TRADING TECH EXHIBIT 2040
`IBG ET AL. v. TRADING TECH
`CBM2016-00009
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`opposition to TT's Motion for Preliminary Injunction which are incorporated herein by reference,
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`the declaration of Brendan Bradley submitted ir1 opposition to TT's motion for preliminary
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`injunction which is incorporated herein by reference, GL Trade Americas, Ir1c.'s Responses and
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`Supplemental Response to TT's Interrogatory Nos. 5, l7 and 18 which are incorporated herein by
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`reference, and the depositions that have been taken in this case and the deposition exhibits
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`identified in those depositions, all of which are incorporated herein by reference, the patents in
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`suit are invalid under Sections l02(a), (b), (d), (g) and 103 of the Patent Code. As demonstrated
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`in these documents and in the prior art, TT's trading system was nothing new, but instead was
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`disclosed or used in prior art electronic trading systems all around the world prior to the patents‘
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`critical date.
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`In addition, TT's alleged claimed invention was nothing more than an obvious
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`combination of this prior art. Finally, all of TT’s patent claims are invalid as indefinite, because
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`they fail to particularly point out and distinctly claim the subject matter which the applicant
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`regards as his invention.
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`'132 Patent Claim Chart
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`WIT
`CAPITAL TOKYO
`GL WIN With
`ADDITIONAL
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`PRIOR ART
`DIGITAL
`TRADEPAD
`STOCK
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`STOCK
`EXCHANGE
`Versions 4.31,
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`SYSTEM
`4.50, and 4.51 MARKET’
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`AND THE
`and DX 384,
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`AUGUST
`385, 537, 538,
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`539, 593, 593A,
`1998
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`
`
`MANUAL3
`598,592, 605,
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`612, and 626.‘
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`1 eSpeed incorporates the deposition testimony of: Mike Glista, Laurent Havard, Gerard Varjacques, Jon-Cedric
`Jollant, Bruno Spada, Mike Cartier, Marcel Tchitchiama, Christina Dobson, Fred Mastro, Chris Malo, Anne Laurell,
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`Tina Yavorsky, and Philippe Carre, and GL 30(b)(6) witnesses. eSpeed also may rely on the testimony of Amy
`Watson, John Restivo, and Steve Goode to support its allegations on Tradepad. eSpeed also may rely on any of the
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`rebuttal witnesses identified by TT with respect to Tradepad. As set forth in these depositions, GL Win with
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`Tradepad Versions 4.31, 4.50, and 4.51 were used, offered for sale, sold and/or ready for patenting before the critical
`date.
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`2 eSpeed incorporates the deposition testimony of Charles Mauro, Walter Buist, Chris Buist and Bill Bautz as
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`support to support its allegations regarding Wit Capital. eSpeed also incorporates the exhibits that were identified
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`during those depositions including DX 194-213, 283-315, 422-447 and PX 358-378.
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`Page 2 of 93
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`‘I32 CLAIM
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`ELEMENT
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`Page 2 of 93
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`

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`ADDITIONAL
`
`PRIOR ART
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`TOKYO
`STOCK
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`‘I32 CLAIM
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`ELEMENT
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`"an
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`CAPITAL
`GL WIN With WIT
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`DIGITAL
`TRADEPAD
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`STOCK
`EXCHANGE
`Versions 4.31,
`
`
`
`
`
`SYSTEM
`4.50, and 4.51 MARKET’
`
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`
`
`AND THE
`and DX 384,
`
`
`
`AUGUST
`385, 537, 538,
`
`
`
`
`539, 593, 593A,
`1998
`
`
`
`MANUAL3
`598, 592, 605,
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`
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`612, and 626.‘
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`A method
`of
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`The system is an
`TSE's August
`Tradepad
`The
`
`Swiss Exchange
`1998 Manual
`SWX TS User
`
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`
`
`system
`trader
`placing a
`trading
`electronic
`trading
`
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`
`
`that describes
`for
`a had a method for
`"an Manual
`order
`system
`Dec.
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`1998.
`displays the inside
`commodity on an
`placing an order
`electronic
`Contains
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`electronic
`for a commodity market with
`trading system a vertical price
`the
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`exchange having
`on an electronic highest bid price which
`display with the
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`an inside market
`exchange.
`and the lowest ask
`It
`displayed
`inside market and
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`with a highest bid displayed
`the price
`a market
`market
`depth.
`using
`inside
`market
`information for
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`
`
`
`
`
`
`(Describes
`a
`a
`and
`price
`graphical
`user
`It uses a
`interface.
`
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`with a highest bid
`lowest ask price,
`trading
`commodity
`a
`system
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`and
`using a graphical price
`a mouse
`and/or
`on a graphical
`for placing orders
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`user interface and lowest ask price
`keyboard to place a user interface."
`Swiss
`the
`on
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`user
`input using a graphical
`trade order.
`a
`(Man. at TSE Stock Exchange.)
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`
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`device,
`said user interface.
`It
`610) (TSE Dep.
`(Man. at 1-1).
`method
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`
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`used a user input
`15)
`The
`at
`manual
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`device,
`i.e.,
`a
`comprising:
`Pages 6-7, 6-13,
`describes
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`6-14, and 6-16 of
`mouse to place an
`order.
`electronic
`the manual
`all
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`
`
`trading system
`show a
`trading
`screen
`trader
`that
`a
`--
`the
`
`
`
`
`
`Book
`Order
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`
`
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`
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`can use to place
`Overview —— that
`trade order
`a
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`
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`for
`a
`inside
`an
`has
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`
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`market with
`a
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`
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`commodity on
`electronic
`an
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`highest bid price
`
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`
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`and
`the
`lowest
`exchange."
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`
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`ask price shown
`at
`(TSE Dep
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`
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`
`
`graphical
`(Man.
`15-16.)
`a
`on
`at TSE 610- user interface.
`
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` 619)
`
`
`Pages 6-14 - 6-17
`the manual
`of
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`describe the use
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`of a mouse to
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`enter orders.
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`Pgs. 7-17, 7-18,
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`7-25, and 7-26
`the
`of
`1998
`
`
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`manual
`all
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`
`Show
`screen
`
`
`an
`shots
`of
`
`
`
`
`(1984)
`INTEX.
`electronic
`
`
`Shows
`(DX10).
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`3 eSpeed incorporates the deposition testimony of Autsushi Kawashima and Hiroyuki Kida to support its allegations
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`regarding TSE.
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`Page 3 of 93
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`Page 3 of 93
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`

`
`ADDITIONAL
`PRIOR ART
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`TOKYO
`STOCK
`EXCHANGE
`SYSTEM
`
`AND THE
`
`
`AUGUST
`
`1998
`
`MANUAL3
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`exchange
`
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`having
`an
`inside market
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`with a highest
`
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`
`
`bid price and a
`lowest
`ask
`
`
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`
`
`on
`price
`a
`
`
`graphical
`user
`interface.
`
`
`1998
`The
`
`
`manual
`states
`
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`that orders can
`
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`
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`be
`placed
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`
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`through the use
`
`
`of a mouse (9-
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`2)
`or
`a
`
`keyboard.
`
`(Man.
`TSE622)
`
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`at
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`a vertical price
`
`
`display,
`the
`inside market and
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`
`
`market depth.
`It
`is used with a
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`keyboard.
`
`Jan.
`TIFFE
`
`
`1996 Manual
`
`
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`
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`(Refco 10861 at
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`
`82)
`pg.
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`Electronic trading
`
`
`systems
`that
`shows a vertical
`
`
`
`
`
`price
`display,
`inside market and
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`
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`
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`market depth on a
`
`
`graphical
`user
`interface and can
`
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`be traded with an
`
`
`
`
`
`
`input device.
`
`
`
`CAPITAL
`WIT
`
`DIGITAL
`
`STOCK
`
`MARKET’
`
`
`
`'132 CLAIM
`
`
`ELEMENT
`
`
`
`
`GL WIN With
`
`
`TRADEPAD
`
`
`
`Versions 4.31,
`
`
`
`4.50, and 4.51
`
`
`
`and DX 384,
`
`
`
`385, 537, 538,
`539, 593, 593A,
`
`
`
`598, 592, 605,
`
`
`
`612, and 626.‘
`
`
`
`Osaka
`
`Stock
`
`
`
`
`
`Exchange
`
`
`("OSE") April
`
`
`1996
`(Refco
`
`
`
`9773 at pgs. 19-
`
`31).
`
`
`Electronic trading
`
`
`systems
`that
`shows a vertical
`
`
`
`
`
`price
`display,
`inside market and
`
`
`
`
`
`
`market depth on a
`
`
`graphical
`user
`interface and can
`
`
`
`be traded with an
`
`
`
`
`
`
`input device.
`
`LIFFE APT
`
`
`
`System. (DX
`
`
`150, 151, 152)
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`Page 4 of 93
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`Page 4 of 93
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`

`
`GL WIN With
`CAPITAL
`WIT
`TOKYO
`
`
`DIGITAL
`TRADEPAD
`STOCK
`
`
`
`
`
`
`
`STOCK
`EXCHANGE
`Versions 4.31,
`
`
`
`
`
`SYSTEM
`4.50, and 4.51 MARKET2
`
`
`
`
`and DX 384,
`AND THE
`
`
`
`
`385, 537, 538,
`AUGUST
`
`
`539, 593, 593A,
`1998
`
`
`
`
`598, 592, 605,
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`
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`612, and 626.1
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`
`Trading screen
`shows a vertical
`
`
`
`
`
`price display,
`
`with an inside
`
`
`
`market and
`
`
`
`
`
`
`market depth. It
`
`was used with a
`
`
`
`
`mouse and/or
`
`
`
`
`keyboard.
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`
`
` LIFFE APT
`
`Promotional
`
`Brochure
`
`
`
`(DX148)
`
`("Automated
`
`
`
`trading traditional
`
`
`
`approach - Order
`
`Matching."
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`
`
`Midas Kapiti.
`Shows a vertical
`
`
`
`
`price display with
`an inside market.
`
`
`
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`
`
`DX 617, 618,
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`
`
`619, 620, 621,
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`
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`622, 623, 624.
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`
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`
`
`Tradesoft. An
`
`
`
`
`
`electronic trading
`
`
`system that
`
`displayed a price
`column with the
`
`
`
`inside market and
`
`
`
`
`
`
`
`market depth. It
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`Page 5 of 93
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`LIFFE 1998 API
`
`
`Reference
`
`Manuals show a
`
`
`
`
`vertical price
`
`
`display showing
`an inside market
`
`
`
`
`
`and market depth.
`
`ADDITIONAL
`
`PRIOR ART
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`‘I32 CLAIM
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`ELEMENT
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`Page 5 of 93
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`

`
`
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`ADDITIONAL GLW]NWith WIT CAPITAL TOKYO
`
`
`
`
`
`
`
`TRADEPAD
`DIGITAL
`STOCK
`
`
`
`
`
`
`
`
`Versions 4.31,
`EXCHANGE
`
`
`
`
`4.50, and 4.51
`SYSTEM
`
`
`
`
`and DX 384,
`AND THE
`
`
`
`
`385, 537, 538,
`AUGUST
`
`
`539, 593, 593A,
`1998
`
`
`
`
`598, 592, 605,
`
`
`
`612, and 626.‘
` used an input
`
`
`
`
`
`
`device to place
`trades.
`
` IRIS in the
`
`
`
`LIFFE
`
`
`
`February 1999
`
`
`
`
`ISV Directory at
`
`
`
`
`
`pg. 12. (DX 156)
`
`
`
`
`
`
`
`
`
`
` Friesen US
`
`
`
`2003/0097325,
`An electronic
`
`
`
`
`trading systems
`
`
`that displayed a
`
`
`
`price column
`
`with the inside
`
`
`
`
`market and
`
`
`
`
`
`
`market depth. It
`
`
`
`
`used an input
`
`
`
`
`device to place
`trades.
`
`
`
`
`
`
`
`
`Figures 3a, 3b,
`3c and 4 show a
`
`
`
`
`
`
`vertical price
`
`
`
`
`display with bids
`and asks shown
`
`
`
`
`
`
`
`
`as a bar (Figures
`
`
`
`
`
`
`3a, 3b, 3c) or as
`
`bid/offer icons
`
`
`
`
`
`
`(Fig. 4.) "The
`
`
`
`value/quantity
`
`View 420
`
`
`illustrates the
`
`
`
`market for the
`
`
`
`
`
`
`
`item using a first
`
`axis of Values
`
`
`
`
`408 anda second
`
`
`
`
`axis 412 for
`
`
`
`
`
`
`quantity. Thus,
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`
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`Page 6 of 93
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`
`
`'132 CLAIM
`
`ELEMENT
`
`
`
`
`
`
`Page 6 of 93
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`

`
`TOKYO
`GL WIN With
`ADDITIONAL
`CAPITAL
`WIT
`
`PRIOR ART
`STOCK
`DIGITAL
`TRADEPAD
`
`
`
`
`
`
`
`
`
`EXCHANGE
`Versions 4.31,
`STOCK
`
`
`
`
`
`SYSTEM
`4.50, and 4.51 MARKET2
`
`
`
`
`AND THE
`and DX 384,
`
`
`
`AUGUST
`385, 537, 538,
`
`
`
`
`539, 593, 593A,
`1998
`
`
`
`
`598, 592, 605,
`612, and 626.1
`
`
`
`the location of
`
`
`
`
`each offer icon
`
`
`
`400 and each bid
`
`
`
`icon 404
`
`
`
`represents the
`value for the
`
`
`
`offer or bid and
`
`
`
`
`
`
`
`
`the quantity for
`
`which the offer or
`
`
`
`
`bid is made."
`
`
`
`
`
`
`
`(Pg. 5, Par. 44]
` Ecco March
`
`
`1999 MEFF
`
`Report
`
`
`(ES60578-591)
`
`
`
`
`Study. Shows a
`
`
`
`vertical price
`
`
`
`display, the
`
`
`
`inside market,
`
`and the market
`
`
`
`
`
`
`
`depth. It is used
`
`
`
`
`with a user input
`
`device.
`
`user
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`setting a preset The
`Swiss Exchange
`SWX TS User
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`parameter for the
`allows a user to
`preset at
`least
`Dec.
`Manual
`describes
`
`
`
`
`
`
`
`
`following
`trade order
`a
`preset
`set
`the
`
`
`
`
`
`
`
`
`parameters:
`parameter for the
`12-3
`1998 (Pg.
`indicates that the
`
`
`
`
`
`
`to
`account, market
`
`
`
`trade order, e.g.,
`"control/manag
`ement"
`be traded in and
`
`
`
`
`
`
`
`
`
`
`a quantity.
`user
`can preset
`whether or not he
`
`
`
`
`parameter
`
`commodity.
`
`
`
`
`
`is trading for his
`be
`
`
`
`"automatically
`own account)
`
`
`
`It states
`set.
`"when
`the
`
`
`
`
`Midas
`Kapiti.
`The
`instruction
`user
`can
`
`
`
`
`
`
`procedure
`present
`certain
`automatic
`
`
`
`such
`parameters
`
`
`
`
`
`setting
`of
`as
`the quantity.
`
`
`
`
`
`items DX 617,
`618,
`control
`
`
`
`
`
`been
`619,
`620,
`621,
`has
`
`
`
`
`
`
`
`carried out, the
`622, 623, 624.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`that
`
`
`
`
`
`
`
`can
`
`
`
`
`
`
`for
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`'132 CLAIM
`
`ELEMENT
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`the
`
`
`
`
`
`June
`also
`See
`
`
`
`1999 Manual (Pg.
`
`
`("The
`29)
`
`
`Quantity Matrix
`allows the trader
`
`
`
`increase
`to
`the
`
`
`
`
`
`current
`quantity
`
`
`
`value preset
`in
`
`
`
`the Quantity edit
`
`
`
`box. By clicking
`with
`the
`left
`
`
`
`
`
`
`
`
`
`
`
`
`Page 7 of 93
`
`Page 7 of 93
`
`

`
`GL WIN With
`
`
`TRADEPAD
`
`
`
`Versions 4.31,
`
`
`
`4.50, and 4.51
`
`
`and DX 384,
`
`
`
`385, 537, 538,
`
`
`539, 593, 593A,
`
`
`
`598, 592, 605,
`
`
`
`512, and 626.‘
`button of mouse
`
`
`
`
`
`
`
`
`in either the 1, 5,
`
`
`
`
`10,
`50 or
`100
`
`
`
`above boxes,
`the
`current
`volume
`
`
`will be increased
`
`
`
`
`
`
`
`
`by either 1, 5, 10,
`
`
`
`
`50 or 100.) Pg.
`
`
`30
`("The
`
`
`Quantity
`Spin
`Button allows the
`
`
`
`either
`to
`trader
`
`
`
`increase
`or
`
`decrease
`the
`
`
`
`
`
`quantity
`current
`
`
`value
`by
`the
`
`quantity
`default
`movement,
`
`
`
`
`specified in the
`‘Order Defaults‘
`
`
`
`
`dialog box.")
`
`
`
`
`
`'132 CLAIM
`
`ELEMENT
`
`
`
`
`
`
`TOKYO
`CAPITAL
`VVIT
`
`
`
`DIGITAL
`STOCK
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`EXCHANGE
`
`
`SYSTEM
`
`
`AND THE
`
`
`AUGUST
`
`1998
`MANUAL3
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`results will be
`
`
`reflected
`
`afterward,
`beginning with
`
`
`new order entry
`window
`
`
`display.
`when
`
`instruction
`
`procedure
`automatic
`
`
`
`setting
`of
`control
`items
`
`
`been
`has
`
`
`
`
`
`carried out, the
`control
`item
`
`
`
`
`not
`[area]
`
`
`even
`cleared,
`
`
`sending
`after
`new orders."
`
`
`
`In
`the
`
`
`
`
`
`
`
`
`
`
`
`
`the
`
`
`
`for
`
`
`
`
`is
`
`
`
`deposition,
`
`
`agreed
`TSE
`
`
`
`that page 6-7
`
`
`(TSE7l8)
`of
`manual
`the
`
`
`described how
`
`
`the
`
`management
`
`parameter
`
`
`
`could be preset
`for all
`trades.
`
`
`
`
`
`
`(TSE Dep.
`at
`
`65.)
`
`
`
`
`
`Minex Nov. 1992
`
`
`
`
`Service Outline
`
`
`
`
`
`
`10)
`(pgs.
`8,
`
`
`("'defaults
`you
`include:
`can set
`
`
`
`
`
`
`a) Amount" ("to
`enter orders
`in
`
`
`
`the market
`1.
`
`
`
`
`
`
`press
`bid
`the
`
`
`
`(offer) key.
`the
`
`
`
`system opens the
`
`
`dealing window.
`the best
`rate is
`
`
`
`
`
`automatically
`
`
`
`displayed in the
`
`
`box
`price
`
`
`
`window, and the
`
`
`preset conditions
`
`
`
`appear
`the
`in
`amount and min
`
`
`
`
`
`
`boxes.
`you can
`
`
`always
`change
`
`
`preset conditions
`
`
`
`. 2 press the
`.
`.
`
`
`
`execute key.
`the
`order will
`be
`
`
`
`entered into the
`
`
`
`
`market")
`
`March
`Ecco
`
`
`MEFF
`1999
`
`
`
`
`
`
`Report at pg.
`
`("fiinctionality
`
`
`
`should be given
`to allow traders
`
`
`
`to set a default
`
`
`
`
`
`
`
`for the following:
`size
`for
`each
`
`
`
`
`contract")
`
`
`
`.6
`
`
`
`
`
`W0 Belden
`
`
`
`
`
`
`Page 8 of 93
`
`Page 8 of 93
`
`

`
`TOKYO
`
`STOCK
`
`EXCHANGE
`SYSTEM
`
`
`
`AND THE
`
`AUGUST
`
`1998
`
`
`
`
`
`
`
`
`
`
`
`
`CAPITAL
`GL WIN With WIT
`
`
`
`
`TRADEPAD
`DIGITAL
`
`
`
`
`
`Versions 4.31,
`
`
`
`4.50, and 4.51
`
`and DX 384,
`
`
`
`385, 537, 538,
`
`
`539, 593, 593A,
`
`
`
`
`598, 592, 605,
`
`
`
` 612, and 626.’
`90/1 1571
`
`
`
`Pages
`(Aurora)
`
`
`
`31-36 (presets the
`
`
`
`
`
`
`'132 CLAIM
`
`
`ELEMENT
`
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`
`
`commodity)
`
`
`
`
`
`
`
`
`
`
`
`McCausland US
`
`
`
`
`5,243,331,
`
`
`
`
`lines
`column 23,
`
`
`
`(bid offer
`1-21.
`
`entries
`
`
`
`automatically
`
`
`default)
`
`
`
`
`
` Jain US
`
`
`
`6,343,278, FIGS.
`
`
`
`
`column 7,
`1-3,
`
`
`
`lines
`38-52,
`
`
`
`lines
`column 8,
`
`40-50.
`
`
`
`(commodity can
`
`
`
`
`preset
`be
`a
`
`parameter).
`
`
`
`
` May
`
`US
`
`
`6,421,653 FIGS.
`
`
`
`
`
`14A, 14B, & 15.
`
`
`
`
`
`C01. 35, line 3 to
`
`
`
`
`C01. 36, line 45.
`
`
`
`Friesen FIGS.
`
`
`
`
`
`
`
`3A and 12. pages
`
`
`
`
`10-13 and pages
`
`
`
`23, 26-27, 29 line
`
`
`
`29-30, line 6.
`
`
`
`
`
`(The size of the
`
`
`
`
`
`order bar is preset
`
`
`
`but adjustable).
`
`
`
`
`
`
`
`
`See also prior art
`
`
`
`relating to "single
`action"
`
`
`limitation.
`
`
`
`
`Page 9 of 93
`
`
`
`Page 9 of 93
`
`

`
`‘I32 CLAIM
`
`ELENIENT
`
`
`
`
`
`
`
`
`displaying market
`
`
`of
`depth
`the
`
`commodity
`
`
`a
`through
`
`
`dynamic display
`
`
`
`
`of a plurality of
`and
`bids
`a
`
`
`
`
`
`
`plurality of asks
`in the market for
`
`
`
`
`
`
`the
`commodity,
`
`
`
`including at least
`
`
`
`
`a portion of the
`bid
`and
`ask
`
`
`
`
`
`
`quantities of the
`
`commodity
`
`
`
`CAPITAL
`WIT
`
`DIGITAL
`
`STOCK
`
`MARKET2
`
`
`
`
`
`system
`The
`
`
`
`displays the market
`
`
`
`the
`of
`depth
`
`
`commodity through
`one
`than
`more
`
`
`
`
`
`
`bids
`plurality
`of
`the
`asks
`in
`and
`
`
`
`
`market.
`The bids
`
`
`
`and asks can move
`
`
`
`
`
`
`
`
`up and down the
`
`
`
`the
`along
`screen
`
`
`
`
`static price axis to
`reflect
`the market
`
`
`
`
`
`
`the
`depth
`of
`
`
`
`the
`commodity as
`market
`inside
`
`
`changes.
`
`
`
`
`
`
`
`GLWIN With
`TRADEPAD
`
`
`
`Versions 4.31,
`
`
`
`4.50, and 4.51
`
`
`and DX 384,
`
`
`
`385, 537, 538,
`
`
`539, 593, 593A,
`
`
`
`598, 592, 605,
`
`
`
`612, and 626.‘
`GL Win Version
`
`
`
`
`
`
`4.51 displays the
`
`
`
`market depth of
`
`
`commodity
`the
`
`
`through
`a
`
`
`
`plurality of bids
`
`
`
`and plurality of
`asks.
`The bids
`
`
`
`and asks
`could
`
`
`
`
`
`change positions
`
`
`
`the
`display
`in
`relative
`to
`the
`
`
`
`
`
`
`static price axis
`the
`inside
`as
`
`
`
`
`
`market changed.
`
`The GL Win
`
`
`
`V4.31 and 4.50
`
`
`
`
`
`
`displayed the best
`bid and best ask
`
`
`
`
`
`
`which
`change
`
`
`
`positions
`in the
`
`
`
`display relative to
`
`
`
`static price
`the
`axis as the inside
`
`
`
`
`
`
`market changed.
`
`10
`
`
`
`Page 10 of 93
`
`
`
`
`
`
`
`
`
`Pgs. 7-17, 7-18,
`7-25, and 7-26
`
`
`
`of the 1998
`
`
`manual all
`
`
`show screen
`
`shots of a
`
`
`
`trading screen
`
`
`showing the
`
`
`market depth of
`
`
`a commodity
`
`containing
`more than one
`
`
`
`bid and ask in
`
`
`
`
`the market.
`
`
`
`
`
`
`
`
`
`
`Pg. 7-1 of the
`manual states
`
`
`that the
`
`
`
`"board/quotatio
`11 information
`
`
`
`
`is updated
`
`automatically
`at three second
`
`
`intervals" and
`
`
`that "automatic
`
`
`updating
`continues even
`
`
`when the board
`
`
`infonnation is
`
`
`
`
`
`scrolled up or
`down."
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Pg. 7-26 of the
`manual states
`
`
`that "even
`
`
`
`when scrolling
`
`
`is performed,
`the board
`
`
`information
`
`
`
`still updates
`automatically. "
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`TOKYO
`STOCK
`EXCHANGE
`SYSTEM
`
`AND THE
`
`
`AUGUST
`
`1998
`
`MANUAL3
`
`
`
`
`
`
`Swiss Exchange
`SWX TS User
`
`
`Manual Dec.
`
`
`
`
`
`1998 Pages 6-7,
`
`
`
`6-13, 6-14, and 6-
`16 of the manual
`
`
`
`
`
`
`all show a trading
`screen -- the
`
`
`Order Book
`
`
`Overview -- that
`
`shows a vertical
`
`
`
`
`
`price ladder with
`
`
`
`a plurality of bids
`
`
`
`and asks aligned
`with the vertical
`
`
`
`
`
`
`display of prices
`
`
`
`that update in
`
`
`response to new
`market
`
`infonnation.
`
`
`
`
`
`
`
`
`
`
`
`
`
`INTEX The
`Intex scree --
`
`
`DX 10 -- shows a
`
`
`
`
`
`vertical price
`
`
`
`display with a
`
`
`
`plurality of bids
`
`
`
`and asks aligned
`with the vertical
`
`
`
`
`
`display of prices.
`The bid and ask
`
`
`
`
`
`quantities update
`
`
`
`in response to
`new market
`
`information and
`
`when the inside
`
`
`
`
`
`market changes.
`
`
`
`
`
`
`
`LIZFFE APT.
`
`The bid and asks
`
`
`
`
`
`
`
`are aligned with
`
`
`
`
`the prices and are
`
`
`
`Page 10 of 93
`
`

`
`TOKYO
`CAPITAL
`GL WIN With WIT
`
`
`
`
`DIGITAL
`TRADEPAD
`STOCK
`
`
`
`
`
`
`
`STOCK
`EXCHANGE
`Versions 4.31,
`
`
`
`
`
`SYSTEM
`4.50, and 4.51 MARKETZ
`
`
`
`
`AND THE
`and DX 334,
`
`
`
`
`AUGUST
`385, 537, 538,
`
`
`
`539, 593, 593A,
`- 1998
`
`
`
`MANUAL’
`598, 592, 605,
`
`
`
`
`
`
`
`
`
`
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`
`
`
`'132 CLAIM
`
`
`ELEM:ENT
`
`
`
`
`updated in
`
`
`response to new
`market
`
`information.
`
`
`
`
`
`
`
`
`
`
`
`
`
`612, and 626.‘
`TSE testified
`
`
`
`that the bids
`
`
`
`and ask are
`
`
`
`
`
`updated in
`
`
`response to
`new market
`
`
`information.
`
`
`
`
`(Dep. at 30.)
`
`
`
`
`
`
`
`
`
`LIFFE API
`Reference
`
`
`
`Manual (Sept.
`
`
`1998) (Pg. A-63)
`
`
`
`
`(Shows a series
`
`
`
`of diagrams
`
`where the bids
`
`
`
`
`and asks are
`
`
`
`
`
`
`updated in
`
`
`
`
`response to new
`
`market
`
`
`information and
`
`
`
`move on the
`
`
`
`
`screen when the
`
`
`
`
`inside market
`
`
`
`changes.)
`
`
`
` TIFFE
`
`The bid and asks
`
`
`
`
`
`
`
`
`are aligned with
`
`
`
`
`the static prices
`
`
`
`
`and are updated
`
`
`
`and change
`
`
`
`positions in
`
`
`
`
`response to new
`
`market
`
`
`information when
`
`
`
`the inside market
`
`
`
`
`changes
`
` OSE. The bid
`
`
`
`
`and asks are
`
`
`
`
`
`
`
`aligned with the
`
`
`
`
`static prices and
`
`
`
`
`are updated and
`
`
`
`change positions
`
`
`
`in response to
`
`
`
`
`Page 11 of 93
`
`Page 11 of 93
`
`

`
`
`
`
`
`"132 CLAIM
`
`
`ELEMENT
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Friesen, FIGS.
`
`
`
`
`3A and 12. pages
`
`
`
`
`
`10-13 and pages
`
`
`
`
`
`23, 26-27, 29 line
`
`
`
`29-30, line 6.
`
`
`
`
`(Order bars show
`
`
`quantity).
`
`
`
`
`
`
`
` Tradesoft.
`
`
`Displayed a
`
`
`
`plurality of bids
`and asks that are
`
`
`
`
`
`
`updated and
`
`
`
`change positions
`
`
`
`
`in response to
`
`new market
`
`information and
`
`
`when the inside
`
`
`
`
`
`
`market changes.
`
`
`
` Ecco March
`
`
`
`1999 MEFF
`
`
`
`Report.
`
`
`Displays a
`
`
`
`
`plurality of bids
`
`and asks that are
`
`
`
`
`
`
`updated in
`
`
`
`
`response to new
`
`market
`
`
`information when
`
`
`
`the inside market
`
`
`
`
`changes.
`
`
`
` Tuck US
`
`
`
`6,115,698, FIGS.
`
`
`
`
`20-22, column 9,
`
`
`
`lines 34-45;
`
`
`
`
`
`
`
`Page 12 of 93
`
`CAPITAL
`VVIT
`GLWINWith
`TOKYO
`
`
`STOCK
`DIGITAL
`TRADEPAD
`
`
`
`
`
`
`
`EXCHANGE '
`Versions 4.31,
`STOCK
`
`
`
`
`SYSTEM
`4.50, and 4.51 MARKET“
`
`
`
`
`AND THE
`and DX 384,
`
`
`
`
`
`AUGUST
`335, 537, 533,
`
`
`
`
`
`539, 593, 593A,
`1998
`
`
`
`
`
`598,592, 605,
`
`612, and 626.‘
`
`
`new market
`
`
`information when
`
`the inside market
`
`
`
`
`changes.
`
`
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`
`Page 12 of 93
`
`

`
`GL WIN With
`
`VVIT
`
`
`
`
`DIGITAL
`TRADEPAD
`
`
`
`
`
`STOCK
`Versions 4.31,
`
`
`
`4.50, and 4.51 MARKET“
`
`
`and DX 384,
`
`
`
`385, 537, 538,
`
`
`539, 593, 593A,
`
`
`
`598, 592, 605,
`
`
`
`612, and 626.1
`
`'132 CLAIM
`
`
`ELEMENT
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`the
`dynamic The bids and asks There are two LIFFE
`dynamic The
`API
`
`
`
`
`
`
`
`
`
`
`
`
`display
`display is aligned
`being
`are aligned with the
`of Reference
`types
`
`
`
`
`
`
`
`
`
`
`
`
`
`(Sept.
`Manual
`a with
`aligned with
`static
`static
`display
`of
`screens
`a
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`described in the
`static display of display of prices.
`prices. The prices
`1998) (Pg. A-63)
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`manual
`prices
`wherein The static display
`do not move on the TSE
`(Shows a series
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`the static display of prices does not
`screen and do not which have a of
`diagrams
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`of prices does not move
`and does move when
`price where the inside
`the
`static
`
`
`
`
`
`
`
`
`
`
`
`
`
`move in response not move
`iI1
`inside
`market
`the basic market
`axis,
`has
`
`
`
`
`
`
`
`
`
`
`
`
`
`a
`to a change inthe response
`to
`changes.
`screen moved and the
`board
`
`
`
`
`
`
`
`
`
`
`inside market.
`the
`change
`and
`the
`asks
`in
`with
`bids
`
`
`
`
`
`
`inside
`market.
`floating display
`change positions,
`
`
`
`
`
`
`
`
`
`
`
`The only time the
`and
`the
`but the price axis
`area
`
`
`
`
`
`
`price
`display
`scroll screen.
`remains static).
`
`
`
`
`moves
`by
`is
`
`
`
`
`
`
`
`
`
`pressing
`the
`Pg. 7-25 of the
`Kapiti.
`Midas
`1998 manual
`
`
`
`
`
`
`
`
`
`home key or by
`The price display
`describes
`a
`is static.
`It does
`
`
`
`
`
`
`
`
`
`scrolling with the
`arrows.
`not move until
`
`
`
`
`
`"floating
`the user moves it.
`
`
`
`
`
`
`
`display area" in
`a basic board
`It does not move
`
`
`
`
`
`
`
`screen.
`The
`
`
`
`
`
`in
`response
`to
`
`
`
`
`changes
`in the
`floating display
`
`is
`"three
`area
`
`inside marketf‘
`
`
`
`
`
`
`prices
`above
`TIFFE
`and below" the
`
`
`
`
`
`
`
`
`
`
`It
`This system had a
`center price.
`that
`states
`
`
`
`
`dynamic display
`when the center
`
`
`
`
`
`
`a
`aligned with
`
`
`
`
`
`static price axis
`price
`board
`exceeds
`the
`that did not move
`
`
`
`
`
`
`when the inside
`
`
`
`
`
`
`range
`of
`the
`
`
`
`
`market
`changed.
`floating display
`
`
`
`
`
`(In the manual
`area,
`"the
`
`
`
`
`
`prices
`the mode,
`the prices
`in
`
`
`
`
`
`
`center part of
`remained fixed)
`
`the board are
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`4 eSpeed relies on the deposition of Hiroyuki Kida and the exhibits marked therein for the operation and
`
`
`
`
`
`
`functionality of the Midas Kapiti system.
`
`
`
`13
`
`
`
`Page 13 of 93
`
`ADDITIONAL
`CAPITAL TOKYO
`
`PRIOR ART
`STOCK
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`EXCHANGE
`
`SYSTEM
`
`AND THE
`
`
`
`
`AUGUST
`
`
`
`1998
`MANUAL’
`
`
`
`
`
`
`
`
`
`
`
`column 10, lines
`28-52.
`
`
`
`
`
`
`Page 13 of 93
`
`

`
`'132 CLAINI
` GL WIN With
`
`
`
`
`ELENIENT
`TRADEPAD
`
`
`
`
`Versions 4.31,
`
`
`
`4.50, and 4.51
`
`
`and DX 384,
`
`
`
`385, 537, 538,
`
`539, 593, 593A,
`
`
`
`598, 592, 605,
`
`
`61; and626}
`
`cyAPrTAu;
`vrr
`
`DIGITAL
`
`STOCK
`
`ATAEREJET“
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`compiled
`automatically."
`
`
`
`TOKYO
`
`STOCK
`
`EXCHANGE
`SYSTEM
`
`AND THE
`
`
`AUGUST
`
`
`1993
`
`
`MANUAL3
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`OSE.
`These
`
`
`
`
`
`
`a
`had
`systems
`
`
`dynamic display
`
`
`
`a
`aligned with
`
`
`
`static price axis
`that did not move
`
`
`
`
`when the inside
`
`
`
`
`
`market changed.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Swiss Exchange
`SWX TS User
`
`Manual Dec.
`
`
`
`
`
`1998 Pages 6-7,
`6-13, 6-14, and 6-
`
`
`
`16 of the manual
`
`
`
`
`
`
`all show a trading
`screen —- the
`
`
`Order Book
`
`
`Overview —- that
`
`shows a vertical
`
`
`
`
`
`
`price ladder with
`
`
`
`a plurality of bids
`
`
`
`and asks aligned
`with the vertical
`
`
`
`
`
`display of prices.
`
`
`
`
`
`
`
`
`
`
`
`
`
`the
`
`stays
`the
`
`
`
`
`
`
`Tradesoft.
`
`
`Displayed a
`
`
`dynamic display
`of bids and asks
`
`
`
`
`
`
`
`
`
`prices
`displayed."
`
`
`
`
`
`Page 14 of 93
`
`the scroll
`For
`
`
`
`the
`screen,
`
`
`states
`manual
`
`
`
`
`
`
`at pg 7-25 that
`"in the
`scroll
`
`
`
`the
`screen,
`
`
`
`display
`for
`
`
`positions
`
`
`
`the prices do
`1101
`
`
`change
`
`automatically."
`
`TSE
`testified
`
`for
`that
`the
`
`
`
`screen
`board
`
`with
`
`
`
`
`floating display
`
`
`
`
`area, as long as
`the last
`traded
`
`
`
`
`
`price
`within
`
`
`
`
`floating display
`
`
`
`area, the prices
`the
`in
`
`
`
`price
`column will not
`
`
`
`
`
`
`(Dep. at
`move.
`
`
`
`
`35.) But "if the
`
`
`floating display
`IS
`area
`'
`
`
`
`
`exceeded,
`the
`latest executed
`
`
`IS
`
`
`price
`'
`
`
`redisplayed
`at
`center of
`the
`
`
`
`the board and
`
`
`
`on
`centered
`
`
`20
`the
`that
`
`
`are
`
`
`
`
`
`
`
`
`
`
`
`INTEX (1984)
`If orders are
`
`
`
`deleted at the
`
`
`
`
`
`inside market,
`
`
`
`then the price
`column remains
`
`static while the
`
`
`
`bids and asks are
`
`
`
`
`
`
`updated and
`
`change positions
`
`
`
`on the display.
`
`
`
`
`
`
`
`Page 14 of 93
`
`

`
`GL WIN With
`
`
`
`
`TRADEPAD
`
`
`
`
`Versions 4.31,
`
`
`
`4.50, and 4.51
`
`and DX 384,
`
`385, 537, 538,
`
`
`539, 593, 593A,
`
`
`
`598, 592, 605,
`
`
`612, and 626.‘
`
`and a horizontal
`
`
`
`
`
`36.)
`at
`(Dep.
`TSB
`testified
`
`
`
`
`
`static display of
`this
`that
`
`
`
`
`
`prices that did not
`move when the
`
`
`
`
`
`functionality is
`on
`forth
`inside market
`set
`
`
`
`
`
`
`
`
`
`changed.
`page TSE 761
`
`
`
`(7-25) of
`the
`1998 manual.
`
`
`
`
`
`at
`(Dep.
`36.)
`TSE
`testified
`
`
`that if the last
`
`
`
`
`
`
`executed price
`
`
`
`stays within the
`
`
`floating display
`
`
`
`area, the prices
`
`
`
`the
`price
`in
`column remain
`
`
`
`
`
`(Dep. at
`static.
`
`44.)
`
`
`
`
`
`
`
`
`Ecco March
`
`
`1999 MEFF
`
`
`
`Report. Shows a
`
`
`
`display of bids
`
`
`and asks aligned
`
`
`With price
`columns.
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` For the scroll
`
`
`
`TSE
`screen,
`
`
`testified
`that
`
`
`is
`there
`no
`
`
`
`
`
`
`floating display
`
`in
`area
`the
`
`
`
`
`scroll
`screen
`
`
`
`
`
`
`and the prices
`
`would
`move
`
`
`there
`even if
`
`
`
`a
`was
`
`
`
`
`significant
`
`
`
`change in the
`
`inside market.
`
`
`
`
`
`(Dep.
`46-
`at
`
`
`
`TSE
`48.)
`
`testified
`that
`
`
`this
`
`
`
`functionality
`
`
`
`explained
`was
`
`third
`the
`in
`
`
`
`bullet
`oint
`
`
`
`
`
`
`
`
`
`Page 15 of 93
`
`
`
`
`
`
`
`
`
`CAPITAL TOKYO
`ADDITIONAL
`
`PRIOR ART
`STOCK
`
`
`
`
`EXCHANGE
`SYSTEM
`
`
`
`AND THE
`
`AUGUST
`
`
`1998
`
`MANUAL3
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`WIT
`
`
`DIGITAL
`
`
`
`
`Page 15 of 93
`
`

`
`ADDITIONAL
`
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` Pgs. 7-22 (TSE
`
`
`
`
`
`
`758)
`of
`the
`manual
`
`that
`describe
`
`
`the bid and ask
`
`
`
`
`
`are the number
`
`
`
`
`of orders at that
`
`
`
`
`
`
`
`specified price.
`
`
`
`
` TSE testified
`
`
`that the bid and
`
`
`
`
`
`colunms
`ask
`
`
`
`
`
`represent
`the
`
`number
`of
`
`
`orders made for
`
`
`
`
`
`
`that
`price.
`
`
`(Dep.
`27-
`at
`
`
`30.)
`
`
` Swiss Exchange
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`16
`
`
`
`Page 16 of 93
`
`
`
`'132 CLAIM
`
`ELEMENT
`
`
`
`
`
`
`
`
`
`TOKYO
`CAPITAL
`GL WIN With WIT
`
`
`
`
`
`STOCK
`TRADEPAD
`DIGITAL
`
`
`
`
`
`
`EXCHANGE
`Versions 4.31,
`
`
`
`SYSTEM
`4.50, and 4.51
`
`
`
`AND THE
`and DX 384,
`
`
`
`
`
`
`AUGUST
`385, 537, 538,
`
`
`
`
`1998
`539, 593, 593A,
`
`
`
`
`MANUAL3
`598, 592, 605,
`612, and 626.‘
`
`
`
`under the first
`
`
`
`
`
`
`diagram
`on
`
`
`
`
`TSE 761 (7-25)
`
`
`
`
`(Dep. at 48.)
`
` Pgs. 7-17, 7-18,
`
`
`
`
`
`
`7-25, and 7-26
`
`the
`of
`1998
`
`
`
`manual
`all
`
`
`show
`screen
`
`
`
`the
`of
`shots
`
`
`
`
`dynamic
`
`
`
`display of bids
`
`
`
`
`and asks being
`
`
`aligned
`with
`
`the
`static
`
`
`
`
`
`display
`of
`
`
`prices.
`
`Page 16 of 93
`
`

`
`
`
`ADDITIONAL
`PRIOR ART
`
`
`
`
`
`
`
`
`
`
`
`
`
`TOKYO
`CAPITAL
`‘WIT
`
`
`
`DIGITAL
`STOCK
`
`
`
`EXCHANGE
`
`
`
`SYSTEM
`
`
`
`AND THE
`AUGUST
`
`
`1998
`MANUAL3
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`region is the bid,
`
`
`
`or
`price
`ask,
`These
`columns.
`
`
`columns have areas
`
`
`
`can
`receive
`that
`
`
`
`commands to send
`
`
`
`a trade order and
`
`
`
`
`area
`each
`
`
`
`
`
`to
`corresponds
`a
`
`
`
`
`price in the static
`
`
`price display.
`
`
`
`'132 CLAIM
`
`ELEMENT
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`Midas Kapiti. A
`
`
`
`user can place an
`order with a
`
`
`
`
`
`single action, a
`double click of
`
`
`
`the mouse button.
`
`
`
`
`
`The user places
`
`
`parameters
`
`automatically
`
`
`
`
`filled in.
`(Pg.
`
`
`
`3-6, 9-5.)
`
`
`
`
`Pgs. 7-17, 7-18,
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`5 For the 4.50 and 4.51 GL Win versions, this assumes that the claims cover pop-up windows as TT as set forth in its
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`infringement contentions against eSpeed.
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`17
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`Page 17 of 93
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`GL WIN With
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`TRADEPAD
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`Versions 4.3 1,
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`4.50, and 4.51
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`and DX 384,
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`385, 537, 538,
`539, 593, 593A,
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`598, 592, 605,
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`612, and 626.‘
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`indicates that
`SWX TS User
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`entry
`order
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`order
`entry
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`Manual Dec.
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`region that was
`aligned
`region
`double clicking
`the
`with
`static
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`aligned with the
`in specific
`1998. Displayed
`areas on the
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`static display of
`display of prices
`an order entry
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`a
`comprising
`prices. Each cell
`region aligned
`boards/quotatio
`n screens will
`with the static
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`plurality of areas
`in the order entry
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`region is aligned
`receiving
`for
`display a new
`display of prices.
`static
`commands
`to
`with
`a
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`order entry
`Describes a drag
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`window and
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`send trade orders,
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`display of prices.
`and drop order
`Each cell
`in the
`area
`each
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`entry system
`"automatically
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`from market
`fill in the issue
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`order
`entry
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`corresponding to
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`the
`a price of
`receive
`region
`name, buy/sell,
`depth.
`("Bianchi
`commands
`to
`selects the
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`static display of
`and price, etc.,
`send trade orders.
`from the
`desired order size
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`prices; and
`Each
`cell
`of 503.00 in the
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`position that
`was double
`Detailed Order
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`corresponds to a
`Book Pane .
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`price of the static
`c1icked.". (Pg.
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`display of prices.5
`3-6, 9-5)
`Holding down
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`the middle mouse
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`The manual
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`button, he drags
`t