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`UNITED STATES PATENT AND TRADEMARK OFFICE
`_____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________________
`
`
`IBG LLC, INTERACTIVE BROKERS LLC, TRADESTATION
`GROUP, INC., and TRADESTATION SECURITIES, INC.
`Petitioners
`
`
`
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`____________________
`
`Case CBM2016-00032
`Patent No. 7,212,999
`_____________________
`
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`
`
`
`
`Mail Stop “Patent Board”
`Patent Trial and Appeal Board
`U.S. Patent & Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`
`
`
`
`
`Case CBM2016-00032 of
`U.S. Patent No. 7,212,999
`Petitioners submit this updated exhibit list to accompany submission of Peti-
`
`
`
`tioners’ demonstrative exhibits for oral hearing as Exhibit 1055.
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`1003
`1004
`
`1005
`
`1006
`
`Ex No. Description
`1001
`U.S. Patent No. 7,212,999 to Friesen et al.
`1002
`File History of Application Ser. No. 09/289,550, which became the
`’999 patent, as filed and obtained from PAIR
`U.S. Patent No. 7,533,056 to Friesen et al.
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 17
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 19
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 24
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 38
`IBG LLC v. Trading Techs. Int’l, Inc., CBM2015-00179, Paper 21
`Trading Techs. Int’l. v. CQG, No. 05-cv-4811, Slip. Op. (N.D. Ill.
`Feb. 24, 2015)
`Transcript of the Deposition of Christopher Thomas, April 28, 2015
`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)
`Expert Declaration of Kendyl A. Román
`Curriculum Vitae of Kendyl A. Román
`List of Materials Considered by Kendyl A. Román
`“Futures/Option Purchasing System Trading Terminal Operation
`Guidelines,” Tokyo Stock Exchange
`Certified Translation of “System for Buying and Selling Futures and
`Options Transaction Terminal Operational Guidelines”
`- 1 -
`
`1007
`
`1008
`1009
`
`1010
`1011
`
`1012
`1013
`1014
`1015
`
`1016
`
`
`
`
`
`
`
`
`Case CBM2016-00032 of
`U.S. Patent No. 7,212,999
`
`1018
`
`1026
`1027
`1028
`1029
`
`1030
`
`Ex No. Description
`1017
`Certificate of Translation for “System for Buying and Selling Futures
`and Options Transaction Terminal Operational Guidelines”
`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
`1019
`U.S. Patent No. 5,619,631 to Schott
`1020
`U.S. Patent No. 5,646,992 to Subler et al.
`1021
`U.S. Patent No. 5,689,651 to Lozman
`1022
`U.S. Patent No. 5,136,501 to Silverman et al.
`1023
`U.S. Patent No. 5,297,031 to Gutterman et al.
`1024 WO 90/11571 to Belden
`1025 Mark J. Powers, “Starting Out in Futures Trading,” Sixth Edition,
`2001
`History of the American and NASDAQ Stock Exchanges
`David M. Weiss, “After the Trade is Made,” 1993
`Sunny J. Harris, “Trading 101 – How to Trade Like a Pro,” 1996
`Alan Cooper, “About Face: The Essentials of User Interface Design,”
`First Edition, 1995.
`Ben Shneiderman, “Designing the User Interface: Strategies for Ef-
`fective Human-Computer Interaction,” Third Edition, 1998
`Edward R. Tufte, “The Visual Display of Quantitative Information,”
`1983
`Edward R. Tufte, “Envisioning Information,” Third Edition, Decem-
`ber 1992
`Richard W. Arms Jr., “Profits in Volume - Equivolume Charting,”
`1975
`Vernon L. Smith, “An Experimental Study of Competitive Market
`Behavior,” The Journal of Political Economy, Vol. LXX, No. 2, April
`1962
`
`1031
`
`1032
`
`1033
`
`1034
`
`
`
`
`- 2 -
`
`
`
`
`
`Case CBM2016-00032 of
`U.S. Patent No. 7,212,999
`
`1037
`1038
`
`Ex No. Description
`1035
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`1036
`Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th Ed,
`Oxford University Press, 1996
`U.S. Patent No. 1,760,287 to Schippers
`Valerie Quercia et al., “X Window System User’s Guide,” OSF/Motif
`1.2 Edition, The Definitive Guides to the X Window System, Vol. 3,
`August 1993
`1039
`U.S. Patent No. 5,454,104 to Steidlmeyer
`1040 WO 97/06492 to Jackson
`1041
`TradeStation Gr’p, Inc. v. Trading Techs. Int’l, Inc., CBM2015-
`00161, Paper 29
`Declaration of Robert E. Sokohl
`
`1042
`Served
`1043
`Served
`1044
`Served
`1045
`
`Declaration of Aaron M. Cohen
`
`June 17, 2016 Deposition Transcript of Atushi Kawashima
`
`Transcript of the Deposition of Christopher Thomas, January 27,
`2017
`1046
`Transcript of the Deposition of Dan R. Olsen, Jr., July 28, 2016
`1047
`Transcript of the Deposition of Christopher Thomas, August 17, 2016
`1048 Merriam-Webster Collegiate Dictionary (11th ed.)
`1049 Webster’s New World College Dictionary (4th ed.)
`1050
`U.S. Patent No. 6,408,282 to Buist
`1051
`New York Times, “Futures/Options; Automation in Trading,”
`December 10, 1984
`Intex Trading Screen
`New York Stock Exchange Annual Report 1983
`Robert G. McCausland April 7, 2005 Deposition Transcript
`[SERVED NOT FILED]
`
`1052
`1053
`1054
`
`
`
`
`- 3 -
`
`
`
`
`
`
`
`Date: May 1, 2017
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005–3934
`(202) 371–2600
`
`Ex No. Description
`1055
`Petitioners’ Demonstratives for Oral Hearing
`
`
`Respectfully submitted,
`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
`
`
`
`
`
`
`
`Case CBM2016-00032 of
`U.S. Patent No. 7,212,999
`
`- 4 -
`
`
`
`
`
`Case CBM2016-00032 of
`U.S. Patent No. 7,212,999
`CERTIFICATION OF SERVICE
`The undersigned hereby certifies that copies of the foregoing PETITION-
`
`ERS’ UPDATED EXHIBIT LIST and EXHIBIT 1055 were served on May 1,
`
`2017, via e-mail in their entireties on the following counsel of record for Patent
`
`Owner:
`
`Leif R. Sigmond, Jr. (Lead Counsel) sigmond@mbhb.com
`Michael D. Gannon (Back-up Counsel) gannon@mbhb.com
`Jennifer M. Kurcz (Back-up Counsel) kurcz@mbhb.com
`Cole B. Richter (Back-up Counsel) richter@mbhb.com
`MCDONNELL, BOEHNEN, HULBERT & BERGHOFF LLP
`
`Steven F. Borsand (Back-up Counsel) tt-patent-cbm@tradingtechnologies.com
`Jay Q. Knobloch (Back-up Counsel) jay.knobloch@tradingtechnologies.com
`Trading Technologies International, Inc.
`
`
`
`Respectfully submitted,
`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
`
`Date: May 1, 2017
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005–3934
`(202) 371–2600
`
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`5277747_1.docx
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