UNITED STATES PATENT AND TRADEMARK OFFICE
`
`6
`
`M
`UNITED STATES I)EPAR'l"MENT OF COMMERCE
`Unltcd States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.0. Box I450
`Alexandria. Virginia 22313-1450
`www.uspIo.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`22428
`
`7590
`
`02/10/2004
`
`LARDNER
`I
`
`FOLEY
`SUITE 500
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`EXAMINER
`
`WEISBERGER, RICHARD c
`
`3624
`I DATE MAILED: 02/10/2004
`
`09/590,692
`
`FILING DATE
`06/09/2000
`
`FIRST NAMED INVENTOR
`Gary Allan Kemp II
`
`ATTORNEY DOCKET No.
`024051/0135
`
`CONFIRMATION No.
`2769
`
`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`nonprovisional
`
`YES
`
`ISSUE FEE
`525
`
`PUBLICATION FEE
`so
`
`TOTAL FEE(S) DUE
`$25
`
`DATE DUE
`05/ l 0/2004
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
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`THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
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`PTOL-85 (Rev.
`
`1 H03) Approved for use through 04/30/2004.
`
`Page 1 of 3
`
`1
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`IBG LLC ET AL. - EXHIBIT 1012
`
`

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`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`-~
`'
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`(703) 746-4000
`or E3;
`through 4 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required. Blocks 1
`ap _ropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will
`e mailed to the current corres ondence address as
`in ieated unless corrected below or directed otherwise in Block 1, by (a) specifying a new eonespondence address; and/or (b) indicating a separate " EE ADDRESS" for
`maintenance fee notifications.
`
`CURRENTCORRESPONDENCE ADDRESS (Note: Legibly mark-up with any corrections or use Block 1)
`
`' 22428
`
`7590
`
`02/ I0/2004
`
`FOLEY AND LARDNER
`SUITE 500
`3000 K STREET NW
`WASHINGTON DC 20007
`
`Note: A certificate of mailin can only be used for domestic mailings of the
`Fee(s) Transmittal; This eerti icate cannot be _used for any other accompanying
`ave its own certificate of mailing or transmission.
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`Certificate of Mailing or Transmission
`I hereb certi? that this Fee?) Transmittal is being deposited with the United
`ervice with su icient postage for first class mail in an envelope
`States oslal
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO, on the date indicated below.
`
`(Depositors name)
`(Signiilure)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`Gary Allan Kemp II
`06/09/2000
`09/590,692
`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`024051/0135
`
`2769
`
`APPLN. TYPE
`
`nonprovisional
`
`SMALL ENTITY
`YES
`
`EXAMINER
`
`WEISBERGER, RICHARD C
`
`ISSUE FEE
`$25
`
`ART UNIT
`
`3624
`
`PUBLICATION FEE
`$0
`
`CLASS-SUBCLASS
`
`705-03 7000
`
`TOTAL FEE(S) DUE
`$25
`
`DATE DUE
`
`05/ l 0/2004
`
`1. Chan e of correspondence address or indication ot‘"Fce Address" (37
`CFR L 63)
`Cl Change of corres ondence address (or Change of Correspondence
`Address form P-I-0 B/122) attached.
`ee
`ress in ica on or
`ee
`ress
`n i
`l
`D "F Add
`W d_
`H
`(
`"F Add
`"1 dbavon form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2, For printing on the patent front page, list (I) the
`names of up to 3 registered patent attorneys or
`ageing 01?’ alternatively’ (2) the. name of a Single
`firm (having as a member a registered attomey or
`-
`-
`agent) and the names of up to 2 registered patent
`atifi":ys.°re3ge“ts‘ If M name '5 listed’ "0 namc
`W‘
`39"“ -
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`
`PLEASE NOTE: Unless an assi nee is identified below, no assignee data will appear on the patent. Inclusion of assignee data is only appropriate when an assignment has
`been previously submitted to the SPTO or is being submitted under separate cover. Completion of this form is NOT a substitute for fi ing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent);
`4a. The following fee(s) are enclosed:
`4b. Payment of Fee(s):
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`ayment, to
`Cl Advance Order - # of Copies
`EliThe‘ Director is hereby authorized by charge the required fee(s), or credit any ove
`Deposit Account Number
`(enclose an extra copy of this form .
`Director for Patents is requested to apply the Issue Fee and Publication Fee (if any) or to re-apply any previously paid issue fee to the application identified above.
`
`CI individual 0 corporation or other private group entity
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`(Authorized Signature)
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`SPTO. Time will vary depending upon the individual
`case. Any comments_ on the amount of time you require to_ corn etc this form and/or
`suggestions for reducing this burden, should be sent to the Chief In onnation Officer, U.S.
`Patent and Trademark Office, U.S. Department of Commerce, Alexandria, Vi
`inia
`22313-I450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADD SS.
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`
`Under_the Paperwork Reduction Act of 1995, ncr.-vlgersons are required to respond to a
`collection of infonnation unless it displays a valid 0
`control number.
`TRANSMIT THIS FORM WITH FEE(S)
`OMB 0651-0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`PT()L—85 (Rev. I I/03) Approved for use through 04/30/2004.
`
`2
`
`

`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`0
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and ‘Trademark Office
`Address: COMMISSIONER FOR PATENTS
`PO. Box I450
`Alexandria, Virginia 22313-1450
`www.uspIo.gov
`
`09/590,692
`22428
`
`O6/O9/2000
`02/10/2004
`
`7590
`
`FOLEY AND LARDNER
`SUITE 500
`
`3000 K STREET NW
`WASHINGTON, DC 20007
`
`FIRST NAMED INVENTOR
`Gary Allan Kemp ll
`
`ATTORNEY DOCKET NO.
`024051/0135
`
`CONFIRMATION No.
`2769
`
`EXAMINER
`
`WEISBERGER, RICHARDC
`
`3624
`DATE MAILEDZ 02/l0/2004
`
`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 0 day(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 before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 0 day(s).
`
`if a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed- information by accessing the Patent Application Information Retrieval
`(PAIR) system (http://pair.uspt0.gov).
`
`Any questions regarding the Patent.TeIm Extension or Adjustment determination should be directed to the Office of
`Patent Legal Administration at (703) 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.
`
`PTOL—85 (Rev. 1 1/03) Approved for use through 04/30/2004.
`
`3
`
`

`
`. ‘.
`.
`‘
`V
`« Notice of Allowabrlrty
`
`09/590,692
`Examine,
`
`KEMP ET AL.
`Art Unit
`
`Application No.
`
`’
`
`Applicant(s)
`
`Richard c Weisberger
`
`3624
`
`M
`
`-- The MAILING DATE of this communication appears on the cover sheet with the correspondence address--
`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 ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`ofthe Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
`
`1. IX This communication is responsive to amendment terminal disclaimer and interview summary.
`2. [Z The allowed c|aim(s) is/are 22-70 and 89—9§
`3. IE The drawings filed on 12 August 2002 are accepted by the Examiner,
`4. I:I Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) C] All
`b) [:1 Some‘
`c) D None
`of the:
`1. D Certified copies ofthe priority documents have been received.
`2. El Certified copies of the priority documents have been received in Application No.
`
`3. E] Copies ofthe certified copies ofthe priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received: j.
`
`5. [Z Acknowledgment is made of a claim for domestic priority under 35 U.S.C. § 119(e) (to a provisional application).
`(a) E] The translation of the foreign language provisional application has been received.
`6. E] Acknowledgment is made of a claim for domestic priority under 35 U.S.C. §§ 120 and/or 121.
`
`Applicant has THREE MONTHS FROM THE "MAILING DATE” ofthis communication to file a reply complying with the requirements noted
`below. Failure to timely comply will result in ABANDONMENT ofthis application. THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`7. E] A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAM|NER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`.
`8, E] CORRECTED DRAWINGS must be submitted.
`(a) E]
`including changes required by the Notice of Draftsperson‘s Patent Drawing Review( PTO-948) attached
`1) El hereto or 2) [I to Paper No.
`, which has been approved by the Examiner.
`including changes required by the proposed drawing correction filed
`(b) E]
`(c) D including changes required by the attached Examiner's Amendmentl Comment or in the Office action of Paper No.
`
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the top margin (not the back)
`of each sheet. The drawings should be filed as a separate paper with a transmittal letter addressed to the Official Draftsperson.
`
`9. CI DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`
`HZ Notice of References Cited (PTO-892)
`3|] Notice of Draftperson's Patent Drawing Review (PTO-948)
`SIZI Information Disclosure Statements (PTO-1449), Paper No. _.
`7C] Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`2[:] Notice of Informal Patent Application (PTO-152)
`48 Interview Summary (PTO-413), Paper No.:_.
`6l:I Examiner's Amendment/Comment
`BE] Examiner's Statement of Reasons for Allowance
`QC] Other
`
`U.S. Patent and Trademark Office
`
`PTO-37 (Rev. 04-01)
`
`-
`
`Notice of Allowability
`
`Part of Paper No. 28 .
`
`4
`
`

`
`9
`
`#
`
`App|ic_ation/Control Number: O9/590,692
`Art Unit: 3624
`
`Page 2
`
`Allowable Subject Matter
`
`41.
`
`The following is an examiner’s statement of reasons for allowance: The following
`
`is an examiner’s 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 Q 18 will send an order to the market to sell 17 lots
`
`of the commodity at a price of 89.
`
`The closest prior art including US Patent 6,408,282, PCT WO 01/16852 and
`
`commonly owned non-patent literature “X Trader” (see, applicants response to
`
`USPTO's request for information) all
`
`lack this feature. The PTO also inquired as to the
`
`subject matter of alleged infringement referenced in applicant's petition to make
`
`5
`
`

`
`G:
`
`$
`
`Application/Control Number: 09/590,692
`Art Unit: 3624
`
`Page 3
`
`special. 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 commentsconsidered 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 clearly labeled “Comments on
`
`Statement of Reasons for Allowance.”
`
`Any comments considered 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 clearly labeled “Comments on
`
`Statement of Reasons for Allowance.”
`
`Respectfully
`
`By,
`
`Richard Weisberger
`
`6