Paper No. ____
` Filed: November 15, 2016
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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
`U.S. Patent 7,212,999
`_________________
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`PATENT OWNER’S EXHIBIT LIST
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` Filed: November 15, 2016
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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
`U.S. Patent 7,212,999
`_________________
`
`PATENT OWNER’S EXHIBIT LIST
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`Case CBM2016-00032
`U.S. Patent 7,212,999
`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, Interactive Brokers LLC,
`
`TradeStation Group, Inc., and TradeStation Securities, Inc Select exhibits between
`
`2001 and 2409 are reserved for later use as indicated in the chart below. Exhibits
`
`2090, 2165 - 2166, 2168 - 2169, 2174, 2183 - 2189, 2192 - 2194, 2201, 2204,
`
`2209, and 2297 were filed on PTAB E2E and served via email to counsel of record
`
`for the petitioner.
`
`Filed Exhibits Description
`Exhibit 2001-
`Reserved
`2029
`Exhibit 2030
`
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (Oct. 10, 2007)
`Reserved
`
`Exhibit 2055-
`2089
`Exhibit 2090 Meyers, Brad A. “A Brief History of Human-Computer
`Interaction Technology.” Interactions 5.2 (1998): 44-54
`Reserved
`
`Exhibit 2031-
`2053
`Exhibit 2054
`
`Exhibit 2091 -
`2107
`Exhibit 2108
`
`Exhibit 2109
`
`Exhibit 2110
`
`
`
`Submission of Publications, etc., PCT 2004-504652 (Ap. 18,
`2005) (Translation)
`Reserved
`
`IBG LLC et al., v. Trading Techs. Int’l. Inc., Case No.
`CBM2015-00179, Paper 23, Institution Decision (Feb. 24, 2016)
`IBG LLC et al., v. Trading Techs. Int’l. Inc., Case No.
`CBM2015-00179, Paper 39, Order (Apr. 15, 2016)
`IBG LLC et al., v. Trading Techs. Int’l. Inc., Case No.
`CBM2015-00179, Paper 50, Petitioners’ Request for Rehearing
`(Apr. 29, 2016)
`
`1
`
`
`
`Case CBM2016-00032
`U.S. Patent 7,212,999
`
`U.S. Patent No. 6,766,304 B2
`Japanese Patent No. JP5230049 B2
`Trading Techs. Int’l. Inc., v. BCG Partners, Inc., Case No. 10-
`cv-715, Dkt. 583, Memorandum Opinion and Order (Mar. 25,
`2015)
`Trading Techs. Int’l. Inc., v. BCG Partners, Inc., Case No. 10-
`cv-715, Dkt. 680-1, Letter Request for International Judicial
`Assistance Through Diplomatic Channels on the Taking of
`Evidence Abroad in Civil or Commercial Matters (Mar. 7, 2016)
`Reserved
`U.S. Patent No. 6,772,132 B1
`Trading Techs. Int’l. Inc., v. Rosenthal Collins Group, LLC et
`al.., Case No. 10-cv-715, Dkt. 686, Notification of Docket Entry
`(Mar. 14, 2016)
`Trading Techs. Int’l. Inc., v. Rosenthal Collins Group, LLC et
`al.., Case No. 10-cv-715, Dkt. 767, Notification of Docket Entry
`(May 12, 2016)
`TradeStation Group, Inc., et al. v. Trading Techs. Int’l, Inc.,
`Case No. CBM2015-000161, Paper 29, Petition for Covered
`Business Method Review U.S. Patent No. 6,766,304 (Jul. 20,
`2016)
`Reserved
`Class 705, Data Processing: Financial, Business Practice,
`Management,
`or Cost/Price Determination, Classification
`Definitions (January 2012 ): 1-53
`TradeStation Group, Inc., et al. v. Trading Techs. Int’l, Inc.,
`Case No. CBM2015-000161, Paper 29, Institution Decision (Jan.
`27, 2016)
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, Classification Definitions (January 2011 ): 1-50
`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, (January 2011 ): 1-8
`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`Senate Congressional Record, S5402-S5443 (Sept. 8, 2011)
`Senate Congressional Record, S1360-S1394 (Mar. 8, 2011)
`
`2
`
`Exhibit 2111
`Exhibit 2112
`Exhibit 2113
`
`Exhibit 2114
`
`Exhibit 2115
`Exhibit 2116
`Exhibit 2117
`
`Exhibit 2118
`
`Exhibit 2119
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`Exhibit 2120
`Exhibit 2121
`
`Exhibit 2122
`
`Exhibit 2123
`
`Exhibit 2124
`
`Exhibit 2125
`
`Exhibit 2126
`Exhibit 2127
`
`
`
`
`
`Case CBM2016-00032
`U.S. Patent 7,212,999
`
`Reserved
`
`Exhibit 2128-
`2132
`Exhibit 2133 McGraw Hill "Dictionary of Scientific and Technical Terms,"
`Fifth Edition (1994): Definition of “Recording”
`Reserved
`
`Exhibit 2134 -
`2164
`Exhibit 2165
`
`Exhibit 2166
`
`Exhibit 2167
`Exhibit 2168
`Exhibit 2169
`Exhibit 2170 -
`2173
`Exhibit 2174
`Exhibit 2175 -
`2182
`Exhibit 2183
`
`Exhibit 2184
`
`Exhibit 2185
`Exhibit 2186
`Exhibit 2187
`Exhibit 2188
`Exhibit 2189
`Exhibit 2190 -
`2191
`Exhibit 2192
`Exhibit 2193
`Exhibit 2194
`Exhibit 2195 -
`2200
`
`
`
`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`(Thomas Ex. J)
`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`(Thomas Ex. YYYY)
`Reserved
`Declaration of Eric Gould-Bear
`Declaration of Christopher Thomas
`Reserved
`
`Declaration of Dan Olsen
`Reserved
`
`Olsen Appendix A - Card, S., et al., The keystroke-level model
`for user performance
`time with
`interactive
`systems,
`Communications of the ACM 23 (CARD 80)
`Olsen Appendix B - Olsen, D. R., Evaluating User Interface
`Systems Research, UIST 2007, ACM (OLSE 07)
`Olsen Appendix C - U. S. Patent No. 1,692,601
`Olsen Appendix D - U. S. Patent No. 714,878
`Olsen Appendix E - Definition of Technology
`Olsen Appendix F - U. S. Patent No. 3,018,661
`Olsen Appendix G - U. S. Patent No. 5,960,411
`Reserved
`
`Bear Ex. 1 - Bear CV
`Bear Ex. 2 - TUFTE Visual and Statistical Thinking
`Bear Ex. 3 - MacKenzie and Buxton on Fitts' Law
`Reserved
`
`3
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`
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`Christopher Thomas CV (Thomas Ex. A)
`Reserved
`
`Case CBM2016-00032
`U.S. Patent 7,212,999
`
`Exhibit 2201
`Exhibit 2202 -
`2203
`Exhibit 2204 Microsoft DNA Case Study (Thomas Ex. D)
`Exhibit 2205 -
`Reserved
`2208
`Exhibit 2209
`Exhibit 2210 -
`2296
`Exhibit 2297
`
`Globex User Guide June 1995 (Thomas Ex. I)
`Reserved
`
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`Reserved
`
`Exhibit 2298 -
`2408
`Exhibit 2409
`
`
`Served
`
`Served
`
`Filed Exhibits Description
`Exhibit 2409
`Declaration of Cory C. Bell, dated September 14, 2016
`
`Respectfully submitted,
`
`By: /Cory C. Bell/
`Cory C. Bell, Back-up Counsel
`Reg. No. 75,096
`
`Counsel for Patent Owner
`Trading Technologies International, Inc.
`
`
`
`
`
`Dated: November 15, 2016
`
`
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`4
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`CERTIFICATE OF SERVICE
`
`Case CBM2016-00032
`U.S. Patent 7,212,999
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`Owner’s Exhibit List and Exhibits 2090, 2165 - 2166, 2168 - 2169, 2174, 2183 -
`
`2189, 2192 - 2194, 2201, 2204, 2209, and 2297 were served on November 15,
`
`2016, via email directed to counsel of record for the Petitioner at the following:
`
`Robert Sokohl
`rsokohl-PTAB@skgf.com
`
`Lori Gordon
`lgordon-ptab@skgf.com
`
`Richard Bemben
`rbemben-PTAB@skgf.com
`
`PTAB@skgf.com
`
`
`Date: November 15, 2016
`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`Finnegan, Henderson, Farabow, Garrett
`& Dunner, LLP
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