`
`
`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 7,212,999 B2
`____________________
`
`PETITIONERS’ OBJECTIONS TO PATENT OWNER’S
`EVIDENCE PURSUANT TO 37 C.F.R. § 42.64(b)(1)
`
`
`
`
`
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`Petitioners’ Objections to Patent Owner’s Evidence
`CBM2016-00032
`
`
`Petitioners IBG LLC, Interactive Brokers LLC, TradeStation Group, Inc.,
`
`and TradeStation Securities, Inc., object under 37 C.F.R. § 42.64 to the
`
`admissibility of the following evidence Trading Technologies International, Inc.
`
`(“TT” or “Patent Owner”) filed and served on Tuesday, November 15, 2016:
`
`
`
`TT Exhibit No. Description
`
`2165
`
`Deposition Transcript of Kendyl A. Román, dated May 3, 2016
`
`(Thomas Ex. J)
`
`2166
`
`Deposition Transcript of Kendyl A. Román, dated May 5, 2016
`
`2168
`
`2174
`
`2183
`
`(Thomas Ex. YYYY)
`
`Declaration of Eric Gould-Bear
`
`Declaration of Dan Olsen
`
`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)
`
`2184
`
`Olsen Appendix B - Olsen, D. R., Evaluating User Interface
`
`2185
`
`2186
`
`2187
`
`
`
`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
`
`- 1 -
`
`
`
`Petitioners’ Objections to Patent Owner’s Evidence
`CBM2016-00032
`
`
`TT Exhibit No. Description
`
`2188
`
`2189
`
`2192
`
`2193
`
`2194
`
`2209
`
`2297
`
`
`
`Olsen Appendix F - U. S. Patent No. 3,018,661
`
`Olsen Appendix G - U. S. Patent No. 5,960,411
`
`Bear Ex. 1 - Bear CV
`
`Bear Ex. 2 - TUFTE Visual and Statistical Thinking
`
`Bear Ex. 3 - MacKenzie and Buxton on Fitts’ Law
`
`Globex User Guide June 1995 (Thomas Ex. I)
`
`National Aeronautics and Space Administration Web Page Print
`
`out, Human Computer Interaction Group
`
`Petitioners ask the Board to deny the admission and consideration of the
`
`following documents on the following bases:
`
`FRE ARTICLE IV – RELEVANCE AND ITS LIMITS
`
`Petitioners object to Exhibit Nos. 2165, 2166, 2168, 2174, 2183-2189, 2192-
`
`2194, 2209 and 2297 as irrelevant under FRE 401 and thus inadmissible under
`
`FRE 402, or as confusing or a waste of time under FRE 403, because cited portions
`
`are not relevant to any issue remaining in this proceeding, such as patentability of
`
`the subject matter or the broadest reasonable interpretation of the claims. The
`
`Román deposition transcripts (Exhibits 2165 and 2166) are not directed to the
`
`
`
`- 2 -
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`
`
`Petitioners’ Objections to Patent Owner’s Evidence
`CBM2016-00032
`
`patent at issue in this proceeding, and thus are irrelevant, confusing, and a waste of
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`time. Additionally, Exhibits 2165 and 2166 are not cited in TT’s POR.
`
`The Gould-Bear and Olsen declarations (Exhibits 2168 and 2174,
`
`respectively) are not directed to the patent at issue in this proceeding, and thus are
`
`irrelevant, confusing, and a waste of time.
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`FRE ARTICLE VIII – HEARSAY
`
`To the extent Patent Owner relies on the contents of Exhibit Nos. 2165,
`
`2166, 2168, 2174, and 2297 for the truth of the matter asserted, Petitioners object
`
`to such contents as inadmissible hearsay under FRE 801 and 802 that does not fall
`
`under any exceptions, including those of FRE 803, 804, 805 or 807.
`
`FRE ARTICLE IX – AUTHENTICATION AND IDENTIFICATION
`
`Petitioners object to Exhibit Nos. 2168, 2174, and 2297 as not properly
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`authenticated under FRE 901 because Patent Owner has not presented any
`
`evidence that these documents are authentic nor that the documents are self-
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`authenticating under FRE 902.
`
`CITING EXHBITS NOT SERVED
`
`Petitioners object to Exhibit Nos. 2165 and 2166 as citing exhibits not
`
`served with the documents as required by 37 C.F.R. § 42.51(b)(1)(i).
`
`
`
`
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`- 3 -
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`
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`Petitioners’ Objections to Patent Owner’s Evidence
`CBM2016-00032
`
`These objections are made within five business days from the November 15,
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`2016 filing and service of TT’s exhibits.
`
`
`
`Date: 11/22/2016
`
`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 -
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`
`
`Petitioners’ Objections to Patent Owner’s Evidence
`CBM2016-00032
`
`
`CERTIFICATION OF SERVICE
`
`The undersigned hereby certifies that on November 22, 2016, the attached
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`Petitioners’ Objections to Patent Owner’s Evidence Pursuant to 37 C.F.R.
`
`§ 42.64(b)(1) were served electronically via e-mail upon the following counsel for
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`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
`
`Steven F. Borsand, Reg. No. 36,752
`tt-patent-cbm@tradingtechnologies.com
`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
`kurcz@mbhb.com
`Jennifer M. Kurcz, Reg. No. 54,481
`MCDONNELL BOEHNEN HULBERT & BERGHOFF LLP
`
`
`
`
`
`
`Date: 11/22/2016
`
`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/
`
`
`Richard M. Bemben, Reg. No. 68,658
`Attorney for Petitioners
`
`
`
`- 5 -
`
`
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