lfluu-’”WI1I‘l-muflui|HE3!|»flIl.Ifl¢l||.|.1)[Lgsuq,ugn,p..u
`
`NTHEUM'7?D$Tal!'ESPATFNTANDl?flDlo|MflKGFFIOE
`Gary Allan KEMP 1| at II.
`CLICK BASEE TRADING WITH |N'|'U|TNE GRID DIBPEAV OF
`
`MARKET DEPTH
`
`Atflllnir Denim No. O2d05'l')0'l§I
`
`A
`rt?
`W
`
`-
`
`(33
`
`US$34.33?
`
`Applicant:
`Tltln:
`
`serial Mm:
`
`Filed:
`
`Juno 2?. 2001
`
`Enrnlnar:
`An Unit:
`
`H. Waishorncr
`
`Gornrnlulunar for Hunt:
`Em: HCE
`Washington. n.c. 20231
`Sir.
`
`This Is I fionuult im Continued EItII'ninIt¥nn lH‘|3E} urular 37 CI-I. 5 1.114 of
`ah. abwt-I-I|On1.lfI'-Id mplhuninn. This 1165 and tho anoioood Itoml Ilttld bolaw an botra
`mad odor to the nrllut er: in Pllrlnant of tho luul 1'90 iunlou a petition undir 37
`c.F.n.
`I 1.313 In gnntodlz ll‘: nbnndanrmnt cl tho application: or 13} the mm: of I
`mm of Input! m an u.s. Cum ur Annuin ‘fir ch. Fodunl Clroulc under 3 u.s.c.
`5141, or {ho cntrmananmunt at I. ebvll auflon under 35 U.8.C. 9146 or £146 Iunlou thn
`appeal or oivll Icflnn ll mmlnutodl.
`
`1- : whack Home it-It saw!
`a. Pmrloualy tuba-n111I¢=
`I
`1. Plano an-tar and cumldar the nrnondmentdroplv Drwluullv ‘film! on
`
`PIIIII unnsiflnr If-Li Mfidavflislrflncflnttnnlli 9|'WifiI-IIN min‘ 5|‘!
`butnot aonlidond.
`
`Plolll consider the arnumanu In 1h: Appeal Bmf as‘ Reply Brluf
`until: 3? c.r.a. 5 1.116 pmiuunly fund on _.
`Othar:
`lnforrnltlon Dlculouurc Bmcrrumu praviouatv fllud an
`Mwamber 14». 2002: Daolmhar 16. 2002'. Ind Fltnrary I1,
`2003.
`
`. Enclosed Ira:
`An-undrnsnimuply.
`AffldlVH.[IHDc1:||.I'IIinn(s'.|.
`Intorrmtion Dloelolure Smumnt.
`
`Farm 970-1449 with nopieu of __ Iimd ta!e1'moIlII-
`Flcmnfn Accampmvlnq HCE.
`
`I 3
`
`911-SLF-at!-‘:
`
`our
`
`‘s:;2u[ouuaa':.. 3|-IFPU-IJ. H5883?! £003 '31
`
`-Jll-I
`
`101
`
`IBG LLC ET AL. - EXHIBIT 1002 PART 2
`
`

`
`1""!-I Pfllllls Hllhllln-1IIo:z::u cunur,-u am mm ,. ....,,.,,,m.,
`
`Mlucnflanaogs:
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`the taul number of mwrlhl cracked balow-.
`Ellnlion hr rlcvnnu I'll! whhln t|II Hm mm:
`Eanlndan Illr llflonul III Iflfllh IIIO IIOIIH !lIDM‘|'I1
`Etllllllon for PIIIIIIII fill! WIWR Ill! fish! rlnntll:
`Ennnllnn Iorrllvrnnnn nus man an: rum momlr.
`lauunbn 1»: rnpunw i'I|Id within this flflh nlamh:
`
`£110.00
`5410.09
`FIWJW
`s1.4su.on
`03370.00
`IXTENNUN H:-5 TOT-IL:
`CIAIH5 MID EXTENSION FEE TOTAL:
`Smnl Cnfltr Flag Apulv bubtrnt Si 0! Ihwll:
`Bunpondun at uflsn rtwomd Indy :7 c.s.a. I l.103l¢|
`TOTJAL E
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`
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`
`A amok in ma amount at £315.00 In cover eh: filing he in oncloud.
`The comniuloncr II hurulay a1.m-mind to charge any additional Inc which mm;
`In rlqulrad ranurdng unis aapliumon under 37 C.F.Fl. II 1.13-1.17. or audit
`any ovarplyrnani, ta Dapoah Assam! Ne.
`'.-B-0741. Shuuinl no proper puyn-Ian:
`bu onclmod hurnwlth. as by a chunk being In 1110 wrong amount. unslgnld, pout-
`drtod. otherwise imprnpar or Irtfaermul or own entirely rniulrng, the Cummlnlonur
`is amhorlzou to nhnrgc the uncut! amount to Duposlt Mcoum No. 19-0741.
`Plnu direct Ill nurrnpondonul to 1111 undortlgnad attornw or agent at the
`addrun lndicatod ladluw.
`
`Rupaatfuilv tub
`
`.
`
`/q"'Q
`Anlcur D. shah
`Haqiutmflon No. 41,514
`
`flmweéms
`_..._.__._I_..._....._._........_
`Date
`
`FOLEY En LAHDNEH
`wnhmgton Harbour
`3000 K Street, N.W.. Sum BOD
`Wu-ahlngllln. D.C. 20007-6109
`Talaphonc:
`[2023 672-5300
`Fanslrnilu:
`1202} 672-5399
`
`I E
`
`l!!!-BL’!-Z122
`
`an; ofajlfltatauqapg fiu;p._u HdB233'E EIIIDE SI Jug
`
`102
`
`

`
`I-um-I-vcums-I vu n:a==:Loo:osrnnuun:mc-uaun-n-uu
`
`4W TWEUAWED STAJES PATENT}!-ND TRADEMARK OWN-TE
`
`Atlurmgr Doclofl No. 024051101 55
`
`Applicant:
`
`Gary Allin KEMP II It 31.
`
`Title:
`
`CLICK BA3ED TRADING WITH INTUITNE GRID DISPLAY OF
`MARKET DEPTH
`
`Blliai No.-.
`
`OBIS-94.637
`
`Fllnd:
`
`June 27. 2001
`
`Examlnur:
`
`Fl. Walnborgur
`
`Cornmlnslonar for Patent:
`Washington. 13.3. 20231
`
`Sir:
`
`Applfoani his filed concurrontly harewhh 3 Raquou for Co.-vflnlud
`Examination NICE) in tin subject application. Examiner Waiabarger has rouontly
`Indicrtod via turuphuna what proaacmian In tha application hll bun cloud and
`
`that a notice oi nllowabillw has hnn anteronl. Applicant‘: rwisw of data tram
`tho USPTO PAIR on-lino database oonfitrns that a notion of arrewlhlifly was
`Omar-ad on Saplimhlr 30. 2002.
`
`Bollovlnn proaeeullon in tho plonni one in be cloud, Applfclm now
`submits tho pram-at HOE. par tho Enm|rIor's raquaat.
`in Order to OI'IELIrB ‘Full
`consideration of the references cited in the Informlfion Dilolosun Stntnmanu
`
`previously mod on November 14. 2002. Dmarnbar 13, 2002 and Fnbruanr ‘I1.
`2003.
`
`3ETT"5L‘V‘3IE DUI
`
`Igilsutfluuflla Qugpfiql Hdaaiat song at J."
`
`103
`
`

`
`Safial No. OM39!-,B37
`
`Attorney Ducftat Nu. O2-I-061M155
`
`IOWIA WWW‘ ll-Ililillfld iilllill HIM II 1 lllrl Iflrflt 5 I-II-UIIMINOII
`
`Haspostfutly aubminod,
`
`Ankur D. Shlh
`Bugintrlllon No. 41,514
`
`Am“
`
`Date
`
`,-9’ 36:4}
`
`FOLEV 5; LAHDHEH
`Wushingion Hnlbour
`3000 K Strut. N.W.. Suite 500
`Wushingwn, D.-C. 2000'!-51013
`Toluphone:
`I202} B71-5300
`F-aoslmldn:
`I202} 572-5389
`
`2
`
`Bart-BU:-ZI:E 9'-‘I Wiifiotouqnoq.
`
`)u;pI..a_g_ ugaz:3t gone 51:
`
`.12“
`
`104
`
`

`
`Notice offldlowebliity
`
`g°;:3;;:3?
`
`Application No.
`
`Appllcenttei
`
`,'§'f,”L‘:,,'fT*L
`
`- The IMMUNE DATEGHHI cotnmuritcetian eppeers on the covereheet with the correaponclance addreea-—
`All claims being allowable. PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
`herewith {or previously mailed). a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWAEIILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Oflice or upon petition by the applicant. See 37 CFR 1.313 and MPEP 130$
`
`-
`
`This communication is responsive to u.-
`1.
`The eiiowed deirriie) isitare .
`2.
`3. E The drawings filed on M1 are accepted by the Examiner.
`4. D Acknowledgment is made of e ciein for foreign priority under 35 U.S.C. § i19[a}-id] or (i).
`at D All
`it] I] Some‘
`c) U None
`of the:
`1. I] certified ccpiee ofthe priority docurrtanta have been received.
`.
`2. I] certified copiee ofthe priority documents have been received in Applicaflon No.
`3. |'_"'l copies dftite certified copies ot the priority documents have been received in this national stage application from the
`international Bureau (PCT Rule 17.2(ei).
`‘ Certified copies not received:
`.
`5. E Acknowledgment is made ofa claim for domestic priority under 35 U.S.c. § 119(e) (to a provisional application).
`(a) U The transtatiort oi the toretgn language provisional application has been received.
`6. E Acltnowiedgrnent la made of a claim for domestic priolitir under 35 U.S.O. §§ 120 andlor ‘I21.
`
`Applicant has THREE MONTHS FROM THE ‘MAILING DATE‘ otthia communication to file a reply complying with the requirements noted
`below. Failure to timely complywiii result In AEIANDONMENT or this application Tl-its THREE—MONTH PERIOD IS NOT EXTENDABLE
`
`7. D A SUB$TlTUTE OATH OR DECLARATION must be submitted. Note the attached EXAMiNER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION [PTO-1 52)whit:h gives reaeonil) why the oath or declaration is deficient.
`
`B. E] CORRECTED DRAWINGS must be submitted.
`(e]|,'_]
`including changes required by the Notice ot‘Dt1fiapersoI1'a Patent Drawing Reviewi PTO-9-I8) etteched
`1}|_'_| hereto or2)l'_'] tnPaper No.
`.
`. which has been approved bythe Examiner.
`(In D including changes required by the proposed drawing correction tiled
`(o) E]
`Including changes required by the attached Examiner‘: Amendment I Comment or in the Orion action of Paper No.
`
`.
`
`Identtlyirtp indict: ouch as the appllcetlen number (no at’ CFR 1.Ie|eIl ehuulal battltiltan an the drawings In the top margin [net the back]
`of each sheet. The drllntiltga should be tiled as a separate paper with e Iranenttttei letter eddreendtotha Oflclel Dtatlqzerson.
`
`9. El DEPOSIT OF end.-‘or INFORMATION about the deposit of BIOLOGICAL MATERIAL must he submitted. Note the
`attached Examiners comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL
`
`Attnchmential
`
`1[j Notice of References Cited (PTO-B92}
`3|] Notice of [JrtIi’ipeI'son's Patent Dl'I‘\i\'illfl Review (PTO-B48]
`SE Information Disclosure Statements (PTO-14-I9), Paper No.
`‘(El Examiners Oornrnent Regarding Requirement for Deposit
`of Sioioglcel Material
`
`.
`
`2|] Notice of Informal Patent Application {PTO-152)
`4E] interview summary {PTO-I13). Paper No.
`6|] Exantinera Amandmentlcomrnant
`BE] Examiners Staternertt of Reasons for Allowance
`9]] other
`
`.
`
`.3.-M1 ..
`
`PTO-3? iflev. o4-oi)
`
`Not-in!oiAllflltlllllliltt
`
`Pei‘! et Paper No. 10 a
`
`105
`
`

`
`Applicationlcontrol Number: 09894.63?
`Art Unit: 3624
`
`Allowable Subject Matter
`
`1.
`
`The following is an examiners statement of reasons for allowance: The following
`
`is an examiners statement of reasons for allowance: This statement of reasons for
`
`allowance includes the major differences in the claims not found in the prior art of record
`
`and reasons why that differences are considered to define patentably over the prior art.
`
`The statement is not intended to necessarily state all the reasons for allowance or all
`
`the details why claims are allowed and should not be relied upon for this purpose.
`
`Rather, this statement reflects what the examiner considers important and therefore the
`
`primary reasons for the allowance of the claims.
`
`The primary reason for allowance is the limitation directed to the ‘dynamic
`
`display" of a plurality of the quantity of bids and asks aligned with a ‘static display’ of
`
`corresponding prices. Here. unlike the prior art, the "static' display of prices is just that.
`
`static, and does not move in response to a change in the inside market. With this
`
`display of market depth. claimed in each of the independent claims, a trader places a
`
`trade order with the pointer in the area of the order entry region of the dynamic market
`
`depth region, through a single computer implemented action, see Figures 3 and 4. For
`
`example, in figure 3, a click on Bid Ct 18 will send an order to the market to sell 17 lots
`
`of the commodity at a price of B9.
`
`The closest prior art including US Patent 6,403,282, PCT W0 U'll"l5352 and
`
`commonly owned non—patent literature “X Trader” (see, applicant's response to
`
`USPTO's request for information) it lack this feature. The PTO also inquired as to the
`
`subject matter of alleged infringement referenced in applicants petition to make special
`
`106
`
`

`
`Applicationlcontrol Number: 091894537
`Art Unit: 3624
`
`Page 3
`
`in related case SN 09590692. The USPTO found no evidence of public use or any
`
`printed publication of the system known as J Trader, the subject matter of potential
`
`infringement and the applicant's basis for his petition to make special. earlier than
`
`November 6, 2000. Therefore. the USPTO has concluded that the system known as J
`
`trader is not prior art to the instant application, which has a filing date of June 06. 2000.
`
`2.
`
`Any comments considerd necessary by applicant must be submitted no later
`
`than the payment of the issue fee and, to avoid processing delays. should preferably
`
`accompany the issue fee. Such submissions should be ciearty labeled "Comments on
`
`Statement of Reasons for Allowance."
`
`By.
`
`Richard Weisberger
`
`107
`
`

`
`Appicafionlconiml Number. 091394.537
`M Unit: 3524
`
`108
`
`

`
`Applicetionicontrol Number 091694.63?
`Art Unit: 3524
`
`'
`
`Page 2/6
`
`The application has been amended as follows:
`
`To the beginning of the specification, add;
`\
` 1-'I'-‘P-I-r-I-I-a-:$"""1---'
`
`,
`
`This application is a divisional sppiication of serial number 0915905592 filed
`
`C 05!09l20UO which claims benefit of so11as,s-22)-it/¢J Hard. 2I znae-
`
`Any inquiry concerning this communication or earlier communications from the
`
`examiner should be directed to Richard C Weisberger whose telephone number is 703
`
`303 4408.
`
`If attempts to reach the examiner by telephone are unsuccessful, the examiners
`
`supervisor, Vince Millin can be reached on 703 308 1065. The fax phone number for
`
`the organization where this application or proceeding is assigned is 703-372-9306.
`
`information regarding the status of n application may be obtained from the
`
`Patent Application Information Retrieval (PAIR) system. Status information for
`
`published applications my be obtained from either Private PAIR or Pubic PAIR.
`
`Status infonnation for unpublished applications is available through Private PAIR only.
`
`For more information about the PAIR system, see httpziipair-direct.uspto.gov. Should
`
`you have questions on access to the Private PAIR system, contact the Electronic
`
`E Business Center (sec) at see-21?-9197 [toll—free).
`
`hard 0 Welsberger
`rnery Examiner
`Art Unit 3624
`
`109
`
`

`
`Appliufiwcnmml Nu.
`091894.537
`Enrninsr
`
`AppI|cInt{s)IPatant Llntlat
`Reeramlnatinn
`Kenn: ET AL
`At! Unit
`
`mcnardc wetsnargar
`|-LS. PATENT DOCUMENTS
`
`'
`
`3324
`
`P‘°”°”
`
`Notice of References Cited
`
`Document Number
`Gounlry Donia.-Mulnhnr-Klnrt coda
`
`
`
`llllllllllnflflflflllfllHlflllflflflflflflglliigfli
`
`NON-PATENT DOCUMENTS
`lnnludo as Ipplfnihloz Auihor. ‘fill! Dub, Publllmr, Edition or Uulunne, Pnrlinani Flats)
`
`Patsysiarns News Release. Patsystama Launuhas J Trader. Nwemberflfi. 21101.
`
`I
`
`V
`
`‘loam cl nu. Marsala H ml Ilulnu tunislud win um Ofllai wllon. (Sn maps 1o1.u5¢o).3
`DItIIlnNM-Y\!YYIutrna1arunL|I:||GnIlnI1da1aI. Dbufllcuflnnuflwyboufi-mfordm.
`Us. Pwmunfirnunnmolluu
`770-393 (RBI 01-3001)
`
`Italian ol Rnloroncn Gmcl
`
`Part af Pnpcr Na. 10
`
`110
`
`

`
`Interview Summary
`
`Appltcatlon Nx
`09I594,33T
`Enm“
`Richard c weisberger
`
`Appltcanfls}
`KEMP ET AL.
`
`All participants (applicant. applicants reprseentallve. PTO personnel):
`
`(1) -
`
`(2) -
`
`Dale of Interview: .
`
`E3):-
`
`(4J__-
`
`Type: a)B] Telephenio ml] Video conference
`c)l:] Personal [copy given to: 1)D applicant
`
`2}EI applicant's representative]
`
`Exhibit shown or demonstration conducted: d)[] Yes
`If Yes. brief description:
`.
`
`e)[:} No.
`
`Dlslrn(s) discussed:
`
`.
`
`Identification of prior alt discussed:
`
`.
`
`Agreement with respect to the claims 9|] was reached. 9)|:| was not reached.
`
`h]I'_"] NIA.
`
`.
`ants‘.
`ted se It -.'
`
`{A fuller description, If necessanr. and a copy oi the amendments which the examiner agreed would render
`allowable. if available, must be attached. Also. whens no copy of the amendments that would render the claims
`allowable is available. a summary thereof must be attached.)
`
`THE FORMAL WRITTEN REPLY TO THE LAST OFFICE ACTION MUST INOLUDE THE SUBSTANCE OF THE
`INTERVIEW. (See MPEP Section 713.04).
`It a reply to the last Otliee action has already been filed. APPLICANT IS
`GIVEN ONE MONTH FROM THIS INTERVIEW DATE. OR THE MAILING DATE OF THIS INTERVIEW SUMMARY
`FORM. WICHEVER IS LATER. TO FILE A STATEMENT OF THE SUBSTANCE OF THE INTERVIEW. see
`summary of Record of Interview requirements on reverse side or an attached sheet.
`
`Escernlnet Note: You must sign this form unless It is an
`Atieohmentto a signed Office action.
`u.e.PnheI
`- Thnmrt 3" -
`PTOI-413 IR-in M03)
`
`Examiners s|gnatura_ if requn-ad
`
`Paper No. to
`
`111
`
`

`
`oramnry of Record of Interview Raoul.
`Ilenual ot Patent Eumtnlnn Frocedura[hlPEP).ler.1ton 71 IM. llhatenee oflrltenltallr lrluet be Hale ot Record
`A complete ulltllen elllemenl m be the eubetence of any tan-In-once, Irtlleo ofitlemrtee, or letephone lnlaatrtewwlh regetfl to en appltcellnn I1'lI.II be rllefla ot reoord Ill It'll
`appllodlen Mrulheror not an egreemerltwlrh er. earamirerwee reaolred at the Interview.
`Tllle 37 code H‘ FIdel'eIIhflIIItl§t'II|¢FR]|1.I-ll Inlervlewe
`WWW“ 0')
`In even: lllltulee where reoanelderellon ta roqueelert it view n1'IlI Intenrlew with an en-amlner, a complete errlten etetelherll nftlle reeeorlu llreeellted at the Interview ea
`Ieunu-rthgfemrehhuetmnunlhetfledbylhuageuiunnd. Anlnterltrarrdoaenatrerneee Iheneoeeettyfiorreptytlatfloaedenrleepedledinii ‘|.It1.1.13-B.(3EU.S.¢. 132}
`HT GFR i-1.1 Euelneee to batralleeeten lnvtlilllg.
`All bttelneee with the Pnlerit orTredemell Dloe eltouldttetreneeelad In writing. The pereunel ettenrlanoe otepptleelue artllelr etlorneye oragefleat the Patent and
`teethnerl: Dflk: h use-teuaenry. The aollnn oltha Potent and Trademark filkaafll be heeed erllnluellrdy on thaetlrhten record it Ilrafllion. Nn annllllon trill be nlfl to
`any eeepeu erel pnenrtee. etlputettoe. or underelenrllng In ralatlnn to which lltere le oleeareenrerrt er tletbt.
`.—-5.:
`
`The eotlon ol the Patent anal Tretternark Dflloe cannot be based erroluolrrely on the wrttten record it the Dffloe Illhat reeordle lleat
`incomplete through the taeure to record the suaetenoe atlnlervteunt.
`It to the reeponelllity otttte applleatt ottlne ettnrnegl or enent to rnelte the eubetenne at In lrttnrltlevt at record t1 the Ipptlcetton Illa. tetlela
`the exarnlner lnrttcalea he orahe trllll do no.
`It Ielhe atremlnere reaponalhlllly to see that ouch erecon-.l to mode and to correct rneterlel Inaccureolee
`which beer dlrectly on the quealten ol pater-Itehllty.
`Exemlnere nruet complete an Inlenrlew summery Form for each Intartrletll held venue a rnetter otwbetenee has been dleeueeed during the
`Interview by oheolchglhe appraprlele lumen and Flllru In the hlenlul. Dlacueelone regentlng only prooedual rnettere, directed lately to reetrlottolr
`rerrtrlremenle larwhlot1 Irttenrlew recorrlatlon lo othetwlee prolrltlee lorln Sec-tlon 312.01 ot the Manual of Patent Eeamlnho Procedure. or peldlhg
`out typographical errors or unreaoaole eutpt In Otllee acetone or the Illte. Ire enelutteo min the rrtawlew reoordetlen procedures below. Where the
`etbetance of an Intenrleur leonmpletnly recorded In en Ettrentlner-e Amerdrneri. no separate lntenrlew summery Record to requlred.
`'I'he Interview Summary Form ahetl be ghren an approprlete Paper No.. pleoed In the right hfltd oortlon of the flte. and Intent on the
`‘C-ontentrf eeotlon otthe file wrapper. lne pereonel lntenrtelrr. e duplloete «(the Form to men to the apoloant (or attemey or Igenttettlle
`eonoluelon ofthe Intenrtew.
`In the can at a telephone or yleeo-conference Intenrlew. the copy to mend Iothe eppllcant'e correeponrlenoe erlweee
`ellher when or prior to the next otllolel co rnrnunloetlnrt It edtlllonal correepondence From the eaternlnet Ie not llllety befcre ell elolnrence or If other
`rzlrcurrtatenoae dletete, the Form ettoulrl he rnelart promptly after the Intennew rather than wlth the next otllctel aemmunleetion.
`The Form prerrloae tor recorutlon orlhe following lntumtatlon:
`hpplc-Itlon hlurnber (Serlee code and Bartel Number)
`Nrune of appltcent
`Nllne nl examiner
`Date ol‘ Interview
`‘type ot Interview Itelephonlo. vlcleo-conference, or personal)
`Name at pertloloenttel fepplleent. attorney or aoant. l’IIt'l'li|'ltll'. other PTO personnel. etc.)
`An In ttlcatlen whether or not an ealhlbtt wee IHOWI1 or a demonetrutton oonduetee
`An lrlentlllcellon of the specific orlorirt dleoueeelt
`An hlrtleetlon whether on agreement wee reached and Into. e tleeorlptloo ol the general nature of the agreement {ally be by
`elteetrmem ole cupyot wnenttnente or nlaltne agreed as Ilelng nltewahle}.
`l'-tote: Agreement ee toellultrebilytslentlthle and does
`not reetrlct ltrther eellon bythe aamhlner lathe cannery.
`- The algrtature ol the etrernlner who conducted the tntenrlevr [ll Form to not an attachment to a ahnod Otltce cotton]
`It In deehtrle that the etrarhlner areiy remind the epoloant of his or her ohllaatton to record the auhehnee ot the lntenrleu at each case. It
`ehould he noted, however. that the Interview summary Form vrlltnol normally lteoonelrlelrea a eomplete and proper reaontallon ot the Inlewlevr
`lrrlleee lttnelodee. or ls supplemented hythe apptloent nrlhe exemlnertn Include. all ertha epplleable Ierna requlrecl hetoweuncemtng the
`eubetmne of the Intenrtew.
`
`I||'l|IIlI
`
`A complete amt proper recorltelton ct‘ the euoetanca or any Intenrlew ehoulcl Include at lent the tollrlmtno eeollceble Iteme:
`1] A hrlel deeerlptloo ol the nature oteny errl-riolteltrwrn urany demonstration contnoterl.
`2} on Irtentlllaetien ot‘ the clehre dleotlsect,
`3) en Ieentlfleethn ottlre epenllle prlor art dlecueeee,
`4} an lttentllteellen ot the prlreolpel prapoeeo Irrterrdmente ot a euoetonllue nature rleeueeee. llnleae lheee era already rleeertbecl on the
`trrtervlew sumrnery Form completed by the Errarrrlhlr.
`5) a brlelldentltle-etton ofhte-generetltntet oftho prlnclpal erguntante presented to the aaoarnlner.
`[The ldantilloatlon el arglltnerke need not be lengthy er elaborate. A verbetlm or hlghly deteletl deeerlptlon of the ergnrnente Ie not
`requlrecl. The Iderrtlnealton of the ernurnertte Ie eutllelent Itthe general nature or lhmet of the prlnelpal ergurnente made to the
`erunlnet can he understood In the context ofthe apple-allon tile. or eouru. the epplloanl my deer: to II'l'lP|‘tI.I|ZlI end tutly
`deecrlbe than arguments wtltctl he aratre tears were or might be pereueelue to the mremher.)
`II} a general truncation of anyother perttrml meltare dlectteeed, and
`7)t1'appraprlate. the general result: or outcome etthe Interview unleee already deecrlbed In the lnlervlew summary Form completed oy
`the eetunlner.
`
`E|I||1|I'I&I'6 HI Iltllecteo to carefully retrlew the eppllcanre record or the euoetenee of enlntenrlew. llthe record to not complete and
`enouele, the examiner wlll glue the applicant on eartenrlalale one month ttme petlno to correct the record.
`Examiner to check for Accuracy
`
`lftne eletme are allowable for other reeeene or recent. the etrelnlner ahould send a Iettereatthp forth the ottarnlrlefe version orthe
`deternant ettrlbuted to him or her.
`It the recordlnoomplete and eeourete. the examiner ahoulct plane the Inellcetlon, 'h-tlnnrietlr Recon! OK’ ontlse
`paper recording the euhetaneeol the lrtenttew along withthe dale and the emminerh Intlele.
`
`112
`
`

`
`UNITED STATESPxmrr ANDTRADEMARK OFFICE
`
`M '1 1
`'unttusuturu r
`I111
`STATII Ill'aPAITI‘IIN'l'C|F gI0!:I.MlJlCl
`m....oottu1I:i:'::N FORM
`rn.
`
`flhlm.-v-r.--J-Lwr
`mu-tcso
`
`NOTICE OF ALLOWANCE AND F'EE(S) DUE
`
`‘I590
`
`ONINNM
`
`Robert C. Klinger
`Jackson Walker I..L.P.
`suimsoo
`2435 North Central Expressway
`Richardson. TX 15080
`
`“Wm”
`
`\lt'Bl8BIlt0|?I. I-II‘-‘MI-D C
`
`EEK
`ma
`mvro MAILI-‘ID: WIMOM
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`1-mar uaueumvm-on
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`091394.631
`1-nu: or mvnmon: cucx nnsuo mtnmo Wt1'IlIN'l‘UtTlVII GRID msmw or manor nnrrtt
`
`AITURNIII occur on.
`mm to I55
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`oomumxnou no.
`I521‘
`
`nonpnwislotnll
`
`‘NO
`
`B330
`
`3300
`
`llfllfl
`
`IISIIOIIWQ
`
`THE APPLICJKTION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FDR ISUANCE As A PATENT.
`1Rfi Qfl IHEMIRIISIS QLQSED, THIS NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIG]-ITS.
`THIS APPLICATION IS SUBJECT TO WPTIIDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
`PETITION BY THE APPLICANT. SE-E 31 CFR 1.313 AND MPEP 1308.
`
`THE ISSUE net: mp PUBLICATION nor. or REQUIRED) MUST my run WITHIN Iflmtlt Mnltlzms FROM ‘rm:
`MAILING DATE or nus NOTICE on Tats APPLICATION SHALL BE REGARBED AS ABANDONED. mm
`EIAIILIQRI Emma moon: in exzuunxn.
`son as rJ.s.c. 151.
`1112 ISSUE re: DUE. INDICATED itnovn
`nmncm A CREDIT eon ANY PREVIOUSLY mun ISSUE rm APPLIED IN nus APPLICATION. THE PTDL-853 (on
`AN EQUWALEN1‘) MUST no nus-runutrn wrrnm THIS roman oven Ir no me Is our: on THE APPLICATION WILL
`mt REGARDEI) AS ABANDONED.
`
`HOW TO REPLY TO TIIIS NOTICE:
`
`l. Review the SMALL ENTITY slants shown above.
`
`Iftlae SMALL ENTl'I"t' is shown as ‘IE5, verifyyour current
`SMALL ENTITY status:
`
`lfthe SMALL ENTITY is shown IsND:
`
`e
`vs.
`Aiulf the status is the same. pay the TOTAL I-‘EB[S) DUE shown
`B. If the status is changed. pay the PUBLICATION FEE (if
`required} and twice the amount of the ISSUE FEE shown above
`and notify the United States Patent and 'I‘t'adt:rrtarlt Office of the
`
`A. ‘Pay TOTAL I-‘EE(S) DUE sltowr. above, or
`B. Ifappllcsnt claimed SMALL ENTITY stems before. or is now
`claiming SMALL ENTITY status. dteek the box below and enclose
`the PUBLICATION FEE Ind N2 tJ1elS5UE FEE shown above
`
`°""'”° 1“ '“‘“"' °'
`
`:1 Appticuu cum SMALL ENTITY mun.
`See :7 cm: 121.
`
`II. PART B - FEE(S) TRANSMITTAL should be completed and returned to the United States Patent Ind Tndemati Office (USPTO) with
`your ISSUE FEB and PUBLICATION FEE. (if required). Even if the feels) have already been paid. ‘Part B — 'F‘oe(sJ Transmittal should be
`completed and returned. If you are charging the team to your deposit account. section "nth" of For: B — Fet(s) Transmittal should be
`completed and Ill oxtra copy of the form should he submitted.
`III. All communications regarding this application must give the application number. Please direct all eutnrnunicnione prior to issusnoe to
`Mail Stop ISSUE FEE unless advised In the contrary.
`
`IMPORTANT REMINDER: ‘Utility patents Issnlng on applications ltleti on or sfter Dec. 13, 1980 may require payment of
`mnintonsneo feet. It in pstentoe's responsibility to ensure timely payment ofntalutettttnoe Ices when due.
`
`l"I‘DL-SS {REIL H.111) Approved flu use Ihrougit wwzom.
`
`Page I of 3
`
`113
`
`

`
`Complain and and this term. rancher with nppllcahla rum. In: mu Iélangsfimgaggilifirrrflfiiwu
`P.0. Box 1450
`AIo1LImIrIn,VIr¢InIa 2231:1445»
`or E];
`(103)145-4000
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`ADDRESS‘ Ibr
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`14”‘: A “nun Mum‘
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`
`|n:m1n|u
`
`15;»
`Robert C. Klinger
`r-q=m«nwmrL.u-
`Sultefiflfl
`2435 Nunh Cmml Ewmuwly
`RIcIIardlun. TX 75080
`
`PART B - FEEISI 'l'RANSMI'l'I‘Al..
`
`““
`
`FIRST NAMED IN\|'DI'l'DR
`FILING DATE
`APPUGITIONND.
`Guy Allan Kemp II
`flH21'!1IlJl
`09394.53‘!
`TITLE OF INVENTION: CLICK BASED TRAIIIND WITH l‘N'l‘lJlTWE GRID DISPLAY OF MAIIKEF DEPTII
`
`.|l'I'l'C|I‘N£'( WCILEINO.
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`PI!-he r.'JIn::k flu uppopfilll: usigncn nllrlnty ornlagurlu (will m1 he prinlnl nn Ill: puslllk
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`
`114
`
`

`
`ii Unnso Snmas PATENT AND TRADEMARK Omcs
`
`,uNI'I'!llI mrrasn rs mo oonmsa
`|ul'l‘1-Idnnn-k
`Umfllllflbiriuu Enrol,‘
`Dflil
`-wleunv
`ififil‘
`IIIIJ-IIGD
`
` "I"WM4E°|NWNT°R
`il9a"I§4,6J?
`D6fl.'mllllI
`Gory Allen Kemp ll
`
`02405!-M55
`
`°°""W*"°"‘"°-
`Ill?
`
`mm
`
`W
`ltobert C. Klinger
`Jackson Walker L.L.l'.
`Suite son
`2435 North Central Expressway
`
`kichardwm TX “nan
`
`WESBEIIIIEI. I-IGIIAIDC
`
`0 ’*"'"'1'“"'*
`mu
`
`EMTEMMLED: \'ll.r'10:'l.lIM
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or afier May 29, 2000}
`
`The Patent Term Adjustment to date is 532 dsy(s). If the issue fee is paid on the date that is three months alter the
`mailing date of this notice and the patent issues on the Tuesday befon the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be $32 dayfs).
`
`If e Continued Prosecution Application (CPA) was filed in the above-identified application. the filing date that
`determines Patent Term Adjustment is the tiling date ofthe most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application lnfonnation Retrieval
`(PAIR) system (hnp'.!.'pair.uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Ofiiee of
`Patent Legal Administration at (103) 305-1383. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at (703) 305-8283.
`
`FTOI.-I5 (Rev. mos; Approved town mun u-maoonc.
`
`115
`
`

`
`IN THE UNITED STATES PA TENT AND TRADEMARK OFHCE
`
`Attorney Docket No. 024051i'D155
`
`Gary Allan KEMP II at al.
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF
`MARKET DEPTH
`
`09fB94-,637
`
`June 27, 2001
`
`R. Weisberger
`
`3624
`
`
`
`9398cifl0HE)
`
`£3035
`3302ifZ:53 :32'_.J...’..¥
`
`NFO
`
`TIO DI
`UNDER
`
`L08
`CF
`
`T
`1. 8
`
`EN
`
`Commissioner for Patents
`Washington, D.C. 2023‘!
`
`Sir:
`
`Applicants
`
`submit herewith on Form PTOISBJOE a
`
`listing of
`
`the
`
`documents cited by or submitted to the U.S. PTO in parent application Serial No.
`
`oer59o,e92, filed 06l09I2000. As provided in 37 CFR §1.9Bldi, copia of the
`
`documents are not being provided since they were previously submitted to the
`
`United States Patent
`
`8: Trademark Office in the ahove—identifled parent
`
`application.
`
`The submission of any document herewith, which is not a statutory bar. is
`
`not intended as an admission that such document constitutes prior art against
`
`the claims of the present application or that such document
`
`is considered
`
`material to patentability as defined in 37 CFR §1.56lb}. Applicants do not waive
`
`any rights to take any action which would be appropriate to antedete or
`
`otherwise remove as a competent reference any document which is determined
`
`to be a prima facie art reference against the claims of the present application.
`
`116
`
`

`
`Serial No. o9ra94,6.:7
`
`Attorney Docket No. 024051101 55
`
`T ING
`
`TH
`
`SCL
`
`R
`
`The instant Information Disclosure Statement is believed to be filed in
`
`accordance with 37 C.F.R. 1.97lbi, prior to the mailing date of a first Office
`Action on the merits.
`
`ELE
`
`C
`
`E
`
`O
`
`The relevance of
`
`the listed documents
`
`is described in the parent
`
`application.
`
`Applicant respectfully requests that the listed documents be considered by
`
`the Examiner and formally be made of record in the present application and that
`
`an initialed copy of Form PTO SBIOB be returned in accordance with MPEP
`§609.
`
`Respectfully submitted.
`
`@"D d :9
`
`Ankur D. Shah
`Registration No. 41.514
`
`5-EPTEr’BEr€
`
`Date
`
`30, zaaz.
`
`FOLEY & LARDNEH
`Washington Harbour
`3000 K Street, l\l.W., Suite 500
`Washington, o.c. 20007-5109
`Telephone:
`£202] B72-5300
`Fceimile:
`(202) 672-5399
`
`0Cl2.I9459T.1
`
`117