`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-•450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`02110/2004
`
`7590
`22428
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`ART UNIT
`
`3624
`
`PAPER NUMBER
`
`DATE MAILED: 02/10/2004
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`09/590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`024051/0135
`
`2769
`
`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`nonprovisiona1
`
`YES
`
`ISSUE FEE
`
`$25
`
`PUBLICATION FEE
`
`TOTAL FEE(S) DUE
`
`$0
`
`$25
`
`DATE DUE
`
`05/10/2004
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION .QN IHE MERITS IS. CLOSED. THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`.IIIlS
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED.
`STATUTORY PERIOD CANNOT BE. EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE
`REFLECTS A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE APPLIED IN THIS APPLICATION. THE PTOL-85B (OR
`AN EQUIVALENT) MUST BE RETURNED WITHIN THIS PERIOD EVEN IF NO FEE IS DUE OR THE APPLICATION WILL
`BE REGARDED AS ABANDONED.
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`HOW TO REPLY TO THIS NOTICE:
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`I. Review the SMALL ENTITY status shown above.
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`If the SMALL ENTITY is shown as YES, verify your current
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`above.
`B. If the status is changed, pay the PUBLICATION FEE (if
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`and notify the United States Patent and Trademark Office of the
`change in status, or
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`If the SMALL ENTITY is shown as NO:
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`A. Pay TOTAL FEE(S) DUE shown above, or
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`claiming SMALL ENTITY status, check the box below and enclose
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`[J Applicant claims SMALL ENTITY status.
`See 37 CFR 1.27.
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`II. PART B- FEE(S) TRANSMITTAL should be completed and returned to the United States Patent and Trademark Office (USPTO) with
`your ISSUE FEE and PUBLICATION FEE (if required). Even if the fee(s) have already been paid, Part B - Fee(s) Transmittal should be
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`III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
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`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
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`PTOL-85 (Rev. 11/03) Approved for use through 04/30/2004.
`
`Page I of3
`
`Page 1 of 6
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`TRADING TECH EXHIBIT 2036
`IBG ET AL. v. TRADING TECH
`CBM2015-00182
`
`
`
`PART 8- FEE(S) TRANSMITIAL.
`'
`Complete and send this form, together with applicable fee(s), to: M.iill Mail Stop ISSUE FEE
`·
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or .EilK
`(703) 746-4000
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks I through 4 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Legibly mark-up with any corrections or use Block I)
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmissiOn.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal S'ervice with sufficient postage for first class mail in an enveloP.e
`addressed to the Mail Stop ISSUE FEE address above, or being facsimtle
`,
`transmitted to the USPTO on the date indicated below
`
`02/10/2004
`
`7590
`22428
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON DC 20007
`'
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`09/590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`(Deposito(s name)
`
`(Signature)
`
`(Date)
`
`I ATTORNEY DOCKET NO.
`02405110135
`
`CONFIRMATION NO.
`
`2769
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE
`
`PUBLICATION FEE
`
`TOTAL FEE(S) DUE
`
`nonprovisional
`
`YES
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`$25
`
`ART UNIT
`
`3624
`
`$0
`
`$25
`
`CLASS-SUBCLASS
`
`705-037000
`
`DATE DUE
`
`05/10/2004
`
`I. Change of correspondence address or indication of"Fce Address" (37
`CFR 1.363).
`
`0 Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/1 22) attached.
`0 "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list (I) the
`names of up to 3 registered patent attorneys or
`agents OR, alternatively, (2) the name of a single
`2
`fimi (having as a member a registered attorney or
`agent) and the names of up to 2 registered patent - - - - - - - - - - - - - -
`attorneys or agents. If no name is listed, no name
`will be printed.
`
`3
`- - - - - - - - - - - - - -
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. Inclusion of assignee data is only appropriate when an assignment has
`been previously submitted to the USPTO or is being submitted under separate cover. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent);
`4a. The following fee(s) are enclosed:
`4b. Payment ofFee(s):
`0 A check in the amount of the fee(s) is enclosed.
`0 Issue Fee
`0 Publication Fee
`0 Payment by credit card. Form PT0-2038 is attached.
`0 The Director is hereby authorized by charge the required fee(s), or credit any overpayment, to
`0 Advance Order- #of Copies---------
`Deposit Account Number
`(enclose an extra copy ofthts form).
`
`0 corporation or other private group entity
`
`0 government
`
`0 individual
`
`Director for Patents is requested to apply the Issue Fee and Publication Fee (if any) or to re-apply any previously paid issue fee to the application identified above.
`
`(Authorized Signature)
`
`(Date)
`
`NOTE; The Issue Fee and Publication Fee (if required) will not be accepted from anyone
`other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the recordS of the United States Patent and Trademark Office.
`This collection of information is required by 37 CFR 1.311. The information is required to
`obtain or retain a benefit by the public whtch is to tile (and by the USPTO to process) an
`application. Confidentiality ts governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is
`estimated to take 12 minutes to complete, including gathering, preparing, and submitting the
`completed application form to the USPTO. Time wtll vary depending upon the indivtdual
`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 Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce, Alexandria, Virginia
`22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS.
`SEND TO: Commissioner for Patents, Alexandria, Virginia 22313-1450.
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a
`collection of information unless it displays a valid OMB control number.
`
`PTOL-85 (Rev. I 1103) Approved for use through 04/30/2004.
`
`OMB 0651-0033 U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`TRANSMIT THIS FORM WITH FEE(S)
`
`Page 2 of 6
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`APPUCA TION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www .uspto.gov
`
`I ATTORNEY DOCKET NO. I CONFIRMATION NO.
`
`09/590,692
`
`06/09/2000
`
`Gary Allan Kemp II
`
`024051/0135
`
`2769
`
`0211012004
`
`7590
`22428
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`ART UNIT
`
`PAPER NUMBER
`
`3624
`
`DATE MAILED: 02/10/2004
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment to date is 0 day(s). If the issue fee is paid on the date that is three months after the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 0 day(s).
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval
`(PAIR) system (http://pair.uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (703) 305-1383. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at (703) 305-8283.
`
`PTOL-85 (Rev. 11103) Approved for use through 04130/2004.
`
`Page 3 of3
`
`Page 3 of 6
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`
`
`Notice of Allowability
`
`\
`
`Application No.
`
`Applicant(s)
`
`Richard C Weis
`
`3624
`
`-- The MAILING DATE of this communication appears on the cover sheet with the correspondence address-(cid:173)
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application. If not included
`herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`..
`
`1. [g)
`2.[g]
`3.[g]
`4.0
`
`This communication is responsive to amendment terminal disclaimer and interview summarv.
`The allowed claim(s) is/are 22-70 and 89-9!
`The drawings filed on 12 August 2002 are accepted by the Examiner.
`Acknowledgment is made of a claim for foreign priority under 35 U.S. C.§ 119(a)-(d) or (f).
`a)D All
`b)0Some* c)0None
`ofthe:
`1. D Certified copies of the priority documents have been received.
`2. D Certified copies of the priority documents have been received in Application No. __ .
`3. D Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received: __ .
`5. [g) Acknowledgment is made of a claim for domestic priority under 35 U.S. C.§ 119(e) (to a provisional application).
`(a} 0 The translation of the foreign language provisional application has been received.
`6. 0 Acknowledgment is made of a claim for domestic priority under 35 U.S. C. §§ 120 and/or 121.
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements noted
`below. Failure to timely comply will result in ABANDONMENT of this application. THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`7. 0 A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION {PT0-152) which gives reason(s) why the oath or declaration is deficient.
`
`8. 0 CORRECTED DRAWINGS must be submitted.
`(a) D
`including changes required by the Notice of Draftsperson's Patent Drawing Review { PT0-948) attached
`to Paper No. __ .
`1) D hereto or 2) D
`including changes required by the proposed drawing correction filed __ , which has been approved by the Examiner.
`including changes required by the attached Examiner's Amendment I Comment or in the Office action of Paper No. __ .
`
`(b) D
`(c) D
`
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the top margin (not the back)
`of each sheet. The drawings should be filed as a separate paper with a transmittal letter addressed to the Official Draftsperson.
`
`9. 0 DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`
`11:81 Notice of References Cited (PT0-892)
`30 Notice of Draftperson's Patent Drawing Review {PT0-948)
`5[8llnformation Disclosure Statements (PT0-1449), Paper No._.
`70 Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`20 Notice of Informal Patent Application (PT0-152)
`4~ Interview Summary (PT0-413), Paper No. __ .
`60 Examiner's AmendmenUComment
`80 Examiner's Statement of Reasons for Allowance
`90 Other
`
`PT0-37 (Rev. 04-01)
`
`Notice of Allowability
`
`Part of Paper No. 28 .
`
`Page 4 of 6
`
`
`
`ApplicE;ltion/Control Number: 09/590,692
`Art Unit: 3624
`
`Page 2
`
`Allowable Subject Matter
`
`1.
`
`The following is an examiner's statement of reasons for allowance: The following
`
`is an examiner's statement of reasons for allowance: This statement of reasons for
`
`allowance includes the major differences in the claims not found in the prior art of
`
`record and reasons why that differences are considered to define patentably over the
`
`prior art. The statement is not intended to necessarily state all the reasons for allowance
`
`or all the details why claims are allowed and should not be relied upon for this purpose.
`
`Rather, this statement reflects what the examiner considers important and therefore the
`
`primary reasons for the allowance of the claims.
`
`The primary reason for allowance is the limitation directed to the "dynamic
`
`display" of a plurality of the quantity of bids and asks aligned with a "static display" of
`
`corresponding prices. Here, unlike the prior art, the "static" display of prices is just that,
`
`static, and does not move in response to a change in the inside market. With this
`
`display of market depth, claimed in each of the independent claims, a trader places a
`
`trade order with the pointer in the area of the order entry region of the dynamic market
`
`depth region, through a single computer implemented action, see Figures 3 and 4. For
`
`example, in figure 3, a click on Bid Q 18 will send an order to the market to sell 17 lots
`
`of the commodity at a price of 89.
`
`The closest prior art including US Patent 6,408,282, PCT WO 01/16852 and
`
`commonly owned non-patent literature "X Trader" (see, applicant's response to
`
`USPTO's request for information) all lack this feature. The PTO also inquired as to the
`
`subject matter of alleged infringement referenced in applicant's petition to make
`
`Page 5 of 6
`
`
`
`Applic?tion/Control Number: 09/590,692
`Art Unit: 3624
`
`Page 3
`
`special. The USPTO found no evidence of public use or any printed publication of the
`
`system known as J Trader, the subject matter of potential infringement and the
`
`applicant's basis for his petition to make special, earlier than November 6, 2000.
`
`Therefore, the USPTO has concluded that the system known as J trader is not prior art
`
`to the instant application which has a filing date of June 06, 2000.
`
`2.
`
`Any comments considered necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays, should preferably
`
`accompany the issue fee. Such submissions should be clearly labeled "Comments on
`
`Statement of Reasons for Allowance."
`
`Any comments considered necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays, should preferably
`
`accompany the issue fee. Such submissions should be clearly labeled "Comments on
`
`Statement of Reasons for Allowance."
`
`Respectfully
`
`By, ________________ _
`
`Richard Weisberger
`
`Page 6 of 6