ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PTOIS8108B (11-07)
`Approved tor use through 11/3012007. OMB 0651-0031
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork RedudlonM ot 1995 no oersons ere reaulred to resoond to e collection of Information unless it contains a valid OMB control number.
`Complete If Known
`
`90/008,576
`
`05-25·2007
`
`'
`
`rsubsUtute for tonn 1449/PTO
`
`Ar?pllcatlon Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use es many sheets as necessary)
`
`~heel 11
`
`I of 120
`
`6,772,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US-REX-1
`
`Examiner Name
`
`Examiner Cite
`No.1
`Initials•
`
`1
`
`2
`
`3
`
`4
`
`5
`
`6
`
`7
`
`8
`
`9
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (ln. CAP IT ALLETTERS), title of the article (when appropriate), title of
`the item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-Issue
`number(s), publisher, city and/or country where published.
`eSpeed's Supplemental Invalidity Contentions, 5/25/2007
`
`T2
`
`eSpeed's Disclosure of Invalidity Contentions Pursuant to 35 USC 282,
`5/25/2007
`
`Invalidity Contentions Re: TradePad Module (Letter Dated 5/25/2007)
`
`Supplemental Invalidity Contentions Pursuant to 35 U.S.C. 282, 8/ 10/2007
`
`eSpeed's and Ecco's Answers to Plaintiff's Eighth Set of Interrogatories,
`8/4/2006
`
`eSpeed and Ecco's Supplemental Answers to Plaintiff's First, Third, Seventh,
`Eighth, and Ninth.Set of Interrogatories, 5/25/2007
`
`eSpeed's Objections and Answers to Plaintiffs Third Set of Interrogatories to
`Defendant eSpeed, 5/12/2005
`
`LIFFE Connect for Futures User Guide V4.50 Beta, 01/00/99, OX ;384, G
`025623-G 025626, DTX 384
`
`LIFFE Connect for Futures User Guide V4.50, 02/00/99, OX 593A, G 122900
`G-122938, DTX 593A
`
`10
`
`"A System and Method for Conducting Security Transactions Over a Computer
`Network", MAURO & BUIST, 03/01/99, DX 196, eS 066150-eS 066229, DTX 196
`
`/Jeanne Clark/
`
`Date
`09/26/2008
`Considered
`*EXAMINER: lnlllallf reference considered. whether or not citation Is In conformance wtth MPEP 609. Draw line through citation If not In conformance and not
`considered. Include copy or this form wl1h next communlcallon to eppDcanL
`1 Appllcenra unique cilaUon designation number (opUonal). 2 Applicant Ia to pla<:e a check mal1c here II Engll&h language Tran&laUon Ia attached.
`This collection d Information Is required by 37 CFR 1.98. The lntormatlon Is required to obtain or retain a beneftl by the public which Ia to file (end by the USPTO
`to process) en eppHcaUon. ConRdenUeUiy Is governed by 35 U.S.C. 122 and 37 CFR 1 .~4. This collection Is estimated to lake 2 hours to completa.lncfUdlng
`gathering, preparing, and aubmltllng the completed appi~Uon form to the USPTO. Time wtll vary depending upon lha lndNiduel ca&e. Any comments on the
`amount or time )IOU require to complete !his form and/or suggestions for reducing this burden, should be sent lo the Chief tnformallon Officer, U.S. Patent and
`Trademel1c Office, P.O. Box 1450, Alexandl1a. 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.
`
`If you need assistance fn completing the fonn, calf 1-800-PT0-9199 (1-800-786-91:99) and sefect opUon 2.
`
`Page 1 of20
`
`TRADING TECH EXHIBIT 2039
`IBG ET AL. v. TRADING TECH
`CBM2015-00182
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C.I
`PTo1581088 <11.o7>
`AppiOVed for U5e through 1113012007. OMS 0651.0031
`U.S. Patent and Trademark Offico; U.S. DEPARTMENT OF COMMERCE
`Under the Paoerwork Reduction Act of 1995 no persons are reQuired to rescond to a collection of Information unless It contains a valid OMB control number.
`Complete If Known
`""'\
`
`"
`
`Substitute forfolm 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use as m any sheets liS nocessat)l)
`
`~heel 12
`
`I or j2o
`
`90/008,576
`
`05-25-2007
`
`6,772,132
`3993
`Jeanne Marie Clark
`Atto":~ey Docket Number 07-1021-US-REX-1
`
`Examiner Name
`
`..)
`
`Examiner Cite
`1
`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-issue
`number(s), publisher, city and/or country where _I)_Ubllshed.
`
`T2
`
`11
`
`12
`
`13
`
`14
`
`15
`
`16
`
`11.
`
`18
`
`RCG's Presentation re WitCapital, 4/22/2004, OX 208, RCG 000635-ACG
`000663, OTX 208
`
`MAURO, Certified Patent Application No. 09/292,552, 4/15/1999, OX 209, eS
`065994-eS 066149,
`
`Various declarations Re: Patent Application No. 09292,552, 11/3/2003, DX
`284, lT 099877-Tt 099907, DTX 284
`
`EVENSTREET Presentation prepared for National Discount Brokers,
`00/00/1"999, DX 301, CM 006787-CM 006817, DTX 301
`
`WIT DSM user interface instructions, 08/06/98, OX 427, CM 006591.-CM
`006632, DTX 427
`
`Presentation re WIT DSM user interface Trade4.ppt, 10/12/98, DX.430, CM
`008265-CM 008330, DTX 430
`
`WIT DSM Presentation re Information display and decision variables, 12/20/98,
`OX 431, CM 004334-CM 004347, DTX 431
`
`EVENSTREET Presentation prepared for Flatiron Partners, 00/00/1999,
`OX 437, CM 007139-CM 007172, orx· 437
`
`19
`
`WIT Capital digital trading facility presentation to Goldman Sachs, OX 4138, CM 004523-CM 004547,
`DTX438
`
`20
`
`WIT Capital Digital· trading facility presentation to PaineWebber, Inc., OX 439,
`DTX 439
`
`Date
`09/26/2008
`/Jeanne Clark/
`Considered
`'EXAMINER: Initial If reference considered, whether or not citation Is In conformance wilh MPEP 609. Drew line through citation If not In confOrmance and not
`considered. Include copy ol lhl$ form with nexf communication lo eppllcenL
`1 Applicanra unique cilallon designation numbet (opUonal). 2 Applicant Is to place a check mark herelfEngllsh language Translallon Is attached.
`This collection of Information Is requred by 37 CFR 1.98. The lnfOrmaQon Is required to obtain or retain 11 benefit by the public which Is to me (and by the USPTO
`to process) an application. ConftdenUaUty Is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection 18 esUmated to teko2 houre to completa,lndudlng
`gathering, preparing. and submitting the completed appllcaUon form to the USPTO, Time will vary depending upon the Individual ceso. Any comments on the
`amount of lime you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief lnlormoUon Officer, U.S. Patent and
`Trademark Offlce, P.O. 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.
`
`If you nHCI esslstsnceln completing the form, cs/11-800-PT0-9199 (1-800-786-9199) and sslect opllon 2.
`
`Page 2 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PTo/SB/088 111.011
`Approved for usa through 11130!Z007. OMB 0651..0031
`U.S. Patent and T111demar1t omce; U.S. DEPARTMENT OF COMMERCE
`Und11r the Paoerwotk Reduction Act of 1995. no oersons are rwulred to respond to a C!lllectlon oflnformetlon unlep II CQ!rtalns e valid OMS conl/01 number.
`Complete If Known
`
`rsubsUtule for form 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`'
`
`90/008,576
`
`0~25·2007
`
`6 ,772,132
`3993
`Examiner Name
`Jeanne Marie Clark
`Attorney Docket Number 07·1021-US-AEX-1
`
`(Usa u many $heels as nrx:essary)
`
`~heel 13
`
`I .of J 20
`
`Examiner Cite
`No.1
`lniUals*
`
`21
`
`22
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETTERS), title of the article (when appropriate), tide of
`the item (book; magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`number{s), I>Ubllsher cHy_and/or country where published.
`WIT Capital after hours trading system, MAURO, 3/19/1999, OX 440, CM
`009028-CM 009059, DTX 440
`
`Tz
`
`WIT Capital Corporation digital trading facility presentation, 03/00/99, OX 441,
`DTX 441
`
`23
`
`WIT Capital pdf operator manual for Digital trading facility, 00/00/1999, DX
`. 442, CM 006510-CM 006513, DTX 442
`
`Overview re Digital trading facility, OX 443, CM .006315-CM 006344, DTX
`443
`
`Photocopy of Disks containing exhibits A and Bto declaration of W. Buist,
`PX366
`
`SISS Functional ~pacifications version 2.1, 02/16/88, OX 445, OTX 445
`
`Overview re SPATS; the Electronic Broker, OX 446, DTX 446
`
`Status review specialist support system study NYSE, 04/10/86, DX 447,
`DTX 447
`
`INTEX Trading Screen shots, 01/01/2001, OX 10, eS 0003542-eS 0003543,
`DTX10
`
`Sample screens of APT system, OX 150, DTX 150
`
`24
`
`25
`
`26
`
`27
`
`28
`
`29
`
`30
`
`Date
`/Jeanne Clark/
`09/26/2008
`Considered
`"EXAMINER: lntUallf reference considered, whether or not clleUon Is In conformance with MPEP 609. D111w line through cllaUon If not In conformance and not
`constderud. Include copy of this form with next c:ommunlcallon to applicant.
`1 Applicenfs unique cltetion deslgnaUon number (optional). 2 Applicant 18 to place a check mark here If English language Translation Ia attached.
`This collection oflnfonnaUon Is required by 37 CFR 1.98. The lnfonneUon Is requlrvd to obtain or retain a beneftt by the public which Ia lo file (and by the USPTO
`to process) an appllcaUon. Conlldenl/allly Is govemed by 35 U.S.C. 122 and 37 CFR 1.14. This collacUon Is estimated to lake 2 noumto completa,lncludlng
`gathering, Pf8P&rlng, and submlttJng the complated oppUcatlon form to lho USPTO. Time wiD vary depending upon the Individual cese. Any c;ommenta on the
`amount of time you reqt.Jire to complete thls form end/or suggesUons for reducing this burden, should be sent to the Chief lnformaHon Offlcar, U.S. Patent end
`Tredtmarf< Office, 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. ·
`
`If you need esslstenceln compleUng the form, cai11·80D-PTD-9199 (1·800.786-9199) and select option 2.
`
`Page 3 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PTOISBJOBB (11..07)
`Approved tor use through 1113012007. OMB 0651..0031
`U.S. Patent and Trademllllk Ol!lce; U.S. DEPARTMENT OF COMMERCE
`Under the PapeiWOill ReducUon Act of 1995 no oersons are required to respond to a cotlectioo of lnfonnaUon unless It contains a valid OMB control number.
`Complete If Kn.own
`
`90/008,576
`05-25·2007
`
`"
`
`rsubslitute for fonn 1449/PTO
`
`AppllcaUon Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use es many sheets as necessary}
`
`~heet 14
`
`I of 120
`
`s,n2,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07·1021-US-REX-1
`
`Examiner Name
`
`Examiner Cite
`No.1
`Initials*
`
`31
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETTERS), title of the articre (when appropriate), tiUe of
`the item (book, magazine, joumal, serial, symposium, catalog, etc.), date, page(s), volume-Issue
`numberCs), publisher, city and/or country where published.
`.
`Photo of trader w/ APT screen, OX 151, LIFFE 0016'7-LIFFE 00168, OTX
`151
`
`T2
`
`32 APT User Guide, 01/00/94, OX 152, LIFFE 000262-LIFFE 000363, OTX 152
`
`33
`
`34
`
`35
`
`LIFFE guide/pamphlet, OX 148, OTX 148
`
`Release Notes- Market Trader V5.2a, 03/18/99, OX 617, G 118137-G
`118152, OTX 617
`
`MIDAS KAPITI Delivery Note and Release Note- Market Trader V5.2b,
`03/31/1999, OX 619, G 096511-G 096527, DTX 619
`
`36 MIDAS KAPITI Release Notes- Market Trader V5.2e, 04/12/1999, OX 620, G
`096694- G 096711, DTX 620
`
`37
`
`38
`
`MIDAS KAPITI Release Notes- Market Trader V5.2, OX 621, G 096712 -G
`096727, DTX 621, 05/26/99
`
`MIDAS KAPITI Release Notes - Market Trader V5.2e, OX 622, G 096728-
`G 096754, DTX 622, 06/01/99
`
`39 MIDAS KAPITI Delivery Note and Release Note- Market Trader V5.2e, OX 623,
`G 105641- G 1 05667, DTX 623, 5/26/99
`
`40 Drawing of 1997 TSE terminal by H. KIDA, OX 624, DTX 624
`
`Date
`/Jeanne Clark/
`09/26/2008
`Considered
`"EXAMINER: Initial If reference considered, whether or not citation Is In conformance with MPEP 609. Draw Une through cltaUon If notln c:onfonnance and not
`considered. lndude copy of this lonn with next communication to epplk:anl.
`1 Appllcanrs unique citation designation number (optional). 2 Applicant I& to place a dleck maf11 here If EngUsh language Translation Is attached.
`This colladlon of lnfonnaOon Is required by 37 .CFR 1.98. The lnfonnaUon Is required to obtain or retaJn a benellt by the pubUc which Is to file (and by the USPTO
`to process) an eppUcadon. Confldenliallly Is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collactlon Is aslimalad to take 2 houlS to oomplete,lndudlng
`gathetfng, preparing, and submitting the completed appUcallon form to the USPTO. Time will vary depending upon the Individual ca5e. Any commanta on the
`amounl of Ume you require to completa this form and/or augg011Uonc for reducing this burden, should be sent to the Chief lnfonnaUon Officer, U.S. Patent and
`Trademarll: Office, 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.
`
`If you need assistance In completing the form, cei/ 1-80()..PT0.9199 (1-800.786-9199) end select option 2.
`
`Page 4 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./ .
`PTOJSB/088{11-47>
`Appmved for use through 1113012007. OMB 0651-0031
`.
`U.S. Patent and Tredemarlt Office; U.S. DEPARTMENT OF COMMERCE
`Under the Peoerwork ReducUon Act or 1eg5, no DBrSone a1a rec~ulred to ~119rul lo a <:OIIection or Information unless It contains a valid OMB c:ontrol num er.
`b
`"'\
`Complete It Known
`
`/..
`Substitute for form 144gJPTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use as many sheets as necessary}
`
`Sheet
`
`js
`
`l of l2o
`
`90/008,576 .
`05-25-2007
`
`e,n2,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07·1021·US-REX-1
`
`Examiner Name
`
`Examiner
`Initials•
`
`Cite
`No.1
`
`41
`
`42
`
`43
`
`44
`
`45
`
`46
`
`47
`
`48
`
`49
`
`50
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETTERS), title of the article (when appropriate), title of
`the Hem {book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`number(~ublisher ~and/or coufl!!y where _Qublished.
`Directory of Software Solutions for LIFFE Connect, 02/0099, DX 156, DTX
`156
`
`Tz
`
`ScreenShots: Patsystem "Canned" Demo, 02/00/97, DX 120, PATS 00545-
`PATS 00559, DTX 120
`
`PTS Client Version 2.1 F, OX 119, PATS 00067 -PATS 00082, DTX 119
`
`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, 1 0/00/1998, OX
`155, DTX 155
`
`Trading Technologies Trader System User Docume.ntatlon, 04/01 /98, Release
`3.10, OX 3, TT 015867-TT 015955, DTX 3
`
`Aurora Chicago Board of Trade Brochure, 1990, ES0021230-ES0021241
`
`Ecco Consulting Study Report MEFF'Software Systems, 3/ 17/1999,
`ES0060578-ES0060591
`
`Osaka Stock Exchange Manual (Japanese Document), 4/1996
`REFC00009773-REFC00009826
`
`TIFFE Manual (Japanese Document}, 1/1996, REFC00010861-
`REFC0001121 0,
`
`Date
`/Jeanne Clark/
`09/26/2008
`Considered
`INER: lnlUal Jr reference considered, whether or not dtaUon Is In conformance with MPEP 609. Drew Una through citation It not In confonnance and not
`considered. Include copy of this form with next communlcaUon to appl canl
`1 Appllcanfs unique cltaUon deslgnaUon number (opUonal). 2 Applicant Is to place a check mark here If EngD&h language TranstaUon Is attached.
`This collecllon ot JntormaUon Is required by 37 CFR 1.98. The lnformaUon Is required to obtain or retain a benefit by the publlc which Is to me (and by the USPTO
`to process) an application. Confidentiality Is governed by 35 U.S.C. 122 11/ld 37 CFR 1.14. This collacUon Is esUmateclto take 2 hours to oomplets,lncludlng
`gathering, preparing, and submlWng the completed application form to the USPTO. Time will vary depending upon lha lndtVIduel c:ase. Any comments on the
`amount of time you require to complete this form and/or suggestions for reducing lhls burden, should be 681lt to the Chief lnfonnaUon Offlc&r, U.S. Patent ancl
`Trademark Office, P.O. Bo~ 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.
`
`II you need assistance In completing the form, CBI/1-800-PT0-9199 (1-800-786-9199) end select option 2.
`
`Page 5 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PTo/SB/088(11-07)
`Approved for use through 1 t/3012007. OMB 0651-0031
`U.S. Patent and Tradellllll1t Office; U.S. DEPARTMENT OF COMMERCE
`rol
`r.
`be
`num
`Under the Panerworl< Reduction Act of 1995 no oersons ere req_ulred to reaoond toe collection oflnformatlon un~ss It contains e vald OMB coni
`Complete 11 Known
`~
`
`rsubsUlule for form 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`90/008,576
`05-25-2007
`
`6,772,132
`3993
`
`(Use as many sheets as ne~;esnry}
`
`Sheet Is
`
`I of 120
`
`Examiner Name
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US-REX-1
`
`Examiner Cite
`No.1
`lnllials•
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETIERS), title of the article (when appropriate), tiUe of
`the item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-Issue
`number(s), publisher, city_ and/or countty where j>_ublished.
`·
`
`T2
`
`51
`
`Final Detailed Design Document NYMEX ACCESS, 5/5/1992,
`eS0003127-eS0003541
`
`52 The Application Program Interface (API) Reference Manual for LIFFE Connect,
`Release 2.7, 9/1998, DDX 163, DTX 163, eS00059868-eS00059958
`
`OM CLICK Trade User's Guide for Windows NT, 1 0/00/1998,
`eS00064671-eS00064773
`
`Swiss Exchange SWX Exchange TS User Manual V2.1, 12/31/1998
`
`53
`
`54
`
`55 GLOBEX Members Handbook, 6/00/1992, DX632, DTX632,
`eS00697 4-eS0069818
`
`56 GLOBEX User Guide, 1/00/1997, OX 663, DTX 663, eS0069819·eS0070081
`
`57
`
`58
`
`Chicago Mercantile Exchange (CME) GLOBEX Brochure, 3/30/1989, DX634,
`DTX634, eS003958-eS0003981
`
`The Complete GLOBEX2 Handbook, 5/00/1998, DX635, DTX635,
`CME-E001 0679-001 0891
`
`59 The Complete GLOBEX2 Handbook, 7/00/1998, DX637, DTX637, CME-E
`014048- CME-E 014286
`
`60 MINEX Service Outline User Test/Orientation, 9/1992, eS0064647- eS0064670
`
`Date
`09/26/2008
`/Jeanne Clark/
`Considered
`"EXAMINER: lniUellf reference considered, whether or not atellon lsln confonnance w1111 MPEP 609. Drew line through cltaUon If not In confOrmance and not
`considered. Include copy of this form wflh next communication to appllcent.
`1 Appticanrs unique citation designation number (optional). 2 Appll!!anl Is to place a chedc mart here If EngN&h language TranalaUon Is attached.
`Thbi collec:Uon of Information Is required by 37 CFR 1.98. Tho Information Is required to oblaln or retain a benefit by the public whlch Is to Ne (and by !he USPTO
`to pri)Cess) an appllcallon. ConfldenUaUty is govemed by 35 U.S.C.122 and 37 CFR 1.14. Thls collecllon Is esUmated to tel<e 2 houre to complete, Including
`gathering, preparing, and submitting lhe completed application form to the USPTO. Time wHI vary depending upon the Individual casa. Any comments on the
`amount of time you require to complete this form and/or suggestions for reducing tills burden, should be sent to the Chief Information Officer, U.S. Patent and
`Trademark Office, P.O. Box 1450, AleXandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commls&loner for Patent&, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance In completing the form, cs/11-800-PT0-9199 {1-800-786-9199} end select option 2.
`
`Page 6 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PToJSBI088 111.o7>
`Approved fen uselhrough 1113012007. OMS 0651.0031
`U.S. Patent and Trademark Offcce; U.S. DEPARTMENT OF COMMERCE
`Under the Pal)erwork Rectudfon Act Qf 1995 no l)ersons are ret~Wed to ~~ to a collection oflnlonnat!on unless II OO!ltalns a valid OMB cootrol !lUmber.
`Complete It Known
`~
`
`fsubsUtute for form 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use as many sheets as necess81)1)
`
`~heet 17
`
`I of 120
`
`90/008,576
`05-25-2007
`
`s,n2,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US-REX-1
`
`Examiner Name
`
`Examiner Cite
`No.1
`Initials*
`
`61
`
`62
`
`63
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETTERS), title of the article (when appropriate), title of
`the Item (book, magazlne, journal, serial, symposium, catalog, etc.), date, page(s), volume-Issue
`numbe@), publisher city and/or country where published.
`ORC Instructions for Use Version 2.2.8., 0/0/ 1999,
`eS0064775-eS0032572
`
`T2
`
`INTERACTIVE BROKERS, "Trade Futures Online with Interactive Brokers",
`5/9/2005, eS0032571- eS0032572
`
`NICHOLAS ECONOMIDES, "Electronic Call Market Trading", Journal of
`Portfolio Management, 2/00/1995, eS0069585-eS006961 0
`
`64 MAURO, KLEIA, BUIST, 4/ 15/1999, EM 061 020 474 File Wrapper
`
`65 GL WIN Trade Manual Version 4.50, 3/3/1999, G0025683-G0025719
`
`66 TradePad lnstuctions (French), G0025748-G0025749
`
`·.
`
`67 TradePad.vsd Document, 2/9/1999, G011169-G0111670
`
`68
`
`GL WIN et Logiciels complementaires (French), 10//00/99,
`G009121-G009486
`
`69 Memo re: Dual ACCESS Version 4.5 release, 3/21/99, G0022956-G0022959:
`
`70 CAC and STOXX FUTURES on MATIF NSC VF Launch: 3/15/99,
`G0025669-G0025682
`
`Date
`/Jeanne Clark/
`Considered
`•EXAMINER: Initial If reference coosldered, whether or not cilation Is In conformance with MPEP 609. Draw fine lhrough citation If not In conformaOQ! and not
`considered. Include copy of this fonn with next oommunlcatlon to applicant.
`1 Appllcanfs unique citation designation number (optional). 2 Applicant Is to place a check mark here If English language Translation Is attached.
`This ootlecllon of lnrormaUon Is required by 37 CFR 1.98. The tntonnaJJon Is required to oblaln or retaln a benent by the pubOc which Is to file (and by the USPTO
`to process) an appllca1lon. Confldenllaflty Is govemed by 35 U.S.C. 122 and 37 CFR 1.14. This collecllon Is oaUmated to take 2 hours to oomplete, Including
`gathering. praparlng, and submltUng the oompletect application form to the USPTO. Time wfll vary depending upon the lndMdual case. Any oommenta on the
`amount of Ume you require to oomplete this form end/or suggestJons for reducing this burden, should ba sent to the Chief lnformaUon Officer, U.S. Patent and
`Trademark Office, P.O. 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.
`
`09/26/2008
`
`If you need assistance in completing the form, call1-800-PT0-9199 (1-800-788-9199) and select option 2.
`
`Page 7 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PTO/SB/088 (11.07)
`Approved tor use through 11130/2007. OMB 0651..()()31
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paoorworlc Reduction Act of 1995 no oersQilS ar11 re~ulfi!_d to resJlQnd to a collecllon of Information unless It contains a valid OMB control number.
`Complete If Known
`
`Substltllt8 for fonn 1449JPTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`'
`
`./
`
`T2
`
`(Use as many sheets es necessary~
`
`~heet Ja
`
`I of f2o.
`
`90/008,576
`05·25-2007
`
`s,n2,132
`3993
`Examiner Name
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US·REX-1
`
`Examiner Cite
`No.1
`Initials•
`
`71
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETIERS), title of the article (when appropriate), title of
`the item (book, magazine, journal, setial, symposium, catalog, etc.), date, page(s), volume-issue
`number(s), publisher city and/or country where published.
`LIFFE Connect Futures Release Note 050399.doc, 3/3/1998,
`G0111402-G0111407
`
`72 TradingPad.doc, 4/30/1999, G0112117-G0112122
`
`TradingPadUserManual.doc, 8/10/1999, G0112123-G0112131
`
`73
`
`74 FUTURES CAC et STOXX sur MATIF NSC VF (French), 3/15/99,
`G0118814-G0118828
`
`75 GL Trade Presentation (French), 4/25/1999, G0118989-G0119044
`
`76 LIFFE CONNECT FUTURES Functional Technical Issues to Resolve,
`4/12/2007, G0119049-G0119050
`
`n Member Participation in the Futures Market, 04/121~ 999, G0119196-G0119197
`
`78
`
`Email from PATRICIA GAUTHIER to Sam Page, 1/25/1999,
`G0119377 -G0119380
`
`79 LIFFE CONNECT ISV CIRCULAR NO: 001.99, 1/8/1999, G0119566-G0119568
`
`80 LIFFE CONNECT ISV CIRCULAR NO: 14.99, 3/211999, G0119583-G0119590
`
`Date
`/Jeanne Clark/
`09/26/2008
`Considered
`•EXAMINER: Initial If reference considered, whether or not citation Is In conformance with MPEP 609. Dmw Unelhrough citation If not In confonnanca and not
`considered. Include copy of this form with next communlcaUon to applicant.
`1 Appllcanrs unique cltaUon designation number (optional). 2 Applicant Is to place a check mark here If English language Translation Is attached.
`Thls coUectlon of tnfonnauon Is requlred by 37 CFR 1.98. The lnforma11onls requlr11d to obtain or retain a benefit by the pubUc which Is to fila (and by the USPTO
`to process) an eppllcaUon. ConfldenUellty Is governed by 35 U.S. C. 122 and 37 CFR 1.14. Thls coUecUon Is estimated to take 2 houralo complete, Including
`gathering, pr11parlng, and submitting the completed eppDcatlon fonn to the USPTO. Time will vary depending upon the Individual ca~>e. Any comments on the
`amount of Ume you require to complete this form and/or suggestions tor reducing this burden, should be sent to the Chief tnlormallon Officer, u.s. Patent and
`Trademark Ollic:e, P.O. Box 1450, AlaXBndrla, 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.
`
`If you need assistance In completing the fotm, cal/ 1-8()()..PTQ..9199 (1-800.788-9199) and se/6ct option 2.
`
`Page 8 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THRO~tjyejlL,~ 111rough 1113012~;=:5\1J:l
`
`U.S. Patent and Trade1'118111: Olf~ee; U.S. DEPARTMENT OF COMMERCE
`Under lhe Paperwolk ReducUoo Aet of 1995 no per.wns are required to resoond to a coOecUon of Information unless It contains a valid OMB control number.
`Complete If Known
`
`90/008,576
`05-25-2007
`
`'
`
`/;,ubstllute tor tonn 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use es many sheets as necessary)
`
`Sheet Is
`
`I of
`
`j20
`
`s,n2,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US-REX-1
`
`Examiner Name
`
`Examiner
`lnlllals*
`
`Cite
`No.1
`
`81
`
`82
`
`83
`
`84
`
`65
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETIERS), title of the article (when appropriate), title of
`the item (book, magazine, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`numbe~s), ~ublisher, cltv and/or country where published.
`·
`LIFFE CONNECT ISV CIRCULAR NO: 004.99, 1/15/1999,
`G119615-G0119616
`
`T2
`
`LIFFE CONNECT ISV CIRCULAR NO: 001.99, 1/15/199~,
`G0119617-G0119618
`
`LIFFE CONNECT ISV CIRCULAR NO: 008.98, 12/2811_998,
`G0119631-G0119632
`
`LIFFE CONNECT for FUTURES: Project Update 2, Meeting of 2/10/99,
`GO 119698-G0119704
`
`LIFFE CONNECT for FUTURES: Project Summary: 4/19/99,
`G0119705-G0119717
`
`86 Functional Enhancements for LIFEE CONNECT for FUTURES Project,
`4/12/1999, G0119718-G0119724
`
`87
`
`88
`
`89
`
`Functional Enhancements for LIFEE CONNECT for FUTURES Project,·4/12/99,
`G0119725-G0119745
`
`Functional Enhancements for LIFEE CONNECT for FUTURES Project,
`3/3/99
`
`Installation, Market Entry Test, and Technical Dress Rehearsal Summary,
`2/23/99
`
`90 GL Trade Checklist-Installation Requirements for FUTURES, Jan. 1999,
`G0119795-G0119798
`
`Date
`09/26/2008
`/Jeanne Clark/
`Consider-ed
`"EXAMINER: Initial It referanee considered, whether or not citation Ia In conformance wllh MPEP 609. Drew Une lhrough cllellon It not In conformance and not
`consldared. Include copy of lhls form with next communication to applicant
`.
`1 Applcanrs unique cltaUon designation number (optional). 2 Appllcent is to placa a check mark here It English language Translation Is attached.
`This coilecUon of fnformallon Is required by 37 CFR 1.98. The Information 18 required to obtain or releln a bensftt by the public which Is to me (and by the USPTO
`to proc:ess) an applicaUon. Confldentlallty Ia governed by 35 U.S.C. 122 end 37 CFR 1:14. This collection Is estimated to take 2 houre 1o complete, 11\Qfudlng
`gathering. preparing, and submlt1fng lhe complated eppllcaUon ronn to the USPTO. Tlma wiD VBI'f depending upon lhe lndMdual case. Any comments on lha
`amount ot Ume )'OU require to complete tlis form and/or suggestions for raduclng tlis burden, should be sent to the Chief Information Officer, U.S. Patent and
`Tradernerk Offlca, P.O. Box 1450, Ale><Bndrla, VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commlsslonar for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need assistance In rompleUng the form, ce/11-800-PT0-9199 (1-800-786-9199) and S91ect opUon 2.
`
`Page 9 of20
`
`

`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH. /J.C./
`PTO/SB/088 (11-07)
`Approved for use through 1113012007. OMS OSS1-0031
`U.S. Patent and Trademark Oftlce; U.S. DEPARTMENT OF COMMERCE
`Under the PB!I81Work Reduction Act of 1995 no pef$00$ &18 raqultad to rasoond lo a coDecllon of Information unless II contains e valid OMB control number.
`Complete If Known
`
`rsubsUtute for form 1449/FTO
`
`'
`
`AppllcaUon Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`90/008,576
`05-25-2007
`
`(Use es many sheets as nar:assety]
`
`Sheet 110
`
`1 of 12o
`
`6,772,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US-AEX-1
`
`Examiner Name
`
`Examiner Cite
`1
`Initials*
`No.
`
`91
`
`92
`
`93
`
`94
`
`95
`
`98
`
`97
`
`98
`
`99
`
`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
`number(s). publiSher, city and/or country where published.
`Keyboard example, 213/2006, G007308-G007310
`
`T2
`
`GL Brochure, G0021652-21658
`
`GL Cost and Services, 00/00/1998, G01 08876
`
`GL Win Summary (French), 6/00/1998, G0091004-G0091046
`
`Globex brochure, DTX 17, 00/00/1989, eS0003958-eS0003981
`
`Swiss Exchange SWX- TS User Manual, 12/31/1998, DTX 2215,
`eS0032293-eS0032547
`
`Screen No. 1 00-0rder Book & Order Entry 1 (Single View),
`eS060637 -eS060639
`
`GLOBEX User Guide, 01/00/97, DDX 633, DTX 633, eS069819-eS070081
`
`LIFFE APT User Guide, 01/00/1994, LIFFE000262-LIFFE000363
`
`100
`
`PTS trading application Version 1.1 Beta H.1, 3/31 /1998, DDX 118, DTX 118,
`PATS00560-PATS00560
`
`Date
`/Jeanne Clark/
`09/26/2008
`Considered
`'EXAMINER: lniUallt reference consld818d, whether or not ci18Uon Is In conformance with MPEP 609. Draw Bne through cltatJon If not In conformanr:e and not
`consldarad. Include copy of thb fonn wtlh next convnunlcatlon to appllcanl
`·
`1 Appllcanrs unique citation designation number (optional). 2 Applicant Is to place a chedc mark here II EngUsh language Translation Is attar:hed.
`This collacUon of lnfonnaUon Is required by 37 CFR 1.98. Tha lnfonnalfon Is required to obtaln or retain e benefit by tho pubUc which Is to file (and by the USPTO
`to proce&a) an appUcatlon. Confldentlallty Is govemad by 35 U.S.C.122 and 37 CFR 1.14. This collection Is estimated to take 2 hours to completo, Including
`gathering, preparing, and submitting the completed appllr:allon ronn to the USPTO. Thne will vary depending upon tile indMdual case. Any comments on the
`amount of llm(l you requite to complete this fonn and/or suggestions for reducing thla burden, should be sontlo the CNef Information otroc;er, U.S. Patent and
`Trademark otflca, P.O. 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 Z2313·1450.
`
`ffyou need essistance In comp/ellng the fonn, ca//1-800-PT0-9