Paper No. ____
` Filed: October 7, 2016
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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 CBM2015-00182
`U.S. Patent 6,772,132
`_________________
`
`PATENT OWNER’S UPDATED EXHIBIT LIST
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`Case CBM2015-00182
`U.S. Patent 6,772,132
` Pursuant to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
`
`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners IBG, LLC, Interactive Brokers LLC,
`
`TradeStation Group, Inc., TradeStation Securities, Inc., TradeStation
`
`Technologies, Inc., and IBFX, Inc. Exhibit 2337, previously only served, is now
`
`filed on PTAB E2E.
`
`Exhibit 2002
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`Exhibit 2004
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`Exhibit 2005
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`Exhibit 2006
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`Exhibit 2007
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`Exhibit 2008
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`Exhibit 2009
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`Exhibit 2010
`
`Filed Exhibits Description
`Exhibit 2001
`Transcript of Teleconference with the Board, dated
`Nov. 23, 2015
`Versata Development Group, Inc. v. SAP America, Inc. and SAP
`AG, Case No. 2014-1194 (CAFC), Docket No. 61, Brief for the
`Intervenor - Director of the United States Patent and Trademark
`Office (May 1, 2014)
`Exhibit 2003 Meyers, Brad A. “A Brief History of Human-Computer
`Interaction Technology.” Interactions 5.2 (1998): 44-54
`National Aeronautics and Space Administration Web Page Print
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`Computer Interaction Master’s Program
`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`1
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`Exhibit 2011
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`Exhibit 2012
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`
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`

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`Exhibit 2013
`Exhibit 2014
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`Exhibit 2016
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`Exhibit 2017
`
`Exhibit 2018
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`Exhibit 2019
`
`Exhibit 2020
`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Senate Congressional Record, S936-S953 (Feb. 28, 2011)
`Crossing the Finish Line on Patent Reform: What Can and
`Should Be Done, Hearing Before the Subcommittee on
`Intellectual Property, Competition, and the Internet of the
`Committee on the Judiciary House of Representatives (Feb. 11,
`2011)
`Exhibit 2015 Markup of H.R. 1249, The America Invents Act, House of
`Representatives Committee on the Judiciary (Apr. 14, 2011)
`Study and Report on the Implementation of the Leahy-Smith
`America Invents Act, USPTO Report to Congress (Sept. 2015)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 613, Supplemental Response of Certain
`Defendants to TT’s Emergency Motion (July 20, 2015)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Transcript of Proceedings - Motion (Sept. 10, 2015)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Ex. 1032, Declaration of
`Kendyl A. Román (May 17, 2014)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Ex. 2097, Declaration of
`Harold Abilock (March 6, 2015)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 176, Defendants’ Case Management Statement
`for May 5, 2011 Status Hearing (May 3, 2011)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 528, Position Statement of the TD Ameritrade
`Defendants on the Federal Circuit’s Decision in OEC and How
`this Case Should Proceed (Feb. 20, 2014)
`Trading Techs. Int’l, Inc. v. BCG Partners, Inc., Case No. 1:10-
`CV-00715 (N.D. Ill.), Docket No. 562, Reply Memorandum in
`Support of the IBG Defendants’ Motion to Stay Proceedings
`Pursuant to Section 18(b) of the America Invents Act (June 18,
`2014)
`Trading Techs. Int’l v. BGC Partners,Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 558, TradeStation Defendants’ Joinder In and
`Motion for Stay (June 11, 2014)
`
`Exhibit 2021
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`Exhibit 2022
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`Exhibit 2023
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`Exhibit 2024
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`
`
`2
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`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Trading Techs. Int’l v. BGC Partners,Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 546, Memorandum in Support of the TD
`Ameritrade Defendants’ Motion to Stay Proceedings Pursuant to
`Section 18(b) of the America Invents Act (May 22, 2014)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 609, Response of Certain Defendants to Trading
`Technologies’ “Emergency” Motion (July 15, 2015)
`Trading Techs. Int’l v. TradeStation Securities, Inc.I Case No.
`10-cv-884 (N.D. Ill.), TradeStation Securities, Inc.’s and
`TradeStation Group, Inc.’s Initial Invalidity Contentions
`Pursuant to Local Patent Rule 2.3 (Oct. 12, 2010)
`U.S. Patent No. 6,993,572 B2
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Volume 11-A Trial Transcript of Proceedings
`(Sept. 26, 2007)
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (Oct. 10, 2007)
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Instructions (Oct. 10, 2007)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc. et al. , Case No. 04-cv-
`5312, Dkt. 1140, Notification of Docket Entry (Jan. 3, 2008)
`79 Fed. Reg. 74618- 633, USPTO 2014 Interim Guidance on
`Patent Subject Matter Eligibility (Dec. 16, 2014)
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines (July 2015)
`The American Heritage College Dictionary Fourth Edition, 100
`(2002): Definition of “Axis”
`Notice of Allowance 09/590,692 (Feb. 10, 2004)
`Notice of Intent to Issue Ex Parte Reexamination Certificate
`90/008,576 (Jan. 16, 2008)
`Decision Denying Request for Ex Parte Reexamination
`90/011,250 (July 15, 2011)
`Information Disclosure Statement 90/008,576 (Sept. 26, 2008)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-
`5312, Supplemental Invalidity Contentions of eSpeed, Inc.,
`eSpeed International, Ltd., Ecco LLC, and EccoWare Ltd. (May
`25, 2007)
`Petition to Make Special Under 37 C.F.R. § 1.102(d) 09/590,692
`(Aug. 21, 2000)
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`3
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`Exhibit 2025
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`Exhibit 2026
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`Exhibit 2027
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`Exhibit 2028
`Exhibit 2029
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`Exhibit 2030
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`Exhibit 2031
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`Exhibit 2032
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`Exhibit 2033
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`Exhibit 2034
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`Exhibit 2035
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`Exhibit 2036
`Exhibit 2037
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`Exhibit 2038
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`Exhibit 2039
`Exhibit 2040
`
`Exhibit 2041
`
`
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Excerpts from File History of 09/590,652, Information
`Disclosure Statements signed by Examiner (various dates)
`Corrected Request for Ex Parte Reexamination 90/008,576 (May
`25, 2007)
`Information Disclosure Statement 90/008,576 (Feb. 28, 2008)
`Request for Reexamination 90/011,250 (Sept. 22, 2010)
`Non-Final Rejection 09/590,692 (June 8, 2001)
`Reserved
`Smith, Warren, Subpoena Honyaku English - Japanese
`Translation List, Google Group Discussion Web Page Print out
`(Aug. 24, 2007)
`Submission of Publications, etc., PCT 2004-504652 (Apr. 18,
`2005) (Japanese language original)
`Submission of Publications, etc., PCT 2004-504652 (Ap. 18,
`2005) (Translation)
`Certification of Translation (Nov. 15, 2005)
`Japanese Patent 2004-504652
`Auroratm: The Most Technologically Advanced Trading System
`Available Today, Aurora Chicago Board of Trade
`Rosenthal Collins Group LLC Notice of Opposition to a
`European Patent, EP1319211 (Jan. 12, 2006)
`Deutsche Börse AG Notice of Opposition to a European Patent,
`EP1319211 (Jan. 12, 2006)
`Eccoware Limited Notice of Opposition to a European Patent,
`EP1319211 (Jan. 13, 2006)
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D. Ill.), Dkt. 105, Memorandum Opinion and Order
`(Oct. 31, 2006)
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D. Ill.), Dkt. 1043, CQG’s Reply Brief Regarding the
`Patent-Ineligibility/Invalidity of the TT Patents-In-Suit Under 35
`U.S.C. § 101 (Feb. 17, 2015)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000137, TDA Ex. 1050,
`Deposition of Harold Abilock (Apr. 24, 2015)
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Petitioners’ Reply to
`Patent Owner’s Response, Paper 48 (May 29, 2015)
`
`4
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`Exhibit 2042
`
`Exhibit 2043
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`Exhibit 2044
`Exhibit 2045
`Exhibit 2046
`Exhibit 2047
`Exhibit 2048
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`Exhibit 2049
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`Exhibit 2050
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`Exhibit 2051
`Exhibit 2052
`Exhibit 2053
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`Exhibit 2054
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`Exhibit 2055
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`Exhibit 2056
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`Exhibit 2057
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`Exhibit 2058
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`Exhibit 2059
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`Exhibit 2060
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`
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D.Ill.), Dkt. 898, Redacted CQG’s Opening Brief
`Regarding the Patent-Ineligibility/Invalidity of the TT Patents-In-
`Suit Under 35 U.S.C. § 101 (Feb. 2, 2015)
`Response to Communication Pursuant to Article 101(1) and Rule
`81(2) to (3) EPC dated 1 Dec. 2010 (the "Article 101(1)
`Communication"), Opposition to EP1319211 (June 14, 2011)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 550, Memorandum in Support of the IBG
`Defendants’ Motion to Stay Proceedings Pursuant to Section
`18(b) of the America Invents Act (June 2, 2014)
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Dkt. 553, CQG’s Position Statement Regarding TD
`Ameritrade’s Motion to Stay (June 4, 2014)
`Served
`Reserved
`
`Served
`Served
`Served
`Transcript of Teleconference with the Board, dated May 11,
`2016
`Reserved
`
`Exhibit 2061
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`Exhibit 2062
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`Exhibit 2063
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`Exhibit 2064
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`Exhibit 2065
`Exhibit 2066 –
`Exhibit 2103
`Exhibit 2104
`Exhibit 2105
`Exhibit 2106
`Exhibit 2107
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`Exhibit 2108 –
`Exhibit 2120
`Exhibit 2121
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`Exhibit 2122
`Exhibit 2123
`Exhibit 2124
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`Exhibit 2125
`
`U.S. Patent Classification System – Classification Definitions –
`Class 705
`Reserved
`Reserved
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, (January 2011): 1-8
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`Senate Congressional Record, S5402-S5443 (Sept. 8, 2011)
`Reserved
`
`Exhibit 2126
`Exhibit 2127 –
`Exhibit 2132
`Exhibit 2133 McGraw Hill "Dictionary of Scientific and Technical Terms,"
`Fifth Edition (1994): Definition of “Recording”
`
`
`
`5
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`

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`Exhibit 2134 –
`Exhibit 2139
`Exhibit 2140
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`Exhibit 2141
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`Exhibit 2142
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`Exhibit 2143
`Exhibit 2144
`Exhibit 2145
`Exhibit 2146
`Exhibit 2147
`Exhibit 2148
`Exhibit 2149
`Exhibit 2150
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`Exhibit 2151
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`Exhibit 2152
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`Exhibit 2153
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`Exhibit 2154
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`Exhibit 2155
`Exhibit 2156
`Exhibit 2157
`Exhibit 2158
`Exhibit 2159
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`Exhibit 2160
`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`
`Reserved
`
`Transcript of Teleconference with the Board, dated June 13,
`2016
`Transcript of Teleconference with the Board, dated June 14,
`2016
`Trading Techs. Int’l v. BGC Partners, Inc., Case No. 10-C-715
`(N.D. Ill.), Transcript of Proceedings (May 12, 2016)
`TS0028765
`TS0107054
`TS0024612
`TS1261405
`TS1268720
`TS1533977
`TS1525667
`Video Deposition Transcript of John Bartleman, dated June 8,
`2016 in Trading Technologies International, Inc. v. BGC
`Parnters, Inc., Case No. 1:10-cv-715 (Consolidated) (N.D. Ill.).
`Draft Video Deposition Transcript of John Bartleman, dated June
`9, 2016 in Trading Technologies International, Inc. v. BGC
`Parnters, Inc., Case No. 1:10-cv-715 (Consolidated) (N.D. Ill.).
`Listing Additional Discovery Sought: Produced Documents and
`Transcripts
`Listing of Additional Discovery Sought: Documents Withheld in
`District Court
`Video Deposition Transcript of Milan Galik, dated June 13, 2016
`in Trading Technologies International, Inc. v. BGC Parnters,
`Inc., Case No. 1:10-cv-715 (Consolidated) (N.D. Ill.).
`Relevance of Additional Discovery Sought
`IBG_00026004
`IBG_00040515
`IBG_00014726
`TSE-filed opposition document to Japanese Patent Application
`No. 2001-564025 (TSE0000000982-995)
`Certified Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`
`
`
`6
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`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Certification of Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`JP Patent Application 2001-564025
`Deposition Transcript of Atushi Kawashima, dated June 17, 2016
`Deposition Transcript of David Rho, dated April 26, 2016
`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`(Thomas Ex. J)
`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`(Thomas Ex. YYYY)
`Reserved
`Declaration of Eric Gould-Bear
`CONFIDENTIAL Declaration of Christopher Thomas
`Declaration of Michael Burns (Thomas Ex. W)
`Declaration of Timothy Geannopulos (Thomas Ex. U)
`CONFIDENTIAL Declaration of Jay Knobloch (Thomas Ex.
`KK)
`Declaration of Robbie McDonnell (Thomas Ex. V)
`Declaration of Dan Olsen
`Exhibit TSE1 from Kawashima 2005 Deposition
`(TSE0000000996-1016)
`Certified Translation of Exhibit TSE1 from Kawashima 2005
`Deposition (TSE0000000996-1016)
`Certification of Translation of Exhibit TSE1 from Kawashima
`2005 Deposition (TSE0000000996-1016)
`Declaration of Harold Abilock
`E-mail from J. Goldberg to Board (May 10, 2016)
`Attachment E to Letter to Director Lee: Trading Tech Int’l v
`CQG, Inc. and CQGT, LLC, Case No. 05-cv-4811 (N.D.Ill.),
`Dkt. 1073, Memorandum Opinion and Order denying Motion for
`Summary Judgment (35 U.S.C. § 101)
`Reserved
`
`Thomas Ex. A - Christopher Thomas CV
`Thomas Ex. B - Reexam Certificate for U.S. Patent No.
`6,772,132
`Thomas Ex. C - Reexam Certificate for U.S. Patent No.
`6,766,304
`Thomas Ex. D - Microsoft DNA Case Study
`7
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`Exhibit 2161
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`Exhibit 2162
`Exhibit 2163
`Exhibit 2164
`Exhibit 2165
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`Exhibit 2166
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`Exhibit 2167
`Exhibit 2168
`Exhibit 2169
`Exhibit 2170
`Exhibit 2171
`Exhibit 2172
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`Exhibit 2173
`Exhibit 2174
`Exhibit 2175
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`Exhibit 2176
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`Exhibit 2177
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`Exhibit 2178
`Exhibit 2179
`Exhibit 2180
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`Exhibit 2181 –
`Exhibit 2200
`Exhibit 2201
`Exhibit 2202
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`Exhibit 2203
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`Exhibit 2204
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`
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`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`
`Thomas Ex. E - TT0103979-995
`Thomas Ex. F - Excerpts from Interactive Brokers Group, Inc.
`Form 10-K Statement IBG_00000412-421
`Thomas Ex. G - Excerpts from TradeStation Group, Inc. Form
`10-K Statement TS0005177-88
`Thomas Ex. H - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Expert Report of David Silverman
`Thomas Ex. I - Globex User Guide June 1995 (get excerpt -
`cover and p. 61)
`Thomas Ex. K - Declaration of Daniel Durkin TTX00020829-
`00020830 (05/28/2004)
`Thomas Ex. L - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - Brumfield Trial Testimony
`Thomas Ex. M animation
`Thomas Ex. N - Brumfield Sketch - eSpeed_PTX0321
`Thomas Ex. O animation
`Thomas Ex. P - Brumfield Trading Results - eSpeed_PTX0396
`Thomas Ex. Q - Declaration of David Martin TTX00061557-
`00061558 (08/13/2004)
`Thomas Ex. R - Brumfield Articles CQG014380172-177 and
`CQG014380206-209
`Thomas Ex. S - Declaration of James Zellinger TTX00061410-
`00061412 (08/31/2004)
`Thomas Ex. T - Declaration of Ray Cahnman TTX00061529-
`00061530 (07/23/2004)
`Thomas Ex. X - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - David Feltes Trial Testimony
`Thomas Ex. Y - Declaration of Charles McElveen
`TTX00061559-00061560 (05/18/2004)
`Thomas Ex. Z - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - Tim Geannopulos Trial
`Testimony
`Thomas Ex. AA - Trader Declarations
`CONFIDENTIAL Thomas Ex. BB - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from David Martin
`Deposition (06/08/2006)
`CONFIDENTIAL Thomas Ex. CC - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from Charles
`McElveen Deposition (01/17/2006)
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`8
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`Exhibit 2205
`Exhibit 2206
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`Exhibit 2207
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`Exhibit 2208
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`Exhibit 2209
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`Exhibit 2210
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`Exhibit 2211
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`Exhibit 2212
`Exhibit 2213
`Exhibit 2214
`Exhibit 2215
`Exhibit 2216
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`Exhibit 2217
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`Exhibit 2218
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`Exhibit 2219
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`Exhibit 2220
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`Exhibit 2221
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`Exhibit 2222
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`Exhibit 2223
`Exhibit 2224
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`Exhibit 2225
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`
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`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Thomas Ex. DD - Steidlmayer, J. Peter, Steidlmayer on Markets
`Trading with Market Profile, 2ed (2003) - PTX0814
`Thomas Ex. EE - Declaration of Scott Johnston TTX00061397-
`00061398 (09/24/2004)
`Thomas Ex. FF - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Excerpts from Scott Johnston Deposition
`(06/27/2006)
`Thomas Ex. GG - Declaration of Tom Grisafi TTX00061542-
`00061543 (07/31/2004)
`Thomas Ex. HH - Collins, Daniel, What is Behind your Front-
`End?, Smart Trading 2001 - PTX0620
`Thomas Ex. II - eSpeed_PTX0782
`CONFIDENTIAL Thomas Ex. JJ - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from Elliot Lapan
`Deposition (06/04/2007)
`Thomas Ex. LL - U.S. Patent No. 6,772,132 Claim Chart - MD
`Trader with Exhibits 1-4 (06/23/2016)
`Thomas Ex. MM - Screenshot - Market Depth Trader Window
`Thomas Ex. NN - Screenshot - Placing Non-Automated Futures
`Trades
`Thomas Ex. OO - Screenshot - About the Matrix Window
`Thomas Ex. PP - TTX03586066-70
`Thomas Ex. QQ - Screenshot - TradeStation® Securities
`MATRIX
`Thomas Ex. RR - Declaration of Dieter Marlovics
`TTX00061553-00061554 (08/09/2004)
`Thomas Ex. SS - eSpeed_PTX0038
`Thomas Ex. TT - eSpeed_PTX0078
`Thomas Ex. UU - eSpeed_PTX0123
`Thomas Ex. VV - eSpeed_PTX0279
`Thomas Ex. WW - eSpeed_PTX0281
`Thomas Ex. XX - eSpeed_PTX0286
`Thomas Ex. YY - eSpeed_PTX0294
`CONFIDENTIAL Thomas Ex. ZZ - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from Raymond
`Deux Deposition (11/03/2006)
`Thomas Ex. AAA - eSpeed_PTX2064
`Thomas Ex. BBB - eSpeed_PTX2077
`Thomas Ex. CCC - eSpeed_PTX0438
`9
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`Exhibit 2226
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`Exhibit 2227
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`Exhibit 2228
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`Exhibit 2229
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`Exhibit 2230
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`Exhibit 2231
`Exhibit 2232
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`Exhibit 2233
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`Exhibit 2234
`Exhibit 2235
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`Exhibit 2236
`Exhibit 2237
`Exhibit 2238
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`Exhibit 2239
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`Exhibit 2240
`Exhibit 2241
`Exhibit 2242
`Exhibit 2243
`Exhibit 2244
`Exhibit 2245
`Exhibit 2246
`Exhibit 2247
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`Exhibit 2248
`Exhibit 2249
`Exhibit 2250
`
`
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`Thomas Ex. DDD - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Trial Transcript - Amanda Lewis Trial
`Testimony
`Thomas Ex. EEE - eSpeed_PDX0215
`Thomas Ex. FFF - eSpeed_PTX1366
`Thomas Ex. GGG - eSpeed_PTX0080
`Thomas Ex. HHH - eSpeed_PTX1367
`Thomas Ex. III - eSpeed_PTX0081
`Thomas Ex. JJJ - eSpeed_PTX1356
`Thomas Ex. KKK - eSpeed_PTX0110
`Thomas Ex. LLL - eSpeed_PTX1360
`Thomas Ex. MMM - eSpeed_PTX0448
`Thomas Ex. NNN - eSpeed_PTX1357
`Thomas Ex. OOO - eSpeed_PTX0079
`Thomas Ex. PPP - eSpeed_PTX1358
`Thomas Ex. QQQ - eSpeed_PTX1359
`Thomas Ex. RRR - eSpeed PTX1361
`Thomas Ex. SSS - eSpeed_PTX1362
`Thomas Ex. TTT - eSpeed_PTX1363
`Thomas Ex. UUU - eSpeed_PTX1364
`Thomas Ex. VVV - eSpeed_PTX1365
`CONFIDENTIAL Thomas Ex. WWW - eSpeed_PTX0036
`Thomas Ex. XXX - eSpeed_PTX0440
`Thomas Ex. YYY - eSpeed_PTX0441
`Thomas Ex. ZZZ - eSpeed_PTX1371
`Thomas Ex. AAAA - eSpeed_PTX1369
`Thomas Ex. BBBB - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from David Feltes (01/24/ 2007)
`Thomas Ex. CCCC - eSpeed_PTX1370
`Thomas Ex. DDDD - CQG_PTX0600
`Thomas Ex. EEEE - Trading Techs. Int’l. Inc., v. CQG, Inc., et.
`al., Case No. 05-cv-4811, Jury Verdict (03/18/2015)
`Thomas Ex. FFFF - Directory of Software Solutions for LIFFE
`Connect (Oct. 1998) - PTX0355
`Thomas Ex. GGGG - eSpeed_PTX0356
`Thomas Ex. HHHH - eSpeed_PTX0357
`Thomas Ex. IIII - Directory of Access Solutions for LIFFE
`Connect (May 2001) - DDX0174
`Thomas Ex. JJJJ – Consent Judgments
`10
`
`Exhibit 2251
`
`Exhibit 2252
`Exhibit 2253
`Exhibit 2254
`Exhibit 2255
`Exhibit 2256
`Exhibit 2257
`Exhibit 2258
`Exhibit 2259
`Exhibit 2260
`Exhibit 2261
`Exhibit 2262
`Exhibit 2263
`Exhibit 2264
`Exhibit 2265
`Exhibit 2266
`Exhibit 2267
`Exhibit 2268
`Exhibit 2269
`Exhibit 2270
`Exhibit 2271
`Exhibit 2272
`Exhibit 2273
`Exhibit 2274
`Exhibit 2275
`
`Exhibit 2276
`Exhibit 2277
`Exhibit 2278
`
`Exhibit 2279
`
`Exhibit 2280
`Exhibit 2281
`Exhibit 2282
`
`Exhibit 2283
`
`
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`
`Thomas Ex. KKKK - eSpeed_DTX0119
`Thomas Ex. LLLL - eSpeed_DTX0120
`CONFIDENTIAL Thomas Ex. MMMM - Trading Techs. Int’l.
`Inc., v. eSpeed, Inc., Case No. 04-cv-5312, Excerpts from
`Nicholas Garrow Deposition (05/26/2005)
`Thomas Ex. NNNN - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Robert McCausland
`Deposition (04/07/2005)
`Thomas Ex. OOOO - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Michael Burns Deposition
`(05/29/2007)
`Thomas Ex. PPPP - Petition for withdrawal of Application from
`Issue, 09/590,692 - ELLIS0000585-592
`Thomas Ex. QQQQ - Notice of Allowance - ELLIS0000948-951
`Thomas Ex. RRRR - Steps Taken to Improve Patent Quality -
`PTX0624
`Thomas Ex. SSSS - Trading Techs. Int’l. Inc., v. CQG, Inc., et.
`al., Case No. 05-cv-4811, Excerpts from Steven Van Dusen
`Deposition (01/20/2015)
`Thomas Ex. TTTT - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from David Silverman
`Deposition (08/24/2007)
`CONFIDENTIAL Thomas Ex. UUUU - Trading Techs. Int’l.
`Inc., v. CQG, Inc., et. al., Case No. 05-cv-4811, Excerpts from
`John Phillip Mellor Deposition (01/16/2015)
`CONFIDENTIAL Thomas Ex. VVVV - Trading Techs. Int’l.
`Inc., v. eSpeed, Inc., Case No. 04-cv-5312, Excerpts from
`Richard Ferraro Deposition Vol. 2 (08/09/2007)
`Thomas Ex. WWWW - Trading Techs. Int’l. Inc., v. eSpeed,
`Inc., Case No. 04-cv-5312, Excerpts from Robert Dezmelyk
`Deposition (08/17/2007)
`Thomas Ex. XXXX - National Aeronautics and Space
`Administration Web Page Print out, Human Computer
`Interaction Group
`Reserved
`
`Transcript of Teleconference with the Board, dated July 15, 2016
`Served
`Declaration of Jennifer M. Kurcz
`
`11
`
`Exhibit 2284
`Exhibit 2285
`Exhibit 2286
`
`Exhibit 2287
`
`Exhibit 2288
`
`Exhibit 2289
`
`Exhibit 2290
`Exhibit 2291
`
`Exhibit 2292
`
`Exhibit 2293
`
`Exhibit 2294
`
`Exhibit 2295
`
`Exhibit 2296
`
`Exhibit 2297
`
`Exhibit 2298 –
`Exhibit 2334
`Exhibit 2335
`Exhibit 2336
`Exhibit 2337
`
`
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`
`Exhibit 2338 -
`Exhibit 2342
`Exhibit 2343
`
`Exhibit 2344
`
`Exhibit 2345 -
`Exhibit 2392
`Exhibit 2393
`
`Exhibit 2394
`Exhibit 2395
`
`Exhibit 2396
`Exhibit 2397
`
`Exhibit 2398
`
`Exhibit 2399
`
`Exhibit 2400
`
`Exhibit 2401
`
`Exhibit 2402
`
`Exhibit 2403
`
`Exhibit 2404 -
`Exhibit 2406
`Exhibit 2407
`
`Reserved
`
`Trading Tech Int’l v BGC Partners, Inc, et al., Case No. 10-cv-
`715 (N.D.Ill.), Dkt. 789, Minute Entry
`Trading Tech Int’l v BGC Partners, Inc, et al., Case No. 10-cv-
`715 (N.D.Ill.), Dkt. 788, Transcript of Proceedings, dated July 7,
`2016
`Reserved
`
`Transcript of Teleconference with the Board, dated Aug. 10,
`2016
`Reserved
`Email from S. Borsand to Petitioners, dated May 2, 2016 (7:57
`PM)
`Email from L. Gordon to TT, dated May 5, 2016 (4:28 PM)
`Email from D. Healey to J. Kurcz, dated May 27, 2016 (11:45
`AM)
`Email from R. Emsley to Petitioners, dated May 31, 2016 (8:44
`PM)
`Email Chain between R. Sokohl and TT, relevant portion dated
`May 31, 2016 through June 3, 2016
`Email from R. Emsley to Petitioners, dated June 8, 2016 (2:57
`PM)
`Email from R. Sokohl to S. Borsand, dated June 14, 2016 (12:42
`PM)
`Trading Techs. Int’l, Inc. v. BGC Partners, Inc., et. al., 10-cv-
`715 (N.D. Ill.), Transcript of Proceedings, dated July 7, 2016
`Email Chain between A. Kessel and J. Kurcz regarding
`Protective Order, dated July 29, 2016 to August 1, 2016
`Reserved
`
`Trading Techs. Int’l, Inc. v. BGC Partners, Inc., et. al., 10-cv-
`715 (N.D.Ill.), Dkt. 168, Protective Order (April 22, 2011)
`
`
`
`12
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`
`Description
`
`Declaration of Cory C. Bell
`Table of Contents from CBM2015-00181 Petition (Exhibit 1019)
`Table of Contents from CBM2015-00182 Petition (Exhibit 1007)
`Futures/Option Purchasing System: Trading Terminal Operation
`Guide
`Declaration of Cory C. Bell, dated July 18, 2016
`
`
`Served Exhibits
`
`Exhibits
`Exhibit 2065
`Exhibit 2104
`Exhibit 2105
`Exhibit 2106
`
`Exhibit 2336
`
`
`
`
`Respectfully submitted,
`
`
`By: /Joshua L. Goldberg/
` Joshua L. Goldberg, Back-up Counsel
`Reg. No. 59,369
`
`Counsel for Patent Owner
`Trading Technologies International, Inc.
`
`
`
`13
`
`Dated: October 7, 2016
`
`
`
`
`
`
`

`
`Case CBM2015-00182
`U.S. Patent 6,772,132
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`
`
`Owner’s Updated Exhibit List and Exhibit 2337 was served on October 7, 2016,
`
`via email directed to counsel of record for the Petitioner at the following:
`
`Robert Sokohl
`rsokohl-PTAB@skgf.com
`
`Lori Gordon
`lgordon-PTAB@skgf.com
`
`Richard Bemben
`rbemben-PTAB@skgf.com
`
`John C. Phillips
`CBM41919-0006CP1@fr.com
`
`PTAB@skgf.com
`
`
`
`
`
`
`
`
`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, LLP
`
`
`
`
`
`
`Dated: October 7, 2016