59
`Installation, Market Entry Test, and Technical Dress Rehearsal Summary,
`2/23/99
`GL Trade Checklist-Installation Requirements for FUTURES, Jan. 1999,
`
`1
`
`j
`
`G01 19795-G01 19798
`
`Date
`Examiner
`09/25/2008
`Considered
`/Jeanne Clarkl
`Signature
`Initial if reference considered. whether or not citation is in oontonnanee with MPEP 609. Drew line through citation if not in ooniormanoe and not
`‘EXAMINER:
`considered.
`include copy of this form with next communication to applicant
`'
`1 Appicanre unique citation designation number (optional). 2 Applicant is to place a check mark here It Engilsh language Translation is attached.
`This wllecllon of lntonnatlorl is required by 37 CPR 1.98. The iniormetlon is required to obtain or retain a benellt by the public which is to tile (and by the USPTO
`to prnoes) an application. Contldantiellty is governed by 35 U.S.C. 122 and 37 CFR 1:14. This collection is estimated to take 2 hours to complete, hctuding
`gathering. preparing. and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the
`amount of time you require to complete this form andlor suggestions tor reducing this burden. should be sent to the Chlel Information Oilicer. U.s. Patent and
`Trademark Office. P.O. Box 1450. Alexsncfla. VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`commissioner for Patents, P.O. Box 1450. Alexandria. VA 22313-1450.
`
`Ifyou need assistance In completing the farm, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`Page 9 of 20
`
`

`

`momma (1,0,,
`A
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C.l
`Approved loruee through 1‘Il‘30I2007. OMB 0651-0031
`U.3. Patent and Trademark Oillce: U.S. DEPARTMENT OF COMMERCE
`~.- rworlr ReductionActot1995 no arson: are .uired to res ndto ecoilecilonotinformatio u ssitco iainsevalidOMB con -
`mbar.
`
`
`complete I nown
`substitute {or form 1449IP'TO
`
`
`
`Application Number
`
`90/003575
`
`Filing Date
`
`0525,2007
`
`6'772’132
`
`Examiner Cite
`Initials‘
`No.‘
`
`NON PATENT LITERATURE DOCUMENTS
`include name of the author (in CAPITAL LETTERS). title of the article (when appropriate). title of
`the item (back. rnaga7Jne, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`numbe s ubiisher, cl
`andlor count where ubllshad.
`
`-Keyboard example, 2/3/2006, G007308—G007310
`GL Brochure, G0021652-21658
`
`I
`W"
`
`
`
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`
`
`First NBHIBU IIIVBIITOI’
`Art Unit
`
`
` (Use as many sheets as necessary)
`E"°'""‘°' Name
`Jeanne Marie Clark
`
`
`
`
`
`
`
`
`
`
`
`
`
`
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`-H GL Cost and Services, 00/00/1998, G0108876
`-u GL Win Summary (French), 6/00/1998, G0091004-GO091046
`in Giobex brochure, DTX 17, 00/00/1939, eSO0O3958-eS0003981
`93
`Swiss Exchange SWX - TS User Manual, 12/31/1998, DTX 2215,
`eSO032293-eS0O32547
`Screen No. 100-Order Book 81 Order Entry 1 (Single View),
`eS060637-eS060639
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`In LIFFE APT User Guide, or/oo/1994, LlFFEOO0262-LlFFE000363
`
`PTS trading application Version 1.1 Beta H.1, 3/31/1998, DDX 118, DTX 118,
`PATS00560-PATSOOSSO
`
`1
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`
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`Ex
`
`1
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`s.;,’;‘t3f;
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`/Jeanne Clarkl
`
`D
`
`09/26/2008
`
`tnluet itreference considered. whether or not citation is in conformance with MPEP 609. Draw line through citation it not in conlormenca and not
`‘EXAMINER:
`considered.
`include copy of this loan with next communication to applicant.
`‘
`1 Appilcanfe unique citation deslgnation number (optional). 2 Applicant is to piece a check merit here it English language Translation is attached.
`This collection or information is required by 37 CFR 1.98. The information is required to obtain or retain a benefit by the public which is to rule (and by the USPTO
`to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete. including
`gathering. preparing, and submitting the completed application term to the USPTO. Time will vary depending upon the individual case. Any comments on the
`amount or time you require to complete this form andlor suggestions for reducing this burden. should be sent to the Chief information Oflioer. U.8. Patent and
`Trademark omce. P.o. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS To THIS ADDRESS. SEND TO:
`Commissioner for Patents. P.0. Box 1450. Alexandria. VA 22313-1450.
`
`Ifyou need assistance In completing the form, call 1-800LPT0~9199 (1-800-786-9199) and select option 2.
`
`Page 10 of 20
`
`
`
`‘
`
`

`

`P‘l'OISBI08B(11-O7)
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C.I
`Approved tor use through 11I3tlI2007. OMB D651-0031
`
`
`
`u.s. Patent and Trademark Oifice: u.s. DEPARTMENT OF COMMERCE
`on
`onotinforme nunle it ninsaveiido
`-
`
`Substitute lor form 1449lPTO
`
`Complete If Known
`
`s
`
`Application Number
`
`Filing Date
`
`First Named Inventor
`
`90/008,576
`
`05-25-2007
`
`6,772.1 32
`
`Examiner
`initials‘
`
`Cite
`No.‘
`
` numbe s. ubllsher oi
`
`1'2
`
`
`
`
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`
`
`
`Art Unit
`
`(Use Is many sheets as necessary)
`
`
`Examiner Name
`Jeanne Marie Clark
`
`
`
`Attorney Docket Number 074 021 _U3_gEx,-1
`
`
`NON PATENT LITERATURE DOCUMENTS
`
`
`Include name of the author (in CAPITAL LETTERS), title of the article (when appropriate). title of
`the item (book. magazine. journal. serial, symposium. catalog. etc.), date, page(s). volume-issue
`andlor coun where ubiished.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`X__Trader User Documentation Manual Release 3.10, 4/1/1998,
`TTOO15867-15955
`-
`
`-fl aVdingPad Manual, G0026560-26567
`
`-E QuickTrade Document and Brochure, G021027-21031
`
`"LlFFE CONNECT for Futures User Guide V4.51", 6/00/1999,
`GOO25815-25822
`
`r
`
`_
`
`“T
`
`i
`I
`I
`
`In GL Version 4.70 (French Version), 1/5/2000, GO026505-26533
`1
`in GL Version 4.70 (English Version). 1/5/2000. GO020593-20621
`-GL WIN and Related Software Manual. 9/11/2000, 1) GOO25251-25615 It
`
` LWIN and Related Software Manual, 2) G0025942-26267 A EI
`la GL WIN and Related Software Manual, 3) G010239~10610
`-EGL WIN et Logicieis complementaires (French), G0O09495-9874
`$2135.:
`IJeanne Clarkl
`09/26/2008
`
`i
`
`I _____ ;
`
`
`
`
`
`
`
`initial it reference considered. whether or not citation is in conforrnance with MPEP 809. Drew line through citation it not in oonionnance and not
`‘EXAMINER:
`considered.
`include copy of this term with next communication to applicant
`1 Applicant‘: unique citation designation number (optional). 2 Applicant is to place a check mark here it English language Translation is attached.
`This collection 0! infomtelion is required by 37 CFR 1.98. The Information is required to obtain or retain a benefit by the public which is to tile (and by the USPTO
`to process) an application. Confidentiality is governed by 35 u.s.c. $22 and 31 CFR 1.14. This collection is estimated to take 2 hours to complete, including
`gathering. preparing. and submitting the completed application tonn to the USFTO. Time will vary depending upon the individual case. Any comments on the
`amount of time you require to complete this form endlor suggestions for redudng this burden, ehould be cent to the Chiel lnlormation Officer, U.S. Patent and
`Trademark Ollice. P.O. Box 1460. Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for Patents, P.0. Box 1450. Alexandria, VA 22313-1450.
`
`If you need assistance In completing the form, call 1-800~PTO-9199 (1-800-786-9199) and select option 2.
`
`'
`
`Page 11 of 20
`
`

`

`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`lJ.C./
`
`PTO/S8/083 (11-on
`tor use through 11/30/2007. OMB 0851-0031
`U.$. Patent and Trademark Oitlce; U.S. DEPARTMENT OF COMMERCE
`- Alotot1995 no reonserereulredto
`M to = gdieguo of nfomatl uriesalt contains =
`alld OMB control
`V moer.
`
`
`Comp etei " own
`substitute tor lorrn ‘IMSIPTO
`
`
`
`
`
`
`INFORMATION DISCLOSURE
`Filing Date .
`
`
`
`First Named Inventor
`STATEMENT BY APPLICANT
`
`
`
`6,772,132
`Art Unit
`
`(Use as many sheets as necessary)
`
`
`
`
`E"3"""°" Name
`Jeanne Marie Clark
`W123 A«°mev°°c«et~um»er or-um-us-Rex-1
`
`Application Number
`
`90/008.576
`
`O5-25-2007
`
`Examiner Cite
`Initials’
`No.‘
`
`include name of the author (in CAPITAL LETTERS), title of the article (when appropriate). title of
`the item (book, magazine. joumal, serial, symposium, catalog, etc.), date, page(s). volume-Issue
`
`NON PATENT LITERATURE DOCUMENTS
`
`“CAC and STOXX Futures on MATIF NSC VF“, 3/13/1999,
`G0025720-25733
`
`N
`I
`
`I—:l
`l
`I
`
`I
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`.
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`
`'
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`
`initial If reference considered, whether or not citation is in coniorrnance with MPEP 609. Drew line through citation it not in contorrnance and not
`‘EXAMINER:
`Include copy of this form with next oornmuntilon to applicant.
`considered.
`1 Appllcanre unique citation designation number (optional). 2 Applicant is to place a check mark here it English language Translation is attached.
`This collection or lnfomaailon is required by 37 CFR 1.95. The lniormatlon is required to obtain or retain a benefit by the pubic which is to tile (and by the USPTO
`to process) an application. Confidentiality ls governed by 35 U.S.C. 122 and 3