Paper No. ___
`Filed: January 4, 2017
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`IBG LLC and INTERACTIVE BROKERS LLC,
`
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`
`Patent Owner
`
`
`
`
`Case CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`
`
`PATENT OWNER’S UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`Filed: January 4, 2017
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`IBG LLC and INTERACTIVE BROKERS LLC,
`
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.,
`
`Patent Owner
`
`
`
`
`Case CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`
`
`PATENT OWNER’S UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`Pursuant to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
`
`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners IBG, LLC and Interactive Brokers LLC.
`
`
`
`Filed Exhibits
`
`Exhibit 2001
`
`Exhibit 2002
`
`Exhibit 2003
`
`Exhibit 2004
`
`Exhibit 2005
`
`Exhibit 2006
`
`Exhibit 2007
`
`Exhibit 2008
`
`Exhibit 2009
`
`Exhibit 2010
`
`Exhibit 2011
`
`Exhibit 2012
`
`Exhibit 2013-
`2014
`
`Description
`Transcript of Teleconference with the Board, dated
`November 23, 2015
`Versata Development Group, Inc. v. SAP America, Inc. and SAP
`AG, Case No. 2014-1194 (CAFC), Docket No. 61, Brief for the
`Intervenor - Director of the United States Patent and Trademark
`Office (May 1, 2014)
`Meyers, Brad A. “A Brief History of Human-Computer
`Interaction Technology.” Interactions 5.2 (1998): 44-54
`National Aeronautics and Space Administration Web Page Print
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`Computer Interaction Master’s Program
`
`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`
`Reserved
`
`2
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`Exhibit 2015
`
`Versata Development Group, Inc. v. SAP America, Inc. and SAP
`AG, Case No. 2014-1194 (CAFC), Docket No. 61, Brief for the
`Intervenor - Director of the United States Patent and Trademark
`Office (May 1, 2014)
`
`Exhibit 2016 -
`2019
`
`Reserved
`
`Exhibit 2020
`
`Exhibit 2021-
`2027
`
`Exhibit 2028
`
`Exhibit 2029
`
`Exhibit 2030
`
`Exhibit 2031
`
`Exhibit 2032
`
`Exhibit 2033
`
`Exhibit 2034
`
`Exhibit 2035
`
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Ex. 2097, Declaration of
`Harold Abilock (March 6, 2015)
`
`Reserved
`
`U.S. Patent No. 6,993,572 B2
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Volume 11-A Trial Transcript of Proceedings
`(Sept. 26, 2007)
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (Oct. 10, 2007)
`Reserved
`Trading Techs. Int’l. Inc., v. eSpeed, Inc. et al. , Case No. 04-cv-
`5312, Dkt. 1140, Notification of Docket Entry (Jan. 3, 2008)
`79 Fed. Reg. 74618- 633, USPTO 2014 Interim Guidance on
`Patent Subject Matter Eligibility (Dec. 16, 2014)
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines (July 2015)
`Reserved
`
`Exhibit 2036
`
`Served
`
`Exhibits 2037 -
`2038
`
`Exhibit 2039
`
`Exhibit 2040
`
`Exhibit 2041-
`2043
`Exhibit 2044
`
`Reserved
`
`Information Disclosure Statement 90/008,576 (Sept. 26, 2008)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-
`5312, Supplemental Invalidity Contentions of eSpeed, Inc.,
`eSpeed International, Ltd., Ecco LLC, and EccoWare Ltd. (May
`25, 2007)
`
`Reserved
`
`Information Disclosure Statement 90/008,576 (Feb. 28, 2008)
`
`3
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`Exhibit 2045 -
`2047
`
`Reserved
`
`Exhibit 2048
`
`Exhibit 2049
`
`Exhibit 2050
`
`Exhibit 2051
`
`Exhibit 2052
`
`Exhibit 2053
`
`Exhibit 2054
`
`Exhibit 2055
`
`Exhibit 2056
`
`Exhibit 2057-
`2058
`
`Exhibit 2059
`
`Exhibit 2060
`
`Smith, Warren, Subpoena Honyaku English - Japanese
`Translation List, Google Group Discussion Web Page Print out
`(Aug. 24, 2007)
`Submission of Publications, etc., PCT 2004-504652 (Apr. 18,
`2005) (Japanese language original)
`Submission of Publications, etc., PCT 2004-504652 (Ap. 18,
`2005) (Translation)
`Reserved
`
`Japanese Patent 2004-504652
`Auroratm: The Most Technologically Advanced Trading System
`Available Today, Aurora Chicago Board of Trade
`Rosenthal Collins Group LLC Notice of Opposition to a
`European Patent, EP1319211 (Jan. 12, 2006)
`Deutsche Börse AG Notice of Opposition to a European Patent,
`EP1319211 (Jan. 12, 2006)
`Eccoware Limited Notice of Opposition to a European Patent,
`EP1319211 (Jan. 13, 2006)
`
`Reserved
`
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, TDA Ex. 1050,
`Deposition of Harold Abilock (Apr. 24, 2015)
`
`TD Ameritrade Holding Corporation et al. v. Trading Techs.
`Int’l, Inc., Case No. CBM2014-000131, Petitioners’ Reply to
`Patent Owner’s Response, Paper 48 (May 29, 2015)
`
`Exhibit 2061
`
`Reserved
`
`Exhibit 2062
`
`Response to Communication Pursuant to Article 101(1) and Rule
`81(2) to (3) EPC dated 1 December 2010 (the "Article 101(1)
`Communication"), Opposition to EP1319211 (June 14, 2011)
`
`Exhibit 2063-
`2066
`
`Reserved
`
`4
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`Exhibit 2067
`
`Lohr, Steve, “IBM’s Design-Centered Strategy to Set Free the
`Squares.” The New York Times (November 15, 2015)
`
`Exhibit 2068
`
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, Classification Definitions (January 2011): 1-50
`
`Exhibit 2069
`
`Exhibit 2070
`
`Class 705, Data Processing: Financial, Business Practice,
`Management, or Cost/Price Determination, Classification
`Definitions (January 2012): 1-53
`Trading Techs. Int’l v. CQG, Inc. and CQGT, LLC, Case No. 05-
`cv-4811 (N.D.Ill.), Dkt. 1073, Memorandum Opinion and Order
`(Feb. 24, 2015)
`
`Exhibit 2071
`
`The American Heritage College Dictionary Fourth Edition, 100
`(2002): Definition of “Axis”
`
`Exhibit 2072
`
`Exhibit 2073 -
`2106
`
`Exhibit 2107
`
`Response to Office Action Mailed October 6, 2008 11/585,907
`(April 6, 2009)
`
`Reserved
`
`Transcript of Teleconference with the Board, dated May 11,
`2016
`
`Exhibits 2108 -
`2120
`
`Reserved
`
`Exhibit 2121
`
`U.S. Patent Classification System – Classification Definitions –
`Class 705
`
`Exhibits 2122 -
`2123
`
`Reserved
`
`Exhibit 2124
`
`Exhibit 2125
`
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, (January 2011): 1-8
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`
`Exhibit 2126
`
`Senate Congressional Record, S5402-S5443 (Sept. 8, 2011)
`
`Exhibits 2127 -
`2158
`
`Reserved
`
`Exhibit 2159
`
`TSE-filed opposition document to Japanese Patent Application
`No. 2001-564025 (TSE0000000982-995)
`
`5
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`Exhibit 2160
`
`Exhibit 2161
`
`Certified Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`
`Certification of Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`
`Exhibit 2162
`
`JP Patent Application 2001-564025
`
`Exhibit 2163
`
`Deposition Transcript of Atushi Kawashima, dated June 17, 2016
`
`Exhibit 2164
`
`Deposition Transcript of David Rho, dated April 26, 2016
`
`Exhibit 2165
`
`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`
`Exhibit 2166
`
`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`
`Exhibit 2167
`
`Reserved
`
`Exhibit 2168
`
`Declaration of Eric Gould-Bear
`
`Exhibit 2169
`
`Declaration of Christopher Thomas
`
`Exhibit 2170 -
`2173
`
`Reserved
`
`Exhibit 2174
`
`Declaration of Dan Olsen
`
`Exhibit 2175
`
`Exhibit 2176
`
`Exhibit 2177
`
`Exhibit 2178 -
`2200
`
`Exhibit TSE1 from Kawashima 2005 Deposition
`(TSE0000000996-1016)
`Certified Translation of Exhibit TSE1 from Kawashima 2005
`Deposition (TSE0000000996-1016)
`Certification of Translation of Exhibit TSE1 from Kawashima
`2005 Deposition (TSE0000000996-1016)
`
`Reserved
`
`Exhibit 2201
`
`Christopher Thomas CV
`
`Exhibit 2202 -
`2203
`
`Reserved
`
`Exhibit 2204 Microsoft DNA Case Study
`
`6
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`Exhibit 2205
`
`Reserved
`
`Exhibit 2206
`
`Excerpts from Interactive Brokers Group, Inc. Form 10-K
`Statement IBG_00000412-421
`
`Exhibit 2207
`
`Exhibit 2208 -
`2291
`
`Exhibit 2292
`
`Exhibit 2293
`
`Exhibit 2294
`
`Exhibit 2295
`
`Excerpts from TradeStation Group, Inc. Form 10-K Statement
`TS0005177-88
`
`Reserved
`
`Trading Techs. Int’l. Inc., v. CQG, Inc., et. al., Case No. 05-cv-
`4811, Excerpts from Steven Van Dusen Deposition (01/20/2015)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from David Silverman Deposition (08/24/2007)
`
`CONFIDENTIAL Trading Techs. Int’l. Inc., v. CQG, Inc., et. al.,
`Case No. 05-cv-4811, Excerpts from John Phillip Mellor
`Deposition (01/16/2015)
`
`CONFIDENTIAL Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Richard Ferraro Deposition
`Vol. 2 (08/09/2007)
`
`Exhibit 2296
`
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from Robert Dezmelyk Deposition (08/17/2007)
`
`Exhibit 2297
`
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`
`Exhibits 2298 -
`2329
`
`Reserved
`
`Exhibit 2330
`
`Annotated excerpt of Figure from Ex. 1008, p. 0068.
`
`Exhibit 2331
`
`Deposition Transcript of David Rho, dated July 14, 2016
`
`Exhibit 2332
`
`Certified Translation of Ex. 1007, pp. 0068-0069
`
`Exhibit 2333
`
`Certification of Translation of Ex. 1007, pp. 0068-0069
`
`Exhibit 2334
`
`Declaration of Harold Abilock, dated July 14, 2016
`
`Exhibit 2335 -
`2338
`
`Reserved
`
`Exhibit 2339
`
`Declaration of Harold Abilock, dated July 19, 2016
`
`7
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`Exhibit 2340
`
`Appx.2350-2353 from Trading Technologies International v.
`CQG, No. 16-1616 (Fed. Cir. 2016)
`
`Exhibit 2341
`
`Excepts from Interactive Brokers 2015 Annual Report
`
`Exhibit 2342
`
`Deposition Transcript of David Rho – December 6, 2016
`
`Exhibit 2343
`
`Transcript of Teleconference with the Board, dated
`December 14, 2016
`
`Exhibit 2344
`
`Patent Owner’s Demonstratives
`
`Served Exhibits
`
`Filed Exhibits Description
`
`Exhibit 2036
`
`Declaration of Cory C. Bell
`
`
`
`Respectfully submitted,
`
`
`
`
`
`
`
`
`Dated: January 4, 2017
`
`By:
`
`
`
`
`
`
`
`
`/Cole B. Richter/
`Cole B. Richter,
`Counsel for Patent Owner
`Reg. No. 65,398
`
`
`
`McDonnell Boehnen Hulbert &
`Berghoff LLP
`300 South Wacker Drive
`Chicago, Illinois 60606
`(312) 913-0001 Telephone
`(312) 913-0002 Facsimile
`
`8
`
`
`
`Case: CBM2016-00009
`U.S. Patent No. 7,685,055
`
`
`
`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing PATENT
`
`OWNER’S UPDATED EXHIBIT LIST was served on January 4, 2017, via email
`
`directed to counsel of record for the Petitioners at the following:
`
`
`
`/Cole B. Richter/
`Cole B. Richter, Counsel for
`Patent Owner
`Reg. No. 65,398
`
`Robert Sokohl
`rsokohl-PTAB@skgf.com
`
`Lori Gordon
`lgordon-ptab@skgf.com
`
`Richard Bemben
`rbemben-PTAB@skgf.com
`
`PTAB@skgf.com
`
`
`
`Dated: January 4, 2017
`
`By:
`
`
`
`
`
`9
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