`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`IBG LLC,
`INTERACTIVE BROKERS LLC, TRADEST ATION GROUP, INC.,
`TRADESTA TION SECURITIES, INC.,
`TRADESTATION TECHNOLOGIES, INC., and IBFX, INC.,
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERN A TlONAL, INC.
`Patent Owner
`
`Case CBM20 15-00182
`Patent No. 6,772,132
`
`PETITIONERS' UPDATED EXHIBIT LIST
`
`Alai/ Stop "Patent Board"
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`Case CBM2015-00182 of
`U.S. Patent No. 6,772,132
`PETITIONERS' UPDATED EXHIBIT LIST
`
`Exh. No.
`1001
`1002
`
`Description
`U.S. Patent No. 6, 772,132 to Kemp, II eta!. ("' 132 patent")
`File History of Application Ser. No. 09/590,692, which became the
`'132 patent, as filed and obtained from PAIR("' 132 Patent File His-
`tory")
`
`1003
`
`1004
`
`1005
`
`1006
`1007
`1008
`
`1009
`
`1010
`1011
`1012
`1013
`1014
`1015
`1016
`
`1017
`
`1018
`
`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 Req.")
`
`Expert Declaration of David Rho ("Rho Decl.")
`Expert Declaration ofKendyl A. Roman ("Roman Decl.")
`
`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.")
`U.S. Patent No. 5,077,665 to Silverman et al. ("Silverman")
`U.S. Patent No. 5,297,031 to Gutterman et al. ("Gutterman")
`WO 90/11571 to Belden et al. ("Belden")
`CA Publication No. CA 2,305,736 to May ("May")
`U.S. Patent No. 5,263,134 to Paal et al. ("Paal")
`
`U.S. Patent No. 5,960,411 to Hartman et al. ("Hartman")
`"Futures/Option Purchasing System Trading Terminal Operation
`Guidelines," Tokyo Stock Exchange ("TSE JP")
`
`Certified Translation of"System for Buying and Selling Futures and
`Options Transaction Terminal Operational Guidelines" ("TSE")
`
`Certificate of Translation for "System for Buying and Selling Fu-
`
`- 1 -
`
`
`
`Exh. No.
`
`Description
`tures and Options Transaction Terminal Operational Guidelines"
`("TSE Certificate")
`
`Case CBM2015-00182 of
`U.S. Patent No. 6,772,132
`
`1019
`
`1020
`1021
`1022
`
`1023
`
`1024
`
`1025
`1026
`
`1027
`1028
`
`1029
`1030
`1031
`
`1032
`
`1033
`
`1034
`
`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 ("Depo. Transcript")
`
`David M. Weiss, "After the Trade is Made," 1993 ("Weiss")
`
`Robert Deel, "The Strategic Electronic Day Trader," 2000 ("Deel'')
`
`Alan Cooper, "About Face: The Essentials of User Interface De-
`sign," First Edition, 1995. ("Cooper")
`
`Ben Shneiderman, "Designing the User Interface: Strategies for Ef-
`fective Human-Computer Interaction," Third Edition, 1998 ("Shnei-
`derman")
`
`Microsoft Computer Dictionary, Fifth Edition, 2002, pages 150
`("Microsoft Computer Dictionary")
`
`Curriculum Vitae ofKendyl A. Roman ("Roman CV")
`
`List of Materials Considered by Kendyl A. Roman ("Roman List of
`Materials")
`
`Curriculum Vitae of David Rho ("Rho CV")
`
`List of Materials Considered by David Rho ("Rho List of Materi-
`als")
`
`INTENTIONALLY LEFT BLANK
`
`U.S. Patent No. 6,408,282 to Buist ("Buist")
`
`TD Ameritrade Holding Corp. v. Trading Techs. Int 'l, Inc.,
`CBM2014-00135, Paper 17 ("POPR")
`
`TD Ameritrade Holding Corp. v. Trading Techs. Int'l, Inc.,
`CBM20 14-00 13 5, Paper 19 ("Ins. Dec.")
`
`TD Ameritrade Holding Corp. v. Trading Techs. Int'l, Inc.,
`CBM2014-00135, Paper 29 ("Reh'g Dec.")
`
`TD Ameritrade Holding Corp. v. Trading Techs. Int 'l, Inc.,
`CBM2014-00135, Paper 32 ("POR")
`
`- 2-
`
`
`
`Case CBM20 15-00182 of
`U.S. Patent No. 6,772,132
`
`Exh. No.
`1035
`
`Description
`Trading Techs. Int 'l. v. CQG, No. 05-cv-4811, Slip. Op. (N.D. Ill.
`Feb. 24, 2015) ('"TT v. CQG Slip. Op.")
`
`1036
`
`1037
`
`1038
`
`1039
`1040
`1041
`1042
`1043
`
`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 ofTeleconference, June 6, 2016
`
`Date: June 6, 2016
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 3 71-2600
`
`· A. Gordon (Reg. No. 50,633)
`Attorney for Petitioners
`
`- 3 -
`
`
`
`Case CBM20 15-00182 of
`U.S. Patent No. 6,772,132
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that copies of the foregoing PETITION-
`
`ERS' UPDATED EXHIBIT LIST and EXHIBIT 1043 were served on June 6,
`
`2016, via e-mail in their entireties 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. Emsley (Back-up Counsel)
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`erika.amer@finnegan.com
`joshua.goldberg@finnegan.com
`kevin.rodkey@finnegan.com
`rachel.emsley@finnegan.com
`trading-tech-CBM@finnegan.com
`
`Steven F. Borsand (Back-up Counsel)
`Trading Technologies International, Inc.
`tt-patent-cbm@tradingtechnologies.com
`
`Michael D. Gannon (Back-up Counsel)
`LeifR. Sigmond, Jr. (Back-up Counsel)
`MCDONNELL, BOEI--JNEN, HULBERT & BERGHOFF LLP
`gannon@mbhb.com
`sigmond(a{mbhb.com
`=
`
`Date: June 6, 2016
`
`STERNE, KESSLER, GOLDSTEIN & Fox P.L.L.C.
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`Lori A. Gordon (Reg. No. 50,633)
`Attorney for Petitioners