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`·.091590-;-692
`0610912000
`Garv Allan Kemp 11
`3624
`R. Welaberaer
`.024051..()135
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`t'l UIWA.IIJ (08-oQ)
`AppllMid for use through 10131/2002. OMS 0651-0031
`U.S. Patent and Trad=mark Office: U.S. DEPARTMENT OF COMNERCE
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`Date Submitted: November 12, 2003
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`U.S. PATENT DOCUMENTS
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`II'\Ciude name of the author (In CAPITAL LETTERS), Iitle of the arucJe {Whan.appropriate), title ot' the Item
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`TRADING TECH EXHIBIT 2042
`IBG ET AL. v. TRADING TECH
`CBM2015-00182
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`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control
`1" '
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`~""
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`Substitute for f<;>rm 1449B/PTO
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Date Submitted: November 12, 2002
`
`\o..Sheet
`
`(use as many sheets as necessary)
`I ot I 1
`I 1
`
`Application Number
`Filing Date
`First Named Inventor
`Group Art Unit
`Examiner Name
`
`Attorney Docket Number
`
`U.S. PATENT DOCUMENTS
`
`Complete if Known
`09/590,692
`06/09/2000
`Gary Allan Kemp II
`3624
`R. Weisberger
`024051-0135
`
`~
`
`U.S. Patent Document
`Kind
`Code2 (if
`known)
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`Number
`
`Name of Patentee or Applicant of
`Cited Document
`
`Date of Publication of
`Cited Document
`MM-DD-YYYY
`
`Pages, Columns, Lines,
`Where Relevant
`Passages or Relevant
`Figures Appear
`
`Examiner Cite
`No. 1
`Initials*
`
`A
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`~ z
`
`'/I
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`A1
`A2
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`SILVERMAN et al.
`FRITSCH et al.
`BUIST
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`12/31/1991
`08/04/1992
`02/21/2002
`06/18/2092
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`Foreign Patent Document
`Kind Code5
`Office3
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`wo 00/62187
`wo 01/16852
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`/
`II
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`I
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`A6
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`MM-DD-YYYY
`
`Name of Patentee or
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`
`Pages, Columns, Lines,
`Where Relevant
`Passages or Relevant
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`Ts
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`PCT
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`09/08/2000
`10/19/2000
`03/08/2001
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`publisher, city and/or country where published.
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`EXAMINER.
`lmt1al 1f reference cons1dered, whether or not c1tat1on IS 1n confo~mance w1th MPEP 609. Draw line through Citation 1f not 1n conformance and not
`considered. Include copy of this form with next communication to applicant.
`1 Unique citation designation number. 2See attached Kinds of U.S. Patent Documents. 3Enter Office that issued the document, by the two-letter code {WIPO
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`INFORMAnON DISCLOSURE
`STATEMENT BV APPUCANT
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`Date Submitted: Oclcber 20, 2003
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`eum,,_ 1 Cit•
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`5,946.667
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`Nama cf Patantee Ot Applicant Of
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`Page£J, ColumN, linu.
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`LUPIEN etal.
`TULL JR. et a.l.
`ST ALLAERT et al.
`AllENetal.
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`02/2011990
`0313111992
`06131/1999
`0310712000
`0912612002
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`

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`PATENT
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`Copy
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`E
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`ATTY.
`
`024051/01
`A,,::IPL,...;ANT
`
`Paoe 1 of 1
`
`~FRIA NO.
`09/590,692
`
`INFORMATION DISCLOSURE CIT
`
`Gary Alan KEMP II et al.
`
`Date: March 12, 2002
`
`(Use several sheets if
`
`~~ FILING DATE
`~ \1.
`~.}
`June 9, 2000
`~f"A
`• .;;J.
`;S. ~~flo/ DOCUMENTS
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`
`GROUP ART UNIT
`
`2164
`
`EXAMINER
`INITIAL
`
`REF
`
`DOCUMENT NO.
`
`-
`
`DATE
`
`NAME
`
`CLASS
`
`SUB-
`CLASS
`
`FILING DATE
`IF
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`REF
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`DOCUMENT
`NUMBER
`
`DATE
`
`COUNTRY
`
`CLASS
`
`SUB-
`CLASS
`
`TRANS! ATION
`
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`OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, Etc.)
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`USPTO Presentation, NASDAQ, November 8, 2001, enclosed pages 1-13.
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`EXAMINER ~_____--~ DATE CONSIDERED ~
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`in
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`and not considered.
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`any copy of this
`with next
`on to applicant.
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`
`Page 4 of 7
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`

`
`..
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`Form PT0-1449
`(MODIFJtb) -~-.!-
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`024051/0135
`
`INFORMATION DISCLOSURE CITATION
`
`APPLICANT
`
`Gary Alan KEMP II et al.
`
`Date: October 17, 2001
`
`FILING DATE
`
`GROUP ART UNIT
`
`(Use several sheets if necessary)
`
`June 9, 2000
`
`2164
`
`U.S. PATENT DOCUMENTS
`
`REF
`
`DOCUMENT
`NUMBER
`
`DATE
`
`NAME
`
`CLASS
`
`5,03?,284
`
`08/06/1991
`
`KRAMER
`
`5,297;,031
`
`5,689,651
`
`03/22/1994
`
`11/18/1997
`
`GUTTERMAN et al.
`
`LOZMAN
`
`5,774,877
`
`06/30/1998
`
`PATTERSON, JR. et al.
`
`5,79?,3.01
`
`08/11/1998
`
`PATTERSON, JR. et al.
`
`5,797,002
`
`08/18/1998
`
`PATTERSON, JR. et al.
`
`5,84~.266
`
`5,915.?45
`
`A8
`
`12/01/1998
`
`LUPIEN etal.
`
`06/22/1999
`
`PATTERSON, JR. et al:
`
`364
`
`364
`
`395
`
`705
`
`340
`
`395
`
`705
`
`705
`
`705
`
`SUB-
`CLASS
`
`FILING DATE
`IF
`APPROPRIATE
`
`408
`
`408
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`~ A1
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`6,014,643
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`01/11/2000
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`08/21/2001
`
`KORHAMMER et al.
`
`' 6,282:521
`
`08/28/2001
`
`HOWORKA
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`FOREIGN PATENT DOCUMENTS
`
`705
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`705
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`705
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`705
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`705
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`705
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`705
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`DOCUMENT
`NUMBER
`
`DATE
`
`COUNTRY
`
`CLASS
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`TR.AN~I A. TION
`YES I NO
`
`OTHER DOCUMENTS (Including Author, Title, Date, Pertinent Pages, Etc.)
`
`/c;~·'}&:~ L
`EXAMINER: Initial if citation considered, whether or not citation is in conformance with MPEP 609; Draw
`line through citation if not in conformance and not considered. Include any copy of this form with next
`communication to applicant.
`
`DATE CONSI z L
`
`EXAM I~ L
`
`*
`
`002.653132
`
`Page 5 of 7
`
`

`
`.. ~....
`
`. -
`
`SHEET 1 of 1
`FOR~1-PTO 1449 (modified)
`
`••
`
`U.S. DEPARTMENT OF COMMERCE
`PATENT AND TRADEMARK OFFICE
`
`ATTY DOCKET NO.
`024051/0135
`
`~
`
`~RIAL NO.
`590,692
`
`LIST OF REFERENCES CITED BY APPLICANT(S)
`(Use several sheets if necessary)
`
`Date Submitted to PTO: August 21, 2000
`
`APPLICANT:
`Gary Alan KEMP II et al.
`FILING DATE:
`June 9, 2000
`U.S. PATENT DOCUMENTS
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`4,750,135
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`5,270,922
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`5,297,032
`
`5,924,083
`
`"'014 1'\41
`
`DATE
`
`NAME
`
`CLASS
`
`SUBCLASS
`
`FILING DATE IF
`APPROPRIATE
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`06/16/87
`06/07/88
`
`12/14/93
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`03/22/94
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`YES
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`I DATE CONSIDERED
`!ptff,/./
`*EXAMINER: Initial if reference considered, whether or not citation is in conformance with MPEP 6®: Dr;~ line throu h citation if not in
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`J'
`
`002.375267.1
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`Page 6 of 7
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`\
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`MODIFfED PTO/SB/08 (08-00)
`•
`use through 10/31/2002.'Q.,~B 0651-0031
`Approv
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`.. •.
`~·
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control
`number
`
`•
`
`,.
`
`Substitute for form 14498/PTO
`INFORMATION DISCLOSURE
`STATEMENT BY APPLICANT
`
`Date Submitted: October 20, 2003
`
`(use as many sheets as necessary)
`I of 11
`I 1
`
`Application Number
`Filing Date
`First Named Inventor
`Group Art Unit
`Examiner Name
`Attorney Docket Number
`
`Complete if Known
`09/590,692
`06/09/2000
`Gary Allan Kemp II
`3624
`R. WeisberQer
`024051-0135
`
`~
`
`~
`
`,
`
`\.,Sheet
`
`Examiner Cite
`No. 1
`Initials*
`
`U.S. Patent Document
`Kind
`Code2 (if
`known)
`
`Number
`
`Name of Patentee or Applicant of
`Cited Document
`
`Date of Publication of
`Cited Document
`MM-DD-YYYY
`
`Pages, Columns, Lines,
`Where Relevant
`Passages or Relevant
`Figures Appear
`
`U.S. PATENT DOCUMENTS
`
`A1
`A2
`A3
`A4
`AS
`
`4,903,201
`5,101,353
`5,946,667
`6,035,287
`2002/0138401
`
`A1
`
`WAGNER
`LUPIEN et al.
`TULL, JR. et al.
`STALLAERT et al.
`ALLEN et al.
`
`02/20/1990
`03/3111992
`08/3111999
`03/07/2000
`09/26/2002
`
`-
`
`Examiner Cite
`No. 1
`Initials*
`
`A6
`A7
`
`Foreign Patent Document
`Kind Code"
`Number4
`Office3
`(if known)
`PCT wo 95/26005
`S. H. BELZBERG
`A1
`PCT wo 99/30259
`A1 NIPPON STEEL
`CORPORATION
`
`FOREIGN PATENT DOCUMENTS
`Date of Publication of
`Cited Document
`MM-DD-YYYY
`
`Name of Patentee or
`Applicant of Cited Documents
`
`Pages, Columns, lines,
`Where Relevant
`Passages or Relevant
`Figures Appear
`
`T'
`
`09/28/1995
`06/17/1999
`
`I
`
`NON PATENT LITERATURE DOCUMENTS
`
`I ~xamiiler
`
`~ignature
`•EXAMINER Initial if reference considered, whether or not citation is in conformance with MPEP 609.
`considered. Include copy of this form with next communication to applicant.
`1 Unique citation designation number. 2See attached Kinds of U.S. Patent Documents. 3Enter Office that issued the document, by the two-letter code (WIPO
`Standard ST.3}. 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
`"Kind of document by the appropriate symbols as indicated on the document under WI PO Standard ST. 16 If possible. "Applicant is to place a check mark here if
`English language Translation is attached.
`Burden Hour Statement: This form is estimated to take 2.0 hours to complete. Time will vary depending upon the needs of the individual case. Any comments on
`the amount of time you are required to complete this form should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, PO Box 1450,
`Alexandria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, PO Box 1450,
`Alexandria, Virginia 22313-1450.
`
`Date
`Considered
`
`Draw line through citation if not in conformance and not
`
`I
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`I
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`Page 7 of 7