IBG 1002 (Part 1 of 3)
`CBM of U.S. Pat. No. 7,212,999
`
`1
`
`

`
`Case 3:15—cv—01526—CAB—MDD Document 2 Filed 07/10/15 Page 1 of 1
`
`REPORT ON THE
`Mail Stop 8
`FILING OR DETERMINATION OF AN
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`ACTION REGARDING A PATENT OR
`n
`,
`n
`L-
`LL
`.oI|I-
`5
`u
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has
`been filed in the U.S. District Court Southern District of California on the following: 4XA Patents or i
`Trademarks:
`
`II OCKET NO.
`
`I P
`
`ATENTOR
`la! Uals LI
`
`In the aboveeentitled case, the following decision has been rendered or judgment issued:
`
`II ECISION/JUDGMENT
`
`CLERK
`
`(BY) DEPUTY CLERK
`
`ATE
`
`2
`
`

`
`Case: 1:15—cv—O6056 Document #: 9 Filed: 07/10/15 Page 1 of 1 PageID #:24
`A0 120 Rev. 08/10
`
`T0:
`
`Mail Stop 8
`Director of the U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`REPORT ON THE
`FILING OR DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
`filed in the U.S. District Court
`USDC, Northern Dist. of Illinois, Eastern Div.
`on the following
`E] Trademarks or
`IZPatents.
`( I] the patent action involves 35 U.S.C. § 292.):
`DOCKET NO.
`DATE FILED
`U.S. DISTRICT COURT
`2015cv6056
`7/9/2015
`USDC, Northern Dist. of Illinois, Eastern Div.
`PLAINTIFF
`DEFENDANT
`
`Travel Caddy, Inc.
`
`Belkin International, Inc.
`
`PATENT OR
`
`DATE OF PATENT
`
`1 6,742,636
`
`6/1/2004
`
`LUGGAGE AMERICA dba Olympia International
`
`———— I
`
`n the above—entitled case, the following patent(s)/ trademark(s) have been included:
`INCLUDED BY
`
`DATE INCLUDED
`
`|:| Amendment
`
`E] Answer
`
`[:1 Cross Bill
`
`D Other Pleading
`
`HOLDER OF PATENT OR TRADENIARK
`1_——
`——
`——
`——
`——
`
`In the above—entit1ed case, the following decision has been rendered or judgement issued:
`DECI SION/Jl IDGEMENT
`
`CLERK
`
`Thomas G. Bruton
`
`(BY) DEPUTY CLERK
`
`Scott White
`
`one
`
`7/10/2015
`
`Copy l—Upon initiation of action, mail this copy to Director Copy 3—Upon termination of action, mail this copy to Director
`Copy 2——Upon filing document adding patent(s), mail this copy to Director Copy 4——Case file copy
`
`3
`
`

`
`CaseCH3§l-<1\'/1(lQfi\Z:6(D3tkfiJDIecmI#lB]JY /GCIJEM Iéiéw (BIB/61$:/D3/B!6lj££)PaI332 |I£(IjEEIll]§‘#g@B9f¢: 149
`
`A0 121 (6/90)
`
`COMMISSIONER OF PATENTS AND TRADEIVLARKS
`(USPT0)
`P-‘?- 30* 1450
`A'°’“‘““"“~ VA "313‘”5°
`
`REPORT ON THE
`FILING OF DETERMINATION OF AN
`ACTION REGARDING A PATENT OR
`TRADEMARK
`
`In compliance with 35 U.S.C. 290 and/or 15 U.S.C. 1116 you are hereby advised
`that a court action has been filed on the followin atent
`'
`.
`.
`'
`'ct Court:
`
`DOCKET NO.
`
`DATE FILED:
`
`UNITED STATES DISTRICT COURT,
`NORTHERN DISTRICT OF ILLINOIS,
`
`10 C 716
`
`3/9/2010
`
`EASTERN DIVISION
`
`Plaintiff(s):
`Trading Tech. lntl Inc
`
`Defendant(s):
`SunGard Data Sysems, Inc.
`DATE OF TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`7,676,411
`
`03/09/2010
`
`Gary A. Kemp, II, Jens-Uwe Schluetter,
`Harris Brumfield
`
`DATE INCLUDED
`
`INCLUI)liD BY
`[
`]Amendment
`
`[
`
`]Answer
`
`[
`
`]Cr0ss Bill
`
`[
`
`]Other Pleading
`
`TRADEMARK NUMBER
`
`DATE OF TRADEMARK
`
`HOLDER OF PATENT OR TRADEMARK
`
`—_
`
`In the above-entitled case, the following decision has been rendered orjudgment issued:
`
`DECISION/JUDGMENT
`
`CLERK - THOMAS C. BRUTON
`
`DEPUTY CLERK: S. James
`
`DATE: 5/18/2015
`
`4
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`APPLICATION NO.
`
`2 7,212,999 B2
`: 09/289550
`
`DATED
`INVENTOR(S)
`
`: May 1, 2007
`: Richard W. Friesen et al.
`
`Page 1 of
`
`It is certified that error appears in the above—identified patent and that said Letters Patent is hereby corrected as shown below:
`
`The Title Page, showing the illustrative Figure, should be deleted and substitute therefor the attached
`title page.
`
`Delete Figs. 2, 3A, 3B, 3D, 3B, 9, 4, 6, 7 , 10 and substitute therefor the drawing sheets, consisting of
`Figs. 2, 3A, 3B, 3D, 3E, 9, 4, 6, 7 and 10 as shown on the attached pages.
`
`Column 6, line 41: please delete “$29.50" and insert ——slightly less than $27.35——.
`
`Column 10, line 10: please delete “value/quality” and insert ——value/quantity——.
`
`Column 10, line 12: please delete “quality” and insert ——quantity——.
`
`Claim 34, column 16, lines 17-18: please delete “of plurality of’ and insert ——of the plurality of——.
`
`Signed and Sealed this
`
`Nineteenth Day of April, 201 1
`
`David J. Kappos
`Director oflhe United States Patent and Trademark Oflice
`
`5
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 2 of 10
`
`(:2) United States Patent
`Friesen et al.
`
`(I0) Patent No.:
`(45) Date of Patent:
`
`US 7,212,999 B2
`May 1, 2007
`
`(54) USER INTERFACE FOR AN ELECTRONIC
`TRADING SYSTEM
`
`(75)
`
`Inventors: Richard W. Friesen, Fairfax, CA (US);
`Peter C. Hart, San Rafael, CA (US)
`
`Assigncc: Trading Technologies Internatignah
`[nc_, Chicago, 1]_ (US)
`
`Subject to any disclaimer, the term of this
`patent is extended or adjusted under 35
`u_s,c. 154(5) by 0 dayS_
`
`09/289 550
`’
`
`Apt 9, 1999
`
`Prim. Publication Data
`
`Us 2003/0097325 A1
`
`May 22: 2003
`
`Int‘ CL
`(2006-01)
`G06Q 4”/00
`U-S- CL »»»»»»»»»»»»»»»»»»»»» ~-
`795/37; 705/35; 345/4402
`Field of Classification Search .............. ..
`. 705/37
`See application file for complete search history.
`
`References Cited
`
`Us_ PATENT 1')()(jUMFN”fg
`4,674.044 A
`6/1987 Kalmus et al.
`........... .. 364/408
`477§0)D§
`6/ W83 Done“
`$799,156
`l/1989 Sl-iavit et al.
`4.823265
`4/I989 Nelson
`4,903,201 ,
`2/1990 Wagner
`5,038,284
`8/1991
`
`364/401
`
`5,077‘665 A
`
`13/1991 giiverman et at
`.
`(Continued)
`FOREIGN PATENT DOCUMENTS
`U 38R I62 A2 *
`3/I990
`
`(Continued)
`OTHER PUBLICATIONS
`
`How the Futures Markets Work. Jake Bernstein, 1989, New York
`Institute of Finance, pp. 62-673*
`(Continued)
`
`P”i7”0")’ E-“all”Werfichm’195 R- Kyle
`(74)- Attorney, Agent. or Firni——McDoi1nell Boehiien
`Htilbert & Bcrghoff LLP
`(57)
`ABSTRACT
`.
`.
`.
`.
`A user interface for an electronic trading exchange is pro-
`vided which allows a remote trader to view in real time bid
`
`orders, ofler orders, and trades for an item, and optionally
`one or more sources of contextual data. Individual traders
`place orders on remote client teriiiinals, and this information
`is routed to a lraiisactioii server. The lI‘d11S'dCll0n server
`receives order
`information from the remote terminals.
`matches a bid for an item to an olfer for an item responsive
`to the bid corresponding with the olfer, and coiumiuiicates
`outstanding bid and ollier inlorinatioii. and additional infor-
`mation (such as trades and contextual data) back to the client
`terminals. Each client terminal displays all of the outstand-
`ing bids and ofiers for an item, allowing the trader to View
`trends in orders for an item. A priority View is provided in
`which orders are displayed as tokens at
`locations corre-
`sponding to the valties of the orders. The size of the tokens
`reflects the quantity of the orders. An alternate view posiv
`tioiis order icons at a location which reflects the value and
`quantity of the order. Additionally, contextual data for the
`item is also displayed to allow the trader to consider as much
`information as possible while making transaction decisions.
`A pit panel view is also provided in which triaderxs CC§)t1n]eC[€E
`::)r:,::pop,:ji:;et(::I:‘:c:i)i/it?’ ltgilelcgililieaiiadgit
`up aye
`‘
`
`35 Claims, 11 Drawing Sheets
`
`ta
`ll %E,‘N
`jnziiéiétrafié
`soot) 300(1) -'
`/ /I
`"
`
`6
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 3 of 10
`
`U.S. Patent
`
`May 1,2007
`
`Sheet2 of 11
`
`7,212,999 B2
`
`SUMMARY
`INFORMATION
`AGENT
`
`SERVER
`
`REGISTRATIO TRANSA
`
`SERVER
`
`SERVER
`
`I DATABASE
`
`LOGIN
`
`MANAGERII
`
`.
`
`MESSAGE
`SERVER
`
`INFORMATION L
`REGISTRATIO TRANSACTION
`SERVER
`I
`SERVER
`
`21 2(2)
`
`MESSAGE
`
`I SERVER
`
`INFORMATION
`AGENT
`
`REGISTRATION
`SERVER
`
`TRANSACTION
`ER
`
`SERV
`
`“I
`
`DATABASE E
`
`7
`
`

`
`CUmS. of.mmAtCaIPm.
`
`
`
`
`
`
`eU.mmMN0ITW0CF
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`m,
`
`Page 4 of 10
`
`May 1, 2007
`
`Sheet 3 of 11
`
`7,212,999 B2
`
`
`
`_fi.!n__Dawn9.35..gm.wflemflU“_so»_H_u,__emaoE“HEE
`
`
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`
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`

`
`CUmS. of.mmAtCaIPm.
`
`
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`
`
`eU.mmMN0ITW0CF
`
`m,
`
`Page 5 0f10
`
`May 1, 2007
`
`Sheet 4 of 11
`
`7,212,999 B2
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`%lgI_H-E2IE
`
`9
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 6 of 10
`
`U.S. Patent
`
`May 1,2007
`
`Sheet6 of 11
`
`7,212,999 B2
`
`Value:
`
`$1436.00
`
`Expires‘. Ends! trading day E]
`
`180-FilF’lace
`
`10
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 7 Of 10
`
`U.S. Patent
`
`May 1, 2007
`
`Sheet7 of 11
`
`7,212,999 B2
`
`T '
`
`5
`
`'3
`
`1
`
`I-‘
`II
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`
`11
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 8 0f10
`
`U.S. Patent
`
`May 1, 2007
`
`Sheet 8 of 11
`
`7,212,999 B2
`
`RECEIVE AN
`ORDER TYPE
`
`600
`
`RECEIVE A
`QUANTITY
`SPECIFIED FOR
`ORDER
`
`GENERATE AN
`ORDER ICON
`WHOSE
`VERTICAL SIZE
`MATCHES THE
`QUANTITY
`
`"' A
`PRICE FOR THE
`ORDER
`
`513
`
`DISPLAY
`ORDER
`CONFIRMATION
`WINDOW
`
`TRANSMIT
`ORDER
`INFORMATION
`
`5'5
`
`DOES SLOT
`CONTAIN AN
`EXISTING BID‘?
`
`PLACE ICON AT
`DETERMINED
`SLOT
`
`9 ISTING BID
`HAVE A PRICE
`LESS THAN
`REQUESTED
`BID‘?
`
`SHIFT ALL
`LOWER PRICED
`BIDS OVER ONE
`SLOT
`
`HAVE A PRICE
`EQUAL TO
`REQUESTED
`BID?
`
`STACK
`REQUESTED
`BID BELOW
`EXISTING
`BID(S)
`
`DETERMINE
`NEW SLOT FOR
`REQUESTED
`BID
`
`528
`
`12
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 9 of 10
`
`U.S. Patent
`
`May 1,2007
`
`Sheet9 of 11
`
`7,212,999 B2
`
`TRANSMIT NEW
`ORDER
`INFORMATION TO
`CLIENT TERMINALS
`
`IS
`THERE AN
`ISTING OFFER LES
`THAN OR EQUAL T0
`
`MODIFY OFFER
`INFORMATION
`TO REFLECT A
`QUANTITY
`CORRESPONDING
`TO DIFFERENCE IN
`C-‘URN I 11 IE3
`
`QUANTITY
`GREATER
`
`THAN T”
`
`DOES OFFER
`HAVE A QUANTITY
`ESS THAN BID
`
`'
`
`REMOVE OFFER FROM
`omen TABLE AND ADD
`BID To ORDER TABLE
`WITH QUANTITY REDUCED
`
`SEND UPDATED
`OFFER
`TNFORMATION FOR
`DISPLAY
`
`REMOVE
`OFFER
`FROM TABLE
`
`RECORD
`TRADE
`
`13
`
`

`
`CERTIFICATE OF CORRECTION (continued)
`
`Page 10 of 10
`
`U.S. Patent
`
`May 1, 2007
`
`Sheet 10 of 11
`
`7,212,999 B2
`
`1DDD
`
`I'-
`A TRADING
`
`‘’
`
`HAS A
`' REDETERMINED
`TIME PERIOD
`EXPIRED?
`
`BYSTANDEFI
`ICON
`
`S BYSTANDE '
`CONNECTED?
`
`REMOVE
`
`ORDER
`
`REMOVE
`BYSTANDER
`ICON
`
`ARE THERE
`MORE
`:YSTANDER5
`
`DETERMINE
`ACTIVITY LEVEL
`
`DISPLAY TRADER ICON AT 1515
`Pa LOCATION
`CORRESPONDING T0
`ACTIVITY LEVEL
`
`ARE THERE
`ORE TRADERS’?
`
`14
`
`

`
`PTOISBI44 (09-07)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Ofiice; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection at inlon-nation unless it displays a valid OMB control number.
`Also Form PTO-1050
`
`UNITED STATES PATENT ANDATRADEMARK ‘OFFICE
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 7,212,999 B2
`
`APPLlCATlON NO.: og/239550
`issue DATE
`2 May 1_ 2007
`
`INVENTONS)
`
`Richard W. Friesen, et at.
`
`it is certified that an error appears or errors appear in the above—identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`Column 6, line 41: please delete "$29.50” and insert --slightly less than $27.35-- .
`
`Column 10, line 10: please delete "value/quality" and insert --value/quantity--.
`
`Column 10, line 12: please delete "quality“ and insert --quantity——.
`
`.
`
`Claim 34, column 16, lines‘ 17-18: please delete "ot plurality of" and insert --of the plurality of--.
`
`iiiustmi/1/L F/3» 9/,0-¢._(,i
`Tllé 71+? 136139 filsowi.-59 Hie.
`be &\ele'1La 61 and .:>'u.43>"7L/"/M/“S +'hPt‘2'
`\?’c2;."~l~P,e.¢:et‘/a2c'r.4eKl7+,‘il/e flrgc.
`
`De,leTe .c.;.,s. Q,5r;:3e/50,335} we, 7,. /0
`+|—m,3\i‘¢a;u:@5 fi’lee‘;‘s'/ C.'_->11 91 $4/659 0? Fig:
`'
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`'
`'
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`‘.
`.;2,3;r,6r>/-*> D/<'.>e/7/‘I940/y@ 7 am“ /0 4» y5’/°‘*~ '1
`a f—(*4~c/,/;.€(j2’
`Fr4rj'<1’.
`..
`
`§c(.‘)5'/"/'+‘Z/3 +i
`
`‘.
`‘ 7
`
`‘
`"‘
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Huibert 8. Berghoff LLP
`’ 300 South Wacker Drive
`Chicago, IL 60606
`
`t This collection oi inlormatlon is required by 37 CFR 1.322, 1.323. and 1.324. The information is required to obtain or retain a benetit by the public which is to tile
`(and by the USPTO to process) an application. Conlldentleiiiy is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete. Including gathering. preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief information Otflcer.
`U.S. Patent and Trademark Ottice. U.S. Department of Commerce. PO. Box 1450. Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`VA 22313-1450.
`FORMS To THIS ADDRESS. SEND TO: Attention Certificate of Corrections Branch, Commissioner for Patents, PO. Box 1450, Alexandria,
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`
`15
`
`

`
`lllllllllllllllllllllllllllllllljflllllllllllllllllllllllllllllll
`
`9B2
`
`1
`
`US 7,212,999 B2
`(to) Patent No.:
`(12) United States Patent
`May 1, 2007
`(45) Date of Patent:
`Friesen et al.
`.
`
`
`(_54) USER INTERFACE FOR AN ELECTRONIC
`TRADING SYSTEM
`-
`
`(75)
`
`Inventors: Richard W. Friesen, Fairfax, CA (US);
`»
`Peter C. Hart, San Rafael, CA (US)
`
`Trading Technologies Internétionfl’
`Inc., Chicago, IL (Us)
`
`5,077,665 A
`
`12/1991 Silverman et al.
`.
`(Continued)
`FOREIGN PATENT DOCUMENTS
`0 388 I62 A2 ‘
`3/1990
`
`(Continued)
`OTHER PUBLICATIONS
`How the Futures Markets Work, Jake Bernstein, 1989, New York
`Institute of Finance. pp. 62-67."‘
`'
`(Continued)
`
`__Subject to any disclaimer, the tem of this
`patent is extended or adjusted under 35
`U.S.C. 154(b) by 0 days_
`
`P’im0U/ E«W"“''1€V—ChflT 195 R- K)/'9
`(74) Attorney, Agem. or Firm~McDonnell Boehnen
`Hulbert & Berghofl" LLP
`
`09/289,550
`
`Apt 9, 1999
`
`Prior Publication Data
`,
`
`Us 2003/0097325 A1
`
`'Ma.V 22, 2003
`
`.
`
`Int. Cl.
`(200601)
`G06Q 40/00
`705/37; 705/35;'345/440.2
`U-s- CL
`Field of Classification Search ................. .. 705/37
`See application file for complete search history.
`
`References Cited
`
`‘
`us, PATENT DOCUMENTS
`4,674,044 A
`6/1987 Kalmus et al.
`4‘750‘l35 A
`6/I988 Bone“
`4,799,156 A
`l/1989 Shavitetal.
`4323265 A
`4/1989 Nelson
`4,903,201 A
`2/1990 Wagner
`5.038184 A
`8/1991 Kramer
`
`|E 1
`Filo Vlaw Actions Test‘ -
`
`364/408
`
`364/401
`
`(57)
`
`ABSTRACT
`
`A user interface for an electronic trading exchange is pro-
`vided which allows a remote trader to view in real time bid
`orders, offer orders, and trades for an item, and optionally
`one or more sources of contextual data. Individual traders
`place orders on remote client terminals, and this infomiation
`is routed to a transaction server. The transaction server
`receives order
`information from the remote terminals,
`matches a bid for an item to an offer for an item responsive
`to the bid corresponding with the ofler, and communicates
`outstanding bid and olfer information, and additional infor-
`mation (such as trades and contextual data) back to the client
`tenninals. Each client teniiinal displays all oftlie outstand-
`ing bids and offers for an item, allowing the trader to view
`trends in orders for an item. A priority view is provided in
`which orders are displayed as tokens at
`locations corre-
`spending to the values of the orders. The size of the tokens
`reflects the quantity of the orders. An alternate view posi-
`tioiis order icons at a location which reflects the value and
`quantity of the order, Additionally, contextual data for the
`item is also displayed to allow the trader to consider as much
`infomiation as possible while making transaction decisions.
`A pit panel view is also provided in which traders connected
`'0 me Pikare 'eP'°5e‘."?d by i,°°;.15i] andda": displayed
`corresponding to an activity leve o t e tra er.
`
`‘
`
`35 Claims, 11 Drawing Sheets
`
`inmii-iiriiiil
`itzflaiarii ‘Z
`W '/'-7--iiI"-/
`élllglllgll «mg
`lfillfi '_
`
`,
`
`16
`
`

`
`PTO/SB/44 (09.07)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of infonnation unless it displays a valid OMB control number.
`Also Form PTO-1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 7,212,999 B2
`
`APPLICATION NO.: o9/239,550
`
`ISSUE DATE
`
`: May 1, 2007
`
`NVENTORISI
`
`Flichard W. Friesen et al.
`
`it is certified that an error appears or errors appear in the above-identified patent and that said Letters Patent
`_
`is hereby corrected as shown below:
`
`MESSAGE
`SERVER
`
`SUMMARY
`INFORMATION
`AG
`REGISTRATIO TRAN
`seavea
`I
`semen-
`
`ASE
`
`INFORMATION L
`AGENT
`REGISTRATIO TRANSACTION
`SERVER
`ssnvsn
`
`I
`:
`.
`I
`DATABASE ,
`
`INFORMATION
`
`REGISTRATION I TRANSACTION
`SERVER
`SERVER
`
`DATABASE
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`Chicago, iL 60606
`This collection of information is required by 37 CFR 1.322, 1.323, and 1.324. The information is required to ubtainor retain a benefit by the public which is to tile
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to lake 1.0 hour to
`complete, inotudln gathering. preparing, and submitting the completed application torrn to the USPTO. 11me will vary depending upon the Individual case. Apy
`comments on the amount at time you require to complete this fonn andlor suggestions for reducing this burden, should be sent to the Chief information Officer,
`U.S. Patent and Trademark Office, U.S. Department of Commerce, P.0. Box 1460. Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS To THIS ADDRESS. SEND To: Attention Certificate of Corrections Branch, Commissioner for Patents, P.O. Box 1450, Alexandria.
`VA 22313-1450.
`’
`
`Ifyou need assistance In completing the form, call 1-300~PTO-9199 and select option 2.
`
`17
`
`

`
`PTO/SE/44 (O9-07)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Oftlce; U.S. DEPARTMENT OF COMMERCE
`'
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection oi information unless it displays a valid OMB control number,
`Also Forrn PTO-1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OFCORRECTION
`
`PATENT NO.
`
`: 7,212,999 B2
`
`APPLICATION NO.: o9/239,550
`
`ISSUE DATE
`
`2 May 1' 2007
`
`'”"E"”°"‘5’
`
`‘ Fiichard w. Friesen etal.
`
`it is certified that an error appears or errors appear in the above-identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`.-
`('7
`
`
`
`FileWowActionsTastin-
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Huibert & Berghoff LLP
`300 South Wacker Drive
`Chicago, IL 60606
`This collection oi information is required by 37 CFR 1.322. 1.323, and 1.324. The information is required to obtain or retain a benefit by the public which is to tile
`(and by the USPTO to process) an application. Contldentiaiity is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete. including gathering, preparing, and submitting the completed application ion11 to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form endlor suggestions for reducing this burden, should be sent to the Chlei information Officer,
`U.S. Patent and Trademark Office, US. Department at Commerce, P.O. Box 1450. Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND To: Attention Certificate of Corrections Branch, Commissioner for Patents, P.0. Box 1450. Alexandria,
`VA 22313-1450.
`
`If you need assistance In completing the fonn. cal! 1-800-PTO-9199 and select option 2.
`
`18
`
`

`
`PTOISBIM (05-07)
`,
`Approved ior use through 08I31I2010. OMB 0651-0033
`U.S. Patent and Trademark Office; US. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of Inton-nation unless it displays a valid OMB control number.
`Also Form PTO-1050
`
`s
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`'
`
`PATENT NO.
`
`: 7,212,999 B2
`
`APPLICATION NO.: o9/239,550
`
`ISSUE DATE
`
`: May 1, 2097
`
`'NVENT°R(S)
`
`1 Fiichard W. Friesen et at.
`
`It is certified that an error appears or errors appear in the above-identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`I62.55
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`In.
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`A.
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Huibert & Berghott LLP
`300 South Wacker Drive
`Chicago, iL 60606
`This collection oi inicnnatlon is required by 37 CFR 1.322. 1.323, and 1.324. The iniorrnetlon is required to obtain or retain a benefit by the public which is to tile
`(and by the USPTO to process) an application. Confidentiality is govemed by 35 U.S.C. 122 and 31 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete, including gathering, preparing. and submitting the completed application form to the USPTO. Time will vary depending upon the Individual case. Any
`comments on the amount of time you require to complete this ionn and/or suggestions for reducing this burden, should be sent to the Chiei lntormatlon Orltcer,
`U.S. Patent and Trademark Office. U.S. Department of Commerce. P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Attention Centflcate of-Corrections Branch. Commissioner for Patents. P.O. Box 1450. Alexandria,
`VA 22313-1450.
`
`If you need assistance in completing the form. call 1-800-PTO—9199 and select option 2.
`
`19
`
`

`
`PTOISB/44 (09-07)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of lnfonnetlon unless it displays a valid OMB control number.
`Also Form PTO-1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 7,212,999 B2
`
`APPLICATION NO.: 09/289550
`
`ISSUE DATE
`
`: May 1, 2007
`
`"WENTORISI
`
`: Richard W. Friesen etal.
`
`it is certified that an error appears or errors appear In the above-identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`value:
`
`$1436.00
`
`Expires:
`|j__ E,
`lflfll
`
`Value:
`
`$2505.00
`
`Exnlresz Ki ‘
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below): '
`McDonnell Boehnen Hulbert & Berghoff LLP
`'
`300 South Wacker Drive
`Chicago, IL 60606
`This collection of Information is required by 37 CFR 1.322. 1.323. and 1.324. The Information Is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Conlldanliallly is governed by 35 U.S.C. 122 end 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete, including gathering. preparing, and submitting the completed application tonn to the USPTO. 'l1me will vary depending upon the Individual case. Any
`comments on the amount oi time you require to completethls tonn andlor suggestions for reducing this burden. should be sent to the Chief lntorrnatlon Omcer,
`U.S. Patent and Trademark Office. U.S. Department of Commerce, P.O. Box 1450, Alexandria. VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`A 2
`-
`0.
`5ORN;S3:‘i'§) figs ADDRESS. SEND To: Attention Certificate of corrections Branch, commissioner for Patents. P.O. Box 1450, Alexandria,
`
`Ifyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`20
`
`

`
`PTO/SBI44 (D9-(J7)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of Information unless it displays a valid OMB control number.
`V
`Also Fon'n PTO-1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`; 7,212,999 B2
`
`APPLICATION No: 09/239,550
`
`ISSUE DATE
`
`1 May 1, 2007
`
`"WENTORISI
`
`‘ Richard W. Friesen et at.
`
`it is certified that an error appears or errors appear in the above-identified patent and that said Letters Patent
`is hereby corrected as shown below:
`i
`
`
`
`.-M..l.ImMfIumnnqruiuriitrni
`
`'
`
`I-I‘
`
`316
`
`
`
`
`
`IBC-OrderBook—Price!QuantityVIEW4.
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`Chicago, IL 60606
`This collection of information is required by 37 CFR 1.322, 1.323. and 1.324. The information is required to obtain or retain a benefit by the public‘ which is to file
`(and by the USPTO to process) an application. Contidentiaiity is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to lake 1.0 hour to
`complete, Including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the Individual case. Any
`comments on the amount of time you require to complete this form andlor suggestions for reducing this burden, should be sent to the Chief information Officer,
`U.S. Patent and Trademark Offlce. U.S. Department of Commerce. P.O. Box 1450. Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS To THIS ADDRESS. SEND To: Attention Certificate of Corrections Branch, Commissioner for Patents. P.O. Box 1450. Alexandria,
`VA 22313-1450.
`
`Ifyou need assistance in completing the form, cell 1-800-PTO-9199 and select option 2.
`
`21
`
`

`
`PTOISBI44 (0907)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`_
`Under the Paperwork Reduction Act of 1995. no persons are required to respond to a collection of information unless It displays a valid OMB control number.
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 7,212,999 B2
`
`APPLICATION NO.: 09/239,550
`
`ISSUE DATE
`
`2 May 1' 2007
`
`"WENTORISI
`
`Richard W. Friesen et al.
`
`It is certified that an error appears or errors appear in the above—identified patent and that said Letters Patent
`is hereby corrected as shown below:
`RECEIVE AN
`ORDER TYPE
`
`600
`
`R535“/E A
`QUANTITY
`SPECIFIED FOR
`ORDER
`
`GENERATE AN
`ORDER ICON
`‘WHOSE
`VERTICAL SIZE
`4 MATCHES THE
`QUANTITY
`
`I ’ A
`- '
`PRICE FOR THE
`ORDER
`
`DISPLAY
`
`coN‘I3IRRMADERTIoN
`WINDOW
`
`TRANSMIT
`ORDER
`INFORMATION
`
`5'5
`
`DOES SLOT
`CONTAIN AN
`EXISTING BID?
`
`PLACE ICON AT
`DETERMINED
`SLOT
`
`-
`
`STING BID
`HAVE A PRICE
`LESS THAN
`REQUESTED
`BID?
`
`SHIFT ALL
`LOWER PRICED
`BIDS OVER ONE
`SLOT
`
`.
`
`RE UESTED
`STACK
`3,3 BELOW
`EXISTING
`BID“)
`
`HAVE A PRICE
`E°”“'- T°
`REQUESTED
`BID?
`
`DETERMINE
`NEW SLOT FOR
`REQUESTED
`BID
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`Chicago, IL 60606
`This oollectlon of Information is required by 37 CFR 1.322. 1.323. and 1.324. The Information Is required to obtain or retain a benetlt by the public which is to tile
`(and by the USPTO to process) an application. Conlldentlallty is governed by 35 U.S.C. 122 end 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete, Including gathering. preparing. and submitting the completed application form to the USPTO. Time will vary depending upon the Individual case. Any
`comments on the amount at time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer.
`U.S. Patent and Trademark Office, U.S. Department of Commerce. P.0. Box 1450. Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND TO: Attention Certificate of Corrections Branch, Commissioner for Patents, P.O. Box 1450. Alexandria.
`VA 2231 3-1450.
`
`Ifyou need assistance in completing the fonn, call 1-800-PTO-9199 and select option 2.
`
`22
`
`

`
`PTOISB/44 (09-07)
`Approved tor use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Ofitce; U.S. DEPARTMENT OF COMMERCE
`Under the Papenivork Reduction Act 01 1995. no persons are required to respond to a collection of information unless It displays a valid OMB control number.
`Also Form PTO-1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT N0.
`
`: 7,212,999 B2
`
`APPLICATION No.: 09/239,550
`
`ISSUE DATE
`
`: May 1, 2007
`
`"WENTORISI
`
`Richard W. Friesen et al.
`
`It is certified that an error appears or errors appear in the above-identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`TRANSMIT NEW
`ORDER
`INFORMATION TO
`CU ENT TERMINALS
`
`I8
`THERE AN
`3 ISTING OFFER LES
`THAN OR EQUAL TO
`
`HAVE A QUANTITY
`ESS THAN BID
`
`REMOVE OFFER FROM
`ORDER TABLE AND ADD
`BID TO ORDER TABLE
`WITH QUANTITY REDUCED
`
`MODIFY OFFER
`INFORMATION
`TO REFLECT A
`QUANTITY
`CORRESPONDING
`TO DIFFERENCE IN
`0Ur\i‘TTiT|ES
`
`SEND UPDATED
`OFFER
`INFORMATION FOR
`DISPLAY
`
`REMOVE
`OFFER
`FROM TABLE
`
`RECORD
`TRADE
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`Chicago, IL 60606
`This collection of lntormation is required by 37 CFR 1.322, 1.323, and 1.324. The information is required to obtain or retain a benetit by the public which is to file
`(end by the USPTO to process) an eppiioatiomcontldentiaiity is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the Individual case. Any
`comments on the amount of time you require to complete this form similar suggestions for reducing this burden. should be sent to the Chiel information Ofiicer.
`U.S. Patent and Trademark Office, U.S. Department of Commerce. PO. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS To THIS ADDRESS. SEND To: Attention Certificateof Corrections Branch. Commissioner for Patents. P.O. Box 1450, Alexandria.
`VA 22313-1450.
`.
`
`If you need assistance in completing the form, -call 1-800-PTO-9199 and select option 2.
`
`23
`
`

`
`PTOIS BI44 (09-07)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Oiilce: U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of Information unless it displays a valid OMB control number.
`Also Fonn PTO-1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT N0.
`
`: 7,212,999 B2
`
`APPLICATION NO.: 09/289,550 -
`
`ISSUE DATE
`
`: May 1_ 2007
`
`'NVENT°R(s)
`
`Richard W Friesen et at
`
`it is certified that an error appears or errors appear in the above-identifiedxpatent and that said Letters Patent
`is hereby corrected as shown below:
`I S ~
`ATRADING
`"
`HAS A
`' REDETERMINED
`TIME PERIOD
`EXPIRED?
`
`SELECT TRADER
`ICON
`
`DETERMINE
`
`ACTIVITY LEVEL
`
`orseuw TRADER ICON AT 1015
`A LOCATION
`CORRESPONDING T0
`ACTIVITY LEVEL
`
`ARE THERE
`I ORE TRADERS‘?
`
`BYSTANDER
`ICON
`
`ARE THERE
`MORE
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`Chicago, IL 60606
`This collection of information is required by 37 CFR 1.322, 1.323. and 1.324. The Information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Confidentiality is govemed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete, including gathering. preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form andlor suggestions for reducing this burden, should be sent to the Chief information Ofiicer,
`US. Patent and Trademark Ofiice, U.S. Department oi Commerce. P.O. Box 1450. Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS To THIS ADDRESS. SEND TO: Attention certificate of Corrections Branch, commissioner for Patents. P.O. Box 1450, Alexandria,
`VA 22313-1450.
`‘
`-
`
`Ifyou need assistance in completing the form, call 1-800-PTO~9199 and select option 2.
`
`24
`
`

`
`SPE RESPONSE FOR CERTIFICATE OF CORRECTION
`
`Paper No.:
`
`DATE
`
`:
`
`Q§l2§[jQ
`
`TO SPE OF
`
`: ART UNIT
`
`3691
`
`SUBJECT
`
`: Request for Certificate ofCorrection for Appl. No.: 022§95§Q
`
`Patent No.:
`
`7212999
`
`Please respond to this request for a certificate of correction within 7 days.
`
`FOR IFW FILES:
`
`Please review the requested changes/corrections as shown in the COCIN document(s) in
`the IFW application image. No new matter should be introduced, nor should the scope or
`meaning of the claims be changed.
`
`Please complete the response (see below) and forward the completed response to scanning
`using document code COCX.
`‘
`
`FOR PAPER FILES:
`
`Please review the requested changes/corrections as shown in the attached certificate of
`correction. Please complete this form (see