PTOISBIOBB (11.07)
`Appnwed lor uae !Nougll 1113012007. OMB 0651 ·003 1
`U.S. Patent and Tradematk Oftlce; U.S. DEPARTMENT OF COMMERCE
`Under lhe Pa~ Reduetlan Ael ol 1896. no ll_o,.~IJIJ _reaulnld to ,.aoonc~ to • colledlon of Information Ul'deoa It """"'1M a Ylllld OMB control number.
`Complete tf Known
`
`rsuballtule for form 14-CM"TO
`
`Appllc:atlon Number
`INFORMATION DISCLOSURE Filing Data
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`90/008,576
`
`05-25-2007
`
`6,772,132
`
`'
`
`(lise •• many s/t"llf u nee .. sety}
`
`~heet 1111
`
`I of }I.a.
`
`Examiner Name
`
`3993
`Jeanne Marie Clark
`Attomey Docket Number 07-1021 ·US-REX-1
`
`Examiner Cite
`Initials•
`No.'
`
`!..,. .....
`
`r
`
`8
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETIERS), tJtle of the article (when appropriate), tiUe of
`the Item (book, magazine, journal, serial, symposium, catalog, etc.), date, page( a), volume-issue
`number(s), publisher city and/or count!)' where published.
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`I Date
`Considered I 2/ 2-'t/u y-
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`' EXAMINER: ~~~~,_ coftsldered, wllelher or not citation Is In conformance wflh MPEP 609. Draw line through elletJon U notlft conformance and not
`copy of IIlia lorm ""lh next cornmunlcaUon to applleen~
`c:oneklerocl. lnd
`.
`I Appllcanre unique d lallon dealgnallon number (optional). 2 Applicant If to ptaco a cllocll m1llk hera N En~all la"'IU•B• Trenatatloro Ia -clllld.
`Thta ~lec:lloro or lnformaUon Ia requlracl by 37 CFR 1.98. The lnf01111aUon Ia raqufrod 1o obtain or reiAIIn a b-RI by the pwbllc w~ll::h lalo file (and fir the USPTO
`lo proce&a) an appllcaUon. ConfklonUallly 18 governed by 3S u.s.c. 122 - 37 CFR 1.14. Thle collection Is e•llmeled to lake 2 lloura 1o comptete, lnc!udlng
`gathOflng, prepa11ng, end aubmhtlng the CQmpleted eppllcatlon form to the USP'TO. Time will vary depending upon 1118 IndiVIdual caae. Any cornmenl8 on tho
`8111011\1 or lime you requite to complete this ronn and/or euggntlons lot ,.dumg this bulden. ahould lie aenl 1o lho Chlol lnlormatton Ofllcor, U.S. Patane lt1d
`Tllldamat11 Olllce, P.O. Box 1450, Aleaendrlo, VA 2231).1.50. DO NOT SENO FEES OR COMPLET£0 FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for PatentB, P.O. Box 1450, Alexandrfa, VA 22313-1450.
`If you nNd ess/srsnce In f:omplwllng !he ronn. can 1-6oo-PT0.9199 (1-800.788-9199) snd w eet opt10112.
`
`Page 1 of38
`
`TRADING TECH EXIDBIT 2044
`IBG ET AL. v. TRADING TECH
`CBM2015-00182
`
`

`
`PTOISIIIOB8 (I I -47)
`Approvecllot uae II'IIWgh 1113012007. OMB 08S 1.0031
`U.S. Palen! and Tnclem8111 Olllce; U.S. DEPARTMENT OF COMMERCE
`Under llle Pao-0111 Red\lcllon Act ol11t5 no .,,.,..,.., are lllll\llred to nta]IOnd to • mllec\IQn of Information unless It c;onllllns a valid Qt.tB mn1m1 number.
`Compfetelf Known
`
`/;ulltUtllto lor form 1+48/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Vn n many •h"~ u , . ... IIIYJ
`
`'Sheet lt/16
`
`1 or 11.b.
`
`901008,576
`05·25·2007
`
`e,n2,132
`3993
`Examiner Name
`Jeanne Marla Clark
`Attomey Docket Number 07·1021·US-REX·1
`
`'
`
`./
`
`T2
`
`-
`
`EKamlner Cite
`No.1
`Initials•
`
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`I orao hv r.t Trade 06/00/99, ox 385,
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`r-.
`
`CAC and STOXX Futures on MATIF NSC VF Launch: 3/15199, OX 537, G
`
`Email from WATTIER toM. Cartier attaching Matif VF: V4.50 manual,
`3130/1998, OX 592, MC000046-MC000116, DTX 592
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of tho author (in CAPITAL LETTERS), tiUo of the article (when appropriate), title of
`the Item (bOok, magazine, joumal, serial, symposium, catalog, etc.). date, page(s). volume-Issue
`number~,J~ubllsher, cl1v andfor country where published.
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`~ - GL WIN Version 4.50, 03/03199, OX 538, G 107459-G 107480, DTX 538
`;~ -- Trading Pad User Manual, 08/10/99~ OX 539, G 112123-G 112131, OTX 539
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`UFFE Connect for ·Futures User Guide V4.50, 02100199, DX 593, G 122900·G
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`G 123439-G 123477, DTX 598
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`User Guide V4.60 LIFFE Connect for Futures by GL Trade, 06/00/99, ox 605,
`G 123548-G 123603, DTX 605
`
`Date
`Considered
`tenca conslda18d. wtlelher or not cltallon b tn contotmanee with MPEP 609. Drew llnellwough dtallon If nolln confonnance and not
`'EXAMIHfR: lnt1lallf
`conaldel8d. lndude CIOPY of !Ills form wllll ,..,., c:ammunlc:atlon to applleam.
`1 Appltcanre unique dletlon dllslgnallon numbor (opllonaJ). 2 Appllcent b to place a ehock mallt 1\etell Engllsll lllft9UIIII& TnnelaUon Ia attadled.
`lnformallon b reqvllod by 37 CFR 1.98. The lniOII'I\allon lo fOqlllted to obtain"' retain a benent by 1t1o pulltlc which lo to flo (end by tho VSPTO
`ThJa c;ollectlon ol
`to PIOCN8) an appllc:aUon. ConlldenUallty It pernell by 35 U.S.C. 122 and 37 CFR 1.14. Tllla ca11ac:11on Is estimated ID lalla 2 hours ID c:ompteta. tnaudlng
`gathollng. pra....,ng, and oubmi!Ung the complellld epplleatlan '""" ID the USPTO. Tlmo wilt vary depending upon t11a lndMduel caaa. My c:ommenta on the
`,_ t of dmo you requtro to oomptele tl\b lorm end/01 suggntlona lor ntdlldng lhta burden, should be senl to 111e Clllel tnlormaUon 0111cer, U.S. Patent 011d
`Tntdemellt Oftlee. P.O. BOJC 1450. Alaranc!rla. VA 2231J. 1460. 00 NOT SEND FEES OR COMPLE'nOO FORMS TO THIS ADDRESS. SEND TO:
`Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`If you need BS&IsiiJIICB In comp/lltlng 11!9 form. r;aD 1·800-PT0-9199 (1·800-TBtJ-9199) endselflct option 2.
`
`Page 2 of38
`
`

`
`PTOISBIOSB ( 11.07)
`Approved lOt usa lhnlugh 1 113012007. OMB 06$1.()031
`U.S. Patent and Traclemarlc Ofllce; U.S. DEPARTIIENT OF COMMERC£
`~nclet the Pe!IO!'NOfl< Recludfon Acl ol1996 no.J!jlraona aro recaulracl to mi>Ond 1o a cotlectk>n ol lnlormaUon unlus H contal"' ft vlllld OMB control number.
`Complete if l{nown
`Appflc:allon Number
`90/008,576
`INFORMATION DISCLOSURE Filing Date
`05-25-2007
`STATEMENT BY APPLICANT Firat Named Inventor
`6,772,132
`Art Unit
`3993
`Examiner Name
`Jeanne Marie Clark
`Attorney Docket Number 07·1021-US-REX-1
`
`/sub!tiMa ,., form 144111PTO
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`(Use •• m•~ ., .. ,. •• nee•"-»
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`No.'
`Initials'
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of !he author (In CAPITAL LETIERS), title of the article (when appropriate). ttUe of
`the Item (book, magazine, journal, serial, symposium, c:atalog, etc.), date, page(s), volume-Issue
`number(s), publisher, ciiy and/or c:ountry where published.
`
`T2
`
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`
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`OTX 612
`
`~ Matif VF: V4.50 Manual, 3/30/1999, OX 612, MC 000047-MC 000116,
`i1.~ CAC and STOXX Futures on MATIFF NSC VF- Gl Win User Info Note,
`~
`
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`
`311511999, OX 626, CME·E11252·11265, OTX 626
`
`_,.., •v•etnod for Conducting Security Transactions Over a Computer
`•A "'·
`Networkv, MAURO & BUIST, 03/01/99, OX 196, eS 066150-eS 066229, DTX 196
`
`<::::::
`
`RCG's Presentation re WrtCapital, 4/22/2004, OX 208, RCG 0006~-RCG
`I DIX 208
`... 1\II.QO Certified Patent Application No. 09/292,552,4/15/1999, ox 209, eS
`065994-eS 0661 .. ::1,
`
`Various declarations Ae: Patent Ar ... ·
`' nn ••• v;;r;;ru( ( • I I 099907, OTX 284
`
`""· ·-· --·---,>~wll:., I II
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`,VI\
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`EVENSTREET Presentation prepared for National Discount Brokers,
`tQQQ nY~n1 ~'~ ..
`·-· ·::: ~ uvoolf,UIJI.;jUl
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`.. ,.. ...
`WIT OSM user interface instructions, 08/06/98, OX 427, CM 006591-CM
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`Presentation re WIT DSM ·~--
`"\JIVI UUts330, DTX 430
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`·-"!:. __ , , .. u ... -.. . .,.,., ~ ,.,,na 0')( 430, CM
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`WIT DSM Presentation re Info
`ox 4~1 ,.., ..
`-(.;M 004347, OTX 431
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`;mrl nAr.islon variables, 12/20/98,
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`'EXAMINER: lnltla!.~'anc:e conslelefacl, wMther or no! Citation b 11'1 conformance .,..Ill MPEP 608. Drawl/no tlwougll CltaUon II nolln conformance and not
`consldllrad. Include aJPY or thb form w1111 nexl commvnll:etlon to ~Ucanl.
`1 Appllc:ent'a unique dlaUon doel;naUon number (optional). 2 Applicant Ia to pleca 1 ChOCII marie here ~ Englfall languaga TraiUIIBUon I& auached.
`TJu. collectlon ollnlolmatlon Ia required bv 37 CFR 1.98. The lftlotmalloft Is roqulred to oblaln or •lllaln a benent by Ule pubic wlllcllla to rna (and bv U.o USPTO
`to p10ceu) an appUcaUon. Conftden11al•y Ia pamad bv 35 U.S.C. 122 end 37 CFR 1.14. TNe CQI!acUollla aellmatad to toko 2 ftoute to complola, lnc:l~
`g811le~ng, prapaJ1n;, and aubmllllf18 lila completed appllo:atlon lomt to tho USPTO. Time .,..Q vary depending upon the lndMdual ceae. Any commeRta on the
`amount or Ume you reQUire to CDrnpleto thla 1o1m anG'at auggesllonl far reducing tllb burden. should bot aant fa llle CNollnformalon Offtcer. U.S. Palonl end
`Tredomlltt Ofllc», P.O. Bo• 1•50. AIDJCandrta. VA 22313-1450, DO NOT S£NO FEES OR COMPLETED FORMS TO THIS ADDRESS. SI!HO TO:
`Commissioner for Patents, P.O. Boll 1450, Alexandria, VA 22313-1450.
`
`If you 1166d assistance In c:ompletlng the tonn. CB" t-Boo-PT0.9199 (1-80()-786-9199) and select oplJon 2.
`
`Page 3 of38
`
`

`
`PTOISBIOIB (11-47)
`ApproYecllor uae tl'ln~~~gllll/3012007. OMS 0651..()(131
`U.S. Plll8nt and Tradamaoil Olftce; U.S. DEPARTMENT OF COMMERCE
`Under tho Pai)OIIWOitt Roduc:tlon 1v;t o1 19115. no_l!!l- ere reaulrad to raaoond to a cottodiOI' of Information llnlaaa tt cornalns a valid OM8 wn1rol numbor.
`Complete tf NIOw,n
`~ubellt\JI& lorlorm 1448Jf>TO
`
`90/008,576
`05·25-2007
`
`6,772,132
`
`'
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(Use •• muy ,,...,. u neceual)'l
`
`~eet 13/16
`
`I of lt.b.
`
`Examiner Name
`
`3993
`Jeanne Marte Clark
`Attorney Docket Number 07·1021-US·AEX-1
`
`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, paga(s), volume-Issue
`number(s), publisher, city and/or country where J!Ubllshed.
`1 ~ ~c;r'-1::::> 1 HtET Presentation prepared for Flat1ro..
`OX 437, CM 007139-CM 007172, OTX 437
`
`00/00/1999,
`
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`
`~~~; ... , _,,.,_ ... --· . .; '· _.,,. • orA!Ientatlon to Goldman Sachs, OX 438, CM 004523-CM 004547,
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`009028-CM 009059, OJ x qqu
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`
`I WIT Caoital Corporation digital trading facility presentation. 03100/QQ ruc:A41,
`·oTX 441
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`... Lfacllltv. 00/00,1999 D.X-
`
`~r-c8plfalpdf operator manual for Diaital
`442, GM 006510-GM 006513, DTX 442
`
`1vvt:fVI8W re urgnar uamng Jacnny, Ul\ ....._,, vM UUb;jl:J·l..M uun:144, u r " - ,
`
`Utility Patent Application TransmiUal Re: Computer Trading System,
`Method and Interface, 4/1511999, MAURO, KLEIA, and BUIST, PX36B
`Photocopy of Disks ,.,.. .. ..,,,., .. , avhihit~tn ri"'"'"''"'''"" ntW . .B.uist,.
`SISS Functin,"'' ...
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`'EXAMINER: Initial If
`conslda.ed. Include copy of lhla form wUh nen ~rnunlcetlon to applicant.
`1 AppCce11ra unlquo dtallon doalgnadon number (optional). 2 Ajlpllcont Ia to pt- a c:llocll marl! hera If El1gllah lang118J18 Tranala!Jon Ia al1aehed.
`TIU eollaCIIOn of InformatiOn It required by 37 CFR 1.98. The tnronnaUon It ._trad to obtain or retain a benant by tile putllk: wlllch laiD ftla (and by the USPTO
`to procne) an appllclltlon. Contldentlatlly Ia oovemod lly 35 U.S.C. 122 and 37 CFR 1.14. Thla coltocUon Ia aalllnalad to tate 2IMIU18 to complele,lnctuOlng
`glllhefllliJ. IINPIII1n9. end 1ubmllllng the c;ompletOd apptlca.aon lorm to 1118 USPTO. Time wGI vaty depeJ~dlng upon tho tnciMc:lual caae. My communiS on tho
`emCNIIt or lime you roqult9 to complete 11111 form and/or euggastlolll !Dr ralllclng tills burden. should be eont to the Chlal lnformaUon Olllcar. U.S. Palen! and
`Trad..,.rl< Oftlce. P.O . Box 1450. Alaundlla, VA 2231:..1~50. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDReSS. SEND TO:
`Commfealone~ for Patents, P.O. Box 1450, Alexandria, VA ZUtl-1450.
`
`II you need eulsiiii'ICe In compi9Ung the fonn, cell t-800-PT0-9199 (1-800-786-9199} end select opllon 2.
`
`Page 4 of38
`
`

`
`PTOIS8108B (1 1-47)
`1\pptOved fer uaelllrougll11/3012007. OMS 0651.oo31
`U.S. Patane end Trad8fl\lllt Ol!lce; U.S. DEPARTMENT OF COMMERCE
`Uocler lhe P•DmWOII! Reduellon AJ;I. of 1995. no p~ are tiiCI.ulted 10 reaaond loa colleell011 o1J"I01~Uon ullleaa H contains a.:tf!lct.OM8 control number.
`:"'\
`Complete (f Known
`
`/;ubeUiu1elot lonn 1+111/PTO
`
`901008,576
`05-25·2007
`
`e,n2,132
`
`Application Number
`INFORMATION DISCLOSURE FlUng Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`./
`
`T2
`
`-
`
`(lin •• many •heota ., necea8111)')
`
`~tleet 14116
`
`J of Jtb.
`
`3993
`Examiner Name
`Jeanne Marie Clark
`Attorney Docket Number 07-1021-US-AEX-1
`
`E~eamlner Cite
`No.'
`Initials•
`
`c:: _
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETTERS), title of the article (when appropriate). tltle of
`the ltam (book. magazine, journal, serial, symposium, catalog, etc.), data, page(s), volume-Issue
`number{s), publisher. cltv andlor country where published.
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`users guide, 03120/98, DX 618, G100444-G100462, DTX 618
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`'EXAMINER: lniUallf re &19,_ co"sldared, wllelher 01 "ot cllllllon Ia Ill confotmance ..rill MPEP 809. Draw line lllrough clteUon U nolln confonnance and no1
`considered. lncaode copy ollhlt loom wftll neld com~lcellorllo apPicenl.
`I Appllcenf t unique c:flal!on deelgnlllon 111R11bar ·(opUOnel). 2 Applk:llnl r. to pia~ • cllect m8lk heov If Engllall language TrenalaUon Ia atledled.
`Tllla coltedlon of lnformauon It requlraO by 37 CFR 1.88. The lnfllrmallon Ia required to obtain 01 rslaln a benefll by lit public Wlllcll la to fila (and by tha USPTO
`10 proc.ae) en appllcellon. Conftdonllallly b pomed by 39 U.9 .C. 122 and 37 CFR I . 14. TN• c:oll8cllon b esllmal&d 10 lake 2 hcuraiO ccmplota. Including
`gatharlng. p,.pamo. and aullmllllng lha COfllplelecl appllcaiiOn tonn to lila USPTO. Time Will v.,., depandillg upon 111e llldMcSUal caae. Nly commenl8 on 111e
`amounl cl ..,_ yo<1 require 10 c:omptela lhla form end/01 suogeeUona for red\lc~ IIIIo bunten, ehOilld be eentlo llle Clllol lnlormolloft Officer. u.s. Pallllll ancl
`Trademalll omw, P.O. 8o• 1450, Al-ota. VA 22313-14SO. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO:
`Commlaaloner for Patent&. P.O. Bo• 1450, Alnondrta, VA 22313-1450.
`
`If you nflfld ani.tsnce In «Jmpletlng the fonn, call 1 ·Soo.PT0-9199 (1 -800-7 68-9199) snd fsl.ct opUon 2.
`
`Page 5 of38
`
`

`
`PTOISB/088 (11.()7)
`Approved lor 11110 lhfougll11/3012007. OMS 0651-0031
`U.S. Patent and Tradomet!t ~; U.S. DEPARTMENT OF COMMERCE
`Underlha
`Roclwl~ Act o/1895. no oa1110na ar , I8Ciulfed to reaocmd to • coD9CIIon of lnlorm:ollo" ""'•"" It conlalns a valid Ot.!B control number.
`Complete If Known
`~
`/sut~sutute lor form 1449/PTO
`
`.1
`
`90/008,576
`05-25-2007
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT Firat Named Inventor
`Art Unit
`
`(lhte •• many a/teen •• n11C11BIIaty}
`
`Sheet 15/18
`
`1 of 11.b.
`
`6,772,132
`3993
`Jeanne Marie Clark
`Attomey Docket Number 07-1021 ·US·REX-1
`
`Ellaminer Name
`
`./
`
`Examiner Cite
`No. 1
`Initials"
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAP IT A1. LETTERS), title of the article (when appropriate), title of
`the Item (book. magazine, joumal, serial, symposium , catalog, etc.), data, page(s),IIOiume-lssue
`number s
`ubllsher. cit and/or coun where ubllshed.
`
`MID
`03/31/1999, OX 619, G 096511 -G 096527, DTX 619
`
`Date
`Considered
`'eXAMINER: Initial If r !ltllnru c:omld~red, wllet.'l&r or not dlallon Is In coni~INlfiCO wltll MPEP 609. Orow line lluouQh diAIJon II not In confonnanee and ncl
`considered, lncludol WilY ol !h'e lom'l wllh n~xt c:ommunlcallon 10 8f'!'llcenl.
`, Ajlpllc:llll't un~Ul' C118llool deQIQnatlon numb(.; (opUo1laJ), 2 Appllcanlls lo plan a dledt matt llere If Engllah lenguage TmnalaUon Ill anadled.
`Thla 'XIIIocll~~ otlnlcnnollcn t. m~uiiQcS by 37 CFR U!a. The Information Is ro"'!red to ol>tain or rolafn a llenaRI by lh& pu~ wlllcllls 1o me (and by llle USPTO
`10 PIVCI,lU) e., 81)p!kl!UOn. Ccnfltler.UeiiiV L• gOYamall oy 35 u.s.c. 122 1111CI 31 CFR 1.14. Tt.!t ecllecllon Is e&Umatad 1o lalla Z hours to complele,lncludlng
`gathetii'Q. pr&petln(l, and eubmltti:lll lhe oomp;etvd appl!calton lonn to the USPTO. Tlme 0111 very depencllng upon lhe lndllltduat c:aao. Ally comment. on lhe
`ernount ot umo; yo~ requ~.t to co.nJ>lete U~'' !or.n afltJ/01 euggeoUOI\II r~ rect.JC!ng IIU burV&n, ahoutd be eam to lhe Chief lnformallon Olllcer, U.S. Pelanl and
`Tra1emal'll ORice, P.O. Boa 1(!10, Alexandria. VA 22l13·1450. 00 NO'r SEI!O FEE!! OR COMPLETED FORMS TO THIS AOORESS. SEND TO:
`Comml~&loller fQr .,ohntiJ, P.o. Box 1450, AlexandriD, VA :!2313-1450.
`
`II' yov fl9'3d oas/SIII$0 f11 compl&(l.l(J :lie ft:lrrn, ctJ/1 7-llOO·PT0-9 199 ( t-80t>-71l6·9 169} enrl 9819CI oplkltl 2.
`
`Page 6 of38
`
`

`
`Under the I
`
`PT0/881088 ( 11.07)
`Appn~~~ed lor ""'llwDugh 1113012007. Or.ll 0651-0031
`U.S. Patent end Tred&malk Ollk:e; U.S. OEPARTMEHT OF COMMERCE
`1 ReduetiOI\ Act ol 1895 no_fl_, ~~ reqult~JQ resoond II! a collection or lnkxmlltlon unless It coll4alne a valid OM8 c:ontml numbar.
`Complete If Known
`~
`
`rsub&tltute lor form 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT Firat Named Inventor
`Art Unit
`
`(the •• m•ny sheer. •• neceu•tYJ
`
`~heet 16116
`
`1 ot lt.b.
`
`90/008,576
`05·25-2007
`6,772,132
`3993
`Examiner Name
`Jeanne Marie Clark
`Attomey Docket Number 07·1021-US·AEX-1
`
`./
`
`Cite
`No.1
`
`Examiner
`Initials•
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (in CAPITAL LETTERS), tiUa of the article (when appropriate), tiUe of
`the item (book, magazJne, journal, serial, symposium, catalog, etc.), date, page(s), volume-issue
`number(s), publisher city and/or country where published.
`.• ·• ............. g ~ .... ~ . .... •:..
`D
`tr::-r:-1::' ~:... ............. , •;;sue 1, 10/00/1998,
`v--OX 155, DTX 155
`~ ~ Directory of Software Solutions for UFFE Connect, Issue 3, 6/10/1999, OX 157,
`·~ ~ OTX157
`_
`-~---==t===tr]r~ra~di'~~~~~~~.~~;g~~~~·~au~~· ~~~y~s~m~em~u~:s~e~r~D~o~c~u~m;e~n~taUtloio~n~.~04~/~0~1/~9~B~.----Jr==1
`Release 3.1 0, OX 3, TT 015867 • TT 015955, DTX 3
`
`,
`r
`
`1 "'urora cnicago Boara ot Trade Brochure. 1990, ES0021230·ES0021241
`
`~- ·--·" :~ :·--:~, •~:rtJv" •v•cr-r ~ottware Systems, 3117/1999,
`I..-.
`ES0060578·ES0060591
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`Osaka ~tnrk ~:::.
`..,. .. .... ,ua• \~a..,a• ,.,.,., : ___ , ·-· .. 1 , A
`REFC00009773-REFC00009826
`
`1 oo£:l
`
`__.... TSE Manual (Japanese Doc:umeni),11115105,DX179,TSE647·995,w/certilled translation eS62258-f2366
`! / )_ ... 1
`~!- ~ rrse609-647,694·7tt, 714·721, 735-738,749·756,759-760, ns-782,784·810.982-9951
`
`llt-t-t Manual {Japanese Document), 1/1996, REFvuvu1vuv• - - -
`REFC00011210,
`
`--vumem NYMEX ACCI::~~. ~lot•-
`.
`Final OetaiiAri "'
`127 -eSOOOJ541
`
`The Application Program Interface (API) Reference Manual for LIFFE Connect,
`Release 3.0, 9/1998, DDX 159, DTX 159, eS00060055-eS00060145
`
`------
`
`'
`
`~
`
`/
`
`Examiner I ~ ~~ #'? .
`I , 1
`Signature ~.r-~ I Dale
`
`2/z.ff/d V
`Considered
`'EXAMINER: ln"laltr relltence c:onaldared, whether cr not citation t. In ccnfor1111111ee wllh MPEP 809. Draw Uno through dlallon It nl!lln tonrormance and nol
`considered. lnci\Kia COllY of IIIIa 1o1m with next c:ommunlcaUon to eppt'"nl
`1 Applleanl'l unlquo r:ftaiiOn CIO&lgnallon number (OIItlonal). 2 Applicant Ia 1o plliC8 a checlt malt here If English language Tranalallon Ia allached.
`Thla collection ollnformalk>ft Ia required by 37 CFR 1.118. The lnlcrmellon Is reqlllled to obtain 01 rotaln a benefit by 1118 publl~ whlcll b to f4o (and by lha USPTO
`to pruceu) an eppk&Uon. Conftdenuallty It gov.necl by 35 U.S.C. 122 end 37 CFR 1.14. Tills ccllacllon Ia eatlmateO to 188 2 11011ro10 complete. Including
`gathelltlg, preparing, end auOmlltlng lhe ccmploled appllcetlon 1o1m to lila USPTO. Time 10411 vaty dopondlng upon IN IndividUal ODM. Any comments 0111110
`amount or Umo you require to ccmptuta thiS lorrn and/or auggasU011a fOr reducing thts llvnllln. thcNd lie aent to 1118 Chief lrdonnaiiOII Olllcar, U.S. Palent and
`TraCIOmalt Olllca. P.O. Boll1460. Ale.andrla, VA 22313-1460. DO NOT SEND FEES OR COMPlETED FORMS TO THIS AOORESS. 81!ND TO:
`Commlaatoner for Patont.a, P.O. Box 1450, Alexandria, VA 22313-1450.
`
`J
`
`If you need assistance in CDmpfellng 111e fonn, can I-80D-PT0.9199 (1-800-788·9199} end $9/eCI opuon 2.
`
`Page 7 of38
`
`

`
`PT0/581088 (11.07)
`ApptaYed for 1118lhiOUIIIII113012007. OM8 0651.0031
`U.S. P81omlandTI8detnelk Olllco; U.S. DEPARTMENT OF COMMERCE
`Under tllll Pa~ Re(luo:llotl Act of 1995. no oere(lt)ll are reoulrad 18 resDOnd to a called!On ol Information uniAIIA 11 DDiltalna a valid OMB con1rol 1111 mber.
`Complete If Known
`~
`
`r SutiiiiMa for form 1~9/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`
`(lha •• many alleels •• ntceauryl
`
`~heel 17/16
`
`I o( . LLb.
`
`90/008,576
`05-25-2007
`
`6,772,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07·1021-US-REX-1
`
`Examiner Name
`
`Examiner Cite
`No.1
`Initials"
`
`NONPATENTL~RATUREDOCUMENT.S
`Include name of the author (In CAPITAl LEiTERS), title of the artlde (when appropriate), title of
`the item (book. magazine, journal, serial, symposium, cetalog, etc.), date, pege(s), volume-Issue
`number-is), publisher, city and/or country where published.
`The Application Program Interface (API) Reference Manual for LIFFE Connect,
`Release 3.2, 12/1998, DDX 161, DTX 161, eS00060239-eS00060331
`
`.- The Application Program Interface (API) Reference Manual for UFFE Connect,
`/J
`[J'Vl/,_. Release 3.3, 1/1999, DDX 162, DTX 162, eS00059959-eS00060054
`-~~· ., .......
`e Manual for LIFFE Connect,
`:., ... ,
`The A
`_SI--11efease 2.7, 9/1998, DDX 163, DTX 163, eS0005986~-
`•n - -
`
`'
`
`~:' •. , raoe User's Guide for Windows N 1 , 1.
`r- eS00064671-eS00064773
`
`•11 QQR
`
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`eS00697~S0069818
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`User Guide, 1/00/1997, ox co.,, u 1" ~.
`
`, I ~-~~\IV f UUtJ ·1
`
`Chlcaao Mercantile Exchanae CCME) Gl OR~){ "·
`UJ\634, OTX634, eS003958-eS0003981
`
`·- "''"'" '" ""'"'
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`
`The Complete GLOBEX2 c.l.
`f.-:::::' \.IIVJt:.·E0010679-001 0891
`v_ The."'
`,.., ,.. .. ,
`014048- CME-E 014286
`
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`
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`
`·- - - · Ll I "'U~~.
`__
`
`,
`
`IIQIIUIJVVn, 7/00/1998, DX637, OTX637, CME-E
`
`Date
`Considered
`"EXAMINER: lnlllal U r8tvrence c:onaldere6. whelher or 1>01 eilaUon Is In conformance wflh MPEP 80&. Drew line through dlaUon II not In confonnence end noe
`c:onaldared. llldude CC>PY of IIIIa lorm wl1h ne.rt communle;OUon 1o eppllcam.
`1 Apptlcanl'e unique c:ftaUan dealgllallan number (opUonal). 2 ~ntIs to place a chodt mall< .,.,. ~ engllslll.,.guaga Tnanslallon le ettacll«<.
`Thla oollecllon of lnlormallon Ill roqulred by 37 CFR 1. 88. Ttoa lntonnallon II required 1o oblaln 01 rolaln e c-at by VIa public: Whlcll falo ate (end by tho USPTO
`to PIOCBt8) an appflcadon. CDIII'Idenllallty Ia GCVOined by 35 U.S.C. 122 8tld 37 CFR 1.14. TWa c:allectlon Ia eallmatad to take 2 IIOUt8 to c:ompftlle, lnc:fudlng
`glllllallng, propart119, oneS aubmtlllng lho oomploted appllcaUon form to tho USPTO. Tlmo wiD w,y dapanctlne liPan tho lndr.tdual cue. Al>y c:otntMnta on lhe
`amount ol tlme ~ taQUire to eompleta lhla form snlllor auog..Uone 101 reGuetlg lhle bUlliOn. ehOutd be eent to ltoa Chief lnlonnaUon Olftcer, u.s. Petenl and
`Trad..,.e~ Olllce, P.O. Box 1460. Aleratldrta. VA 2231).1450. DO NOT SENO FEES OR COMPLETEO FORMS TO THIS ADDRESS. BEND TO:
`Commissioner for Patents, P.O. Box 1450, Aleaandrla, VA 22:11).1450.
`
`2/2.-?'/d y
`
`If you Med assistance In completing fM fotm, can 1-800-PT0.9199 (1·800..786-9199) and ~a/act o~on2.
`
`Page 8 of38
`
`

`
`'
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`Tz
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`..... ,... ,,..., .a~ t::rv-,.~•n ..... u·u=~ . ,..
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`Portfolio Management, 2100/1995, eS0069585-eS006961 0
`1 · - - " 1 IJUiiOI I 1 qfll)fl~l:il:i, CM VO I VC::V "91-. ··-
`
`~ 2 8 0/0/1999, eS0064775-~S0032572
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`PTOISB/088 (11.07)
`Apii/OIIIId tor ~se tnrovgll1113012007. OMB 0851-oo31
`U.S. Patent and Trademull Olllce; U.S. DEPARTMENT OF COMMERCE
`Undet the PaP8n00111 RedudiDI' />J:;t of 1995 no 1>8!10111 ., ,_leQUire!l 10 rttDOnd to a collec:~ICIIU!llnlonnaUon unlen .!!_ CO!IIalns a velld OMS COfiiA)I r&~mber.
`Complete If Known
`
`/ Substltule !Of form 1449/PTO
`
`Application Number
`INFORMATION DISCLOSURE Flllng Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`(1/18 a• mliii)I•IIMta .. ltOC ... ~}
`I of- I Lb.
`
`90/008,676
`05-25-2007
`
`e,n2,132
`3993
`Jeanne Marie Clark
`Attorney Docket Number 07·1021-U$-REX-1
`
`Examiner Name
`
`~Ileal 18116
`
`Examiner Cite
`Initials•
`No.'
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETTERS), title of the article (when appropriate), Utle of
`the Item (book, magazine, joumal, serial, symposium, catalog, etc.), date, paga(s), volume-Issue
`number(s)L~bllshar. city_ and/or coutllry_ whera.J!.ubllshad.
`MINEX Service Outline User Test/Orientation, 911992, eS0064647·
`
`GL Trading Pad Manual, G0020819-G0020826
`
`'--""' '""'"' n
`lUI. VVII'II I ltlU~ l'lltliiUCll V'171.:11VII "9.wv 1 - -•
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`nco conaldOfaO, w11e11>er 01 nol citation Ia In conrormance wllh MPEP 809. Oraw llna tlvough cllaaon ~ not In conlo
`'EXAMINER: lnltlolll
`COIIIlcleniCI. lnduda copy Dllhla loml wttn next communlcellon to appllc8n1.
`1 Appllcant'e unlqve dtalloft dotlgnallon nlltnber (opt-). 2 Appflce"' Is to place a chedl marie he"' II English longUIIJB T18ntll8Hon Ia anec:hod.
`TNe colla~ Of lntonneUon II raQWud by 37 CFR 1.88. The Information Ia raqu~ad to Oblaln 01 relalll a benaftl by 11\8 public WhiCh fa to llle (encllly lila USPTO
`to proceao) nn eppllcaUon. Conftdanllallty Ia pernecl by 35 U.S.C. 122 and 37 CFR 1.1•. Thla cdlectlon le ea1tma18d to taka 211oum lo complal8,1ndudlng
`gatnertf>g. pn~pertnv. and aubmllllng the comploted epplkoetlon fatm to tho USPTO. llmo will vary depending 111101111111 Individual c;Qo. Alty c:ommenla on lhe
`amount of lima you ,.quire to complete thla form ana/or 8UII9GIUON1 lot rududng INe burden. ehDuld be eent to 1M Chief fnformeUon 0111Car, U.S. Pet811t end
`Trademert Olllce, P.O. Sox 1450. AI8Undr1a, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. $END TO:
`Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313·1450.
`
`nee end not
`
`If you need esslstence fn oomplatlng the fonn, eeU 1-8DO-PT0-9t99 (1-800-784-9199) end aefer;l opUon2.
`
`Page 9.of38
`
`

`
`PTOISB/088 (11-(17)
`Approvecl for 11M llltouglll1130f2007. OMB 0661-ooJI
`U.S. Pstont and Tllldematk Ollleo: U.S. OEPARTMEI'tr OF COMMERCE
`U nder tile P&DINW!lrt Raducllon Act of 1885. no Denons ate reaulred to~nd~a coll~n ollnlormatlon unla18 It QOntalnall! valid ~1191...!l!!l!!..ber.
`Complete If Known
`FsubaUtule lor loom 1~9/PTO
`
`Application Number
`INFORMATION DISCLOSURE Filing Date
`STATEMENT BY APPLICANT First Named Inventor
`Art Unit
`3993
`Examiner Name
`Jeanne Marie Clark
`Attomey Docket Number 07-1021 -US·AEX-1
`
`90/008,576
`
`05-25-2007
`
`6,772,132
`
`(U .. •• many sheer. •• nKossery)
`
`~t j9/16
`
`I of ltb.
`
`'
`
`~
`
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`
`Examiner Cite
`No.1
`lniUats•
`
`r:/1 v
`L
`
`17
`~
`
`NON PATENT LITERATURE DOCUMENTS
`Include name of the author (In CAPITAL LETTERS), uuo or the article (when appropriate), title of
`the Item {bOOk, magazine, Journal, serial, symposium, catalog, etc.), date, page{s), volume-issue
`number{ a), publisher, city and/or coui!IQt where ~ubllshed.
`. Directory of Software Solutions for LIFFE CONNECT, 2100/99,
`G009006-G009042
`
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`
`s com..,,.,,,.,,
`
`_ lFrench), 10//00/99, G009121·G009486
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`~ v tradepad.txt (French), 3/8/2000, G0025616·G0025618
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`v G0025623·G0025646
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`GL Enhancements Software Version 4.11 f, 10/2911998,
`G0060853·G0060854
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`G0111402·G0111407
`
`·-~-• ._._ 111:101
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`Date
`Considered
`enc:o ODnaldtlnld. -her or AOI c:llallon b In ~formance Wllh MPEP 609. O.aw Uno !trough c:ltallon II nol ln conlatmonce end not
`•eXAMINER: Initial
`conatllllnld. lndudo copy oil/Ita form with nut communtcaaon to apptlconl.
`1 ~·unique dlatlon dealgnallon numbot (opllonDl). 2 Applicant b 1o ptaco o cllodlmar1< hero U Entttah l anguage Tra-Uon Ia eltechod.
`Thla coAecUOn of tntorrnotJon Ia required by 37 CFR 1.98. The tnfOfm&Uon Ia requlrud to oblatn"' retain a benent by lhe publlc: which Ia to tue (end by the USPTO
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`gethertng, propartng, ond aubniiiUng lho completed eppllc:&Uon fonn to tho USPTO. Tlme wOl vary depending 11pon Ulo lrldMclual c:aao, Any COfllmenla on !ha
`amo.rnl of Ume YD" I9QWa to oomptole thb loon and/or avggeeU- lOr nldtdng 11118 bllrdlm, '"""" be eant to IIIII Chief lnformaUon Of!lcllt, U.S. Patent and
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`
`f/ you need BSSi$1/l~fl ln ~mplstfng lhll fonn, 's" 14100-PTC>-9199