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`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
`Patent 7,685,055 B2
`_____________
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313–1450
`
`
`
`
`
`
`
`
`Petitioners’ Updated Exhibit List
`CBM2016-00009
`Petitioners submit herewith an updated exhibit list to accompany
`
`
`
`submission of Petitioners’ demonstrative exhibits for oral argument as Exhibit
`
`1062.
`
`Exh. No.
`1001
`1002
`
`1003
`1004
`1005
`1006
`1007
`
`1008
`
`1009
`
`1010
`1011
`
`1012
`1013
`1014
`1015
`1016
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`
`Description
`U.S. Patent No. 7,685,055 to Brumfield et al. (“the ʼ055 patent”)
`File History of Application Ser. No. 11/417,547, which became the
`’055 patent, as filed and obtained from PAIR (“File History”)
`Expert Declaration of Kendyl A. Román (“Román Decl.”)
`Expert Declaration of David Rho (“Rho Decl.”)
`U.S. Patent No. 5,077,665 to Silverman et al. (“Silverman”)
`U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`“Futures/Option Purchasing System Trading Terminal Operation
`Guide” (“TSE JP”)
`Certified English-language Translation of “Futures/Option
`Purchasing System Trading Terminal Operation Guide” (“TSE”)
`Certificate of Translation for “Futures/Option Purchasing System
`Trading Terminal Operation Guide” (“TSE Certificate”)
`WO 90/11571 to Belden et al. (“Belden”)
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. 04-cv-5312, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Depo. Transcript”)
`Curriculum Vitae of Kendyl A. Román
`List of Materials Considered by Kendyl A. Román
`Curriculum Vitae of David Rho
`List of Materials Considered by David Rho
`Mark J. Powers, “Starting Out in Futures Trading,” Sixth Edition,
`2001 (“Powers”)
`
`
`
`- 1 -
`
`
`
`Petitioners’ Updated Exhibit List
`CBM2016-00009
`
`Description
`History of the American and NASDAQ Stock Exchanges, Business
`Reference Services, The Library of Congress
`Weiss, “After the Trade is Made,” pp. 44-46. (“Weiss”)
`Trading Techs. Int’l. v. CQG, No. 05-cv-4811, slip op. at 10 (N.D.
`Ill. Feb. 24, 2015)
`Ben Shneiderman, “Designing the User Interface: Strategies for
`Effective Human-Computer Interaction,” Third Edition, 1998
`(“Shneiderman”)
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`Deposition Transcript of Richard Hartheimer held April 29, 2015
`(“Hartheimer-Dep.Tr.”)
`Redacted Second Corrected Expert Report of Christopher Thomas,
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill. Dec. 12, 2013) (“Thomas Report”)
`Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th Ed,
`Oxford University Press, 1996 (“Oxford Dictionary”)
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`(“Inside Macintosh”)
`Alan Cooper, “About Face: The Essentials of User Interface
`Design,” First Edition, 1995. (“Cooper”)
`Transcript of the Deposition of Christopher Thomas, April 28, 2015
`(“Thomas Tr.”)
`Transcript of Deposition of Christopher Thomas, Trading
`Technologies International, Inc. v. eSpeed, Inc. et al., No. 04-cv-
`5312 (“eSpeed Tr.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00137, Paper 19 (“Inst. Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00137, Paper 41 (“POR”)
`Super Mario Brothers image (1985)
`Metal Warrior V1.6 source code (1999)
`U.S. Patent No. 6,205,260 to Crinon et al. (“Crinon”)
`
`Exh. No.
`1017
`
`1018
`1019
`
`
`1020
`
`1021
`1022
`
`1023
`
`1024
`
`1025
`
`1026
`
`1027
`
`1028
`
`1029
`
`1030
`
`1031
`1032
`1033
`
`
`
`- 2 -
`
`
`
`Petitioners’ Updated Exhibit List
`CBM2016-00009
`
`Description
`U.S. Patent No. 6,772,132 to Kemp, II et al. (“ʼ132 patent”)
`Expert Declaration of David Rho (“Rho-Reply-Decl.”)
`Transcript of the Deposition of Christopher H. Thomas, October 26,
`2016 (“Thomas-Dep.Tr.”)
`Transcript of the Deposition of Harold Abilock, October 21, 2016
`(“Aiblock-Dep.Tr.”)
`Transcript of the Deposition of Dan R. Olsen, Jr. (“Olsen-Dep.Tr.”)
`Transcript of the Deposition of Christopher H. Thomas, IBG LLC et
`al. v. Trading Technologies International, Inc., CBM2015-00179,
`August 17, 2016 (“CBM2015-00179-Thomas-Dep.Tr.”)
`Declaration of Christopher H. Thomas, IBG LLC et al. v. Trading
`Technologies International, Inc., CBM2015-00182 (“CBM2015-
`00182-Thomas-Decl.”)
`Email correspondence from Patent Owner requesting authorization to
`file a motion to strike Petitioner’s Reply, November 14, 2016
`Email correspondence authorizing Patent Owner to file a listing
`identifying new arguments in Petitioner’s Reply, November 15, 2016
`Email correspondence from Patent Owner requesting authorization to
`file a motion to strike new arguments, December 12, 2016
`Declaration of Aaron M. Cohen (“Cohen-Decl.”)
`Declaration of Robert E. Sokohl (“Sokohl-Decl.”)
`Reserved
`IBG LLC et al. v. Trading Technologies International, Inc.,
`CBM2015-00179, -00181, -00182, Paper 25
`IBG LLC et al. v. Trading Technologies International, Inc.,
`CBM2015-00182, Paper 49
`Kawashima Deposition Exhibit 1, Japanese original
`Kawashima Deposition Exhibit 1, English translation
`Kawashima Deposition Exhibit 1 Translation Certification
`Kawashima Deposition Exhibit 2, Japanese original
`Kawashima Deposition Exhibit 2, English translation
`
`Exh. No.
`1034
`1035
`1036
`
`1037
`
`1038
`1039
`
`1040
`
`1041
`
`1042
`
`1043
`
`1044
`1045
`1046
`1047
`
`1048
`
`1049
`1050
`1051
`1052
`1053
`
`
`
`- 3 -
`
`
`
`Petitioners’ Updated Exhibit List
`CBM2016-00009
`
`Exh. No.
`1054
`1055
`1056
`1057
`1058
`1059
`1060
`1061
`
`1062
`
`Description
`Kawashima Deposition Exhibit 2 Translation Certification
`Kawashima Deposition Exhibit 3, Japanese original
`Kawashima Deposition Exhibit 3, English translation
`Kawashima Deposition Exhibit 3 Translation Certification
`Kawashima Deposition Exhibit 4, Japanese original
`Kawashima Deposition Exhibit 4, English translation
`Kawashima Deposition Exhibit 4 Translation Certification
`IBG LLC et al. v. Trading Technologies International, Inc.,
`CBM2015-00182, Exhibit 1043
`Petitioners’ Demonstrative Exhibits for Oral Argument
`
`
`
`
`
`
`
`Date: January 4, 2017
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`/Richard M. Bemben/
`
`
`Robert E. Sokohl, Reg. No. 36,013
`Lori A. Gordon, Reg. No. 50,633
`Richard M. Bemben, Reg. No. 68,658
`Attorneys for Petitioners
`
`
`
`
`
`- 4 -
`
`
`
`Petitioners’ Updated Exhibit List
`CBM2016-00009
`
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that on January 4, 2017, true and corrected
`
`copies of the above-captioned PETITIONERS’ UPDATED EXHIBIT LIST and
`
`Exhibit 1062 were served electronically via e-mail in their entireties upon the
`
`following counsel for Patent Owner, TT:
`
`erika.arner@finnegan.com
`Erika H. Arner, Reg. No. 57,540
`joshua.goldberg@finnegan.com
`Joshua L. Goldberg, Reg. No. 59,369
`kevin.rodkey@finnegan.com
`Kevin D. Rodkey, Reg. No. 65,506
`rachel.emsley@finnegan.com
`Rachel L. Emsley, Reg. No. 63,558
`cory.bell@finnegan.com
`Cory C. Bell, Reg. No. 75,096
`FINNEGAN, HENDERSON, FARABOW, GARRETT & DUNNER, LLP
`Trading-Tech-CBM@finnegan.com
`
`
`tt-patent-cbm@tradingtechnologies.com
`Steven F. Borsand, Reg. No. 36,752
`jay.knobloch@tradingtechnologies.com
`Jay Q. Knobloch, Reg. No. 57,347
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`
`gannon@mbhb.com
`Michael D. Gannon, Reg. No. 36,807
`sigmond@mbhb.com
`Leif R. Sigmond, Jr., Reg. No. 35,680
`Jennifer M. Kurcz, Reg. No. 54,481
`kurcz@mbhb.com
`Cole B. Richter, Reg. No. 65,398
`richter@mbhb.com
`MCDONNELL BOEHNEN HULBERT & BERGHOFF LLP
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`/Richard M. Bemben/
`
`
`Richard M. Bemben, Reg. No. 68,658
`Attorney for Petitioners
`
`
`
`
`
`
`
`Date: January 4, 2017
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`4952878_1.docx
`
`
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