`Filed: May 1, 2017
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`
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`TRADESTATION GROUP, INC.;
`TRADESTATION SECURITIES, INC.; IBG LLC; AND
`INTERACTIVE BROKERS LLC;
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`
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`Petitioners
`
`v.
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`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
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`
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`_
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`_
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`PATENT OWNER’S UPDATED EXHIBIT LIST
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`Pursuant to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
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`International, Inc. hereby submits a current listing of Trading Technologies
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`Exhibits to counsel for Petitioners TradeStation Group, Inc., TradeStation
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`Securities, Inc., IBG LLC, and Interactive Brokers LLC.
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`Filed Exhibits Description
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`Exhibit 2001-
`Exhibit 2006
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`Reserved
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`Exhibit 2008
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`Exhibit 2009
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`Exhibit 2010
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`Exhibit 2007 Meyers, Brad A. “A Brief History of Human-Computer
`Interaction Technology.” Interactions 5.2 (1998): 44-54
`National Aeronautics and Space Administration Web Page Print
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`Computer Interaction Master’s Program
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`Exhibit 2011
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`Exhibit 2012
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`Exhibit 2013
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`Exhibit 2014
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`Exhibit 2015
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`Exhibit 2016
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`Exhibit 2017-
`Exhibit 2090
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`Exhibit 2091
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`Exhibit 2092-
`Exhibit 2110
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`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`Reserved
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`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill.), Redacted Version of Second
`Corrected Expert Report of Christopher Thomas
`Reserved
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`Exhibit 2111
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`U.S. Patent No. 6,766,304 B2
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`Exhibit 2112-
`Exhibit 2115
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`Reserved
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`Exhibit 2116
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`U.S. Patent No. 6,772,132 B1
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`Exhibit 2117-
`Exhibit 2118
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`Exhibit 2119
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`Exhibit 2120
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`Exhibit 2121
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`Exhibit 2122
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`Reserved
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`TradeStation Group, Inc., et al. v. Trading Techs. Int’l, Inc.,
`Case No. CBM2015-000161, Paper 2, Petition for Covered
`Business Method Review U.S. Patent No. 6,766,304 (Jul. 20,
`2016)
`Reserved
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`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)
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`Exhibit 2123
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`Reserved
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`Exhibit 2124
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`Class 345, Computer Graphics Processing and Selective Visual
`Display Systems, (January 2011 ): 1-8
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`Exhibit 2125
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`Exhibit 2126
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`July 2015 Update Appendix 1: Examples, USPTO Examination
`Guidelines
`Senate Congressional Record, S5402-S5443 (Sept. 8, 2011)
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`Exhibit 2127
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`Senate Congressional Record, S1360-S1394 (Mar. 8, 2011)
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`Exhibit 2128
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`TradeStation Group, Inc., et al., v. Trading Techs. Int’l, Inc.,
`Case No. CBM2015-00161, Declaration of Dr. John Phillips
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`2
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`Mellor (Jan. 9, 2015)
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`Exhibit 2129
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`Transcript of Proceedings for EPO 01920183.9
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`Exhibit 2130
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`Exhibit 2131 –
`Exhibit 2164
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`Exhibit 2165
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`Trading Techs. Int’l, Inc., v. Open E Cry, LLC et al., Case No.
`10-CV-0715, Dkt. 88, Joint Brief for Certain Defendants-
`Appellees (Jan. 18, 2013)
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`Reserved
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`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`(Thomas Ex. J)
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`Exhibit 2166
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`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`(Thomas Ex. YYYY)
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`Exhibit 2167
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`Reserved
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`Exhibit 2168
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`Declaration of Eric Gould-Bear
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`Exhibit 2169
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`Declaration of Christopher Thomas
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`Exhibit 2170
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`Declaration of Michael Burns (Thomas Ex. W)
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`Exhibit 2171
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`Declaration of Timothy Geannopulos (Thomas Ex. U)
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`Exhibit 2172 -
`Exhibit 2173
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`Reserved
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`Exhibit 2174
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`Declaration of Dan Olsen
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`Exhibit 2175 -
`Exhibit 2181
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`Exhibit 2182
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`Exhibit 2183
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`Reserved
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`IEEE 100 The Authoritative Dictionary of IEEE Standards
`Terms, 7th ed., p. 1112 (2000)
`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)
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`Exhibit 2184
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`Olsen Appendix B - Olsen, D. R., Evaluating User Interface
`Systems Research, UIST 2007, ACM (OLSE 07)
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`Exhibit 2185
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`Olsen Appendix C - U. S. Patent No. 1,692,601
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`Exhibit 2186
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`Olsen Appendix D - U. S. Patent No. 714,878
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`Exhibit 2187
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`Olsen Appendix E - Definition of Technology
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`Exhibit 2188
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`Olsen Appendix F - U. S. Patent No. 3,018,661
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`Exhibit 2189
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`Olsen Appendix G - U. S. Patent No. 5,960,411
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`Exhibit 2190 -
`Exhibit 2191
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`Reserved
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`Exhibit 2192
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`Bear Ex. 1 - Bear CV
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`Exhibit 2193
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`Bear Ex. 2 - TUFTE Visual and Statistical Thinking
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`Exhibit 2194
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`Bear Ex. 3 - MacKenzie and Buxton on Fitts' Law
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`Exhibit 2195 MDtrader-TG-01 - Animation
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`Exhibit 2196 MDtrader-TG-02 - Animation
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`Exhibit 2197
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`Visualizing the Market - Animation
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`Exhibit 2198 -
`Exhibit 2200
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`Reserved
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`Exhibit 2201
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`Thomas Ex. A - Christopher Thomas CV
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`Exhibit 2202 -
`Exhibit 2203
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`Reserved
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`Exhibit 2204
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`Thomas Ex. D - Microsoft DNA Case Study
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`Exhibit 2205
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`Reserved
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`Exhibit 2206
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`Exhibit 2207
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`Exhibit 2208
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`Thomas Ex. F - Excerpts from Interactive Brokers Group, Inc.
`Form 10-K Statement IBG_00000412-421
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`Thomas Ex. G - Excerpts from TradeStation Group, Inc. Form
`10-K Statement TS0005177-88
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`Thomas Ex. H - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Expert Report of David Silverman
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`Exhibit 2209
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`Thomas Ex. I - Globex User Guide June 1995
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`Exhibit 2210
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`Exhibit 2211
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`Thomas Ex. K - Email of Daniel Durkin TTX00020829-
`00020830 (05/28/2004)
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`Thomas Ex. L - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - Brumfield Trial Testimony
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`Exhibit 2212
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`Thomas Ex. M - Animation
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`Exhibit 2213
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`Thomas Ex. N - Brumfield Sketch - eSpeed_PTX0321
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`Exhibit 2214
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`Thomas Ex. O - Animation
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`Exhibit 2215
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`Thomas Ex. P - Brumfield Trading Results - eSpeed_PTX0396
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`Exhibit 2216
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`Exhibit 2217
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`Exhibit 2218
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`Thomas Ex. Q - Declaration of David Martin TTX00061557-
`00061558 (08/13/2004)
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`Thomas Ex. R - Brumfield Articles CQG014380172-177 and
`CQG014380206-209
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`Thomas Ex. S - Declaration of James Zellinger TTX00061410-
`00061412 (08/31/2004)
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`Exhibit 2219
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`Exhibit 2220
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`Exhibit 2221
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`Exhibit 2222
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`Thomas Ex. T - Declaration of Ray Cahnman TTX00061529-
`00061530 (07/23/2004)
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`Thomas Ex. X - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - David Feltes Trial Testimony
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`Thomas Ex. Y - Declaration of Charles McElveen
`TTX00061559-00061560 (05/18/2004)
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`Thomas Ex. Z - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - Tim Geannopulos Trial
`Testimony
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`Exhibit 2223
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`Thomas Ex. AA - Trader Declarations
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`Exhibit 2224 -
`Exhibit 2225
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`Exhibit 2226
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`Exhibit 2227 -
`Exhibit 2229
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`Exhibit 2230
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`Exhibit 2231 -
`Exhibit 2232
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`Exhibit 2233
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`Reserved
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`Thomas Ex. DD - Steidlmayer, J. Peter, Steidlmayer on Markets
`Trading with Market Profile, 2ed (2003) - PTX0814
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`Reserved
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`Thomas Ex. HH - Collins, Daniel, What is Behind your Front-
`End?, Smart Trading 2001 - PTX0620
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`Reserved
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`Thomas Ex. LL - U.S. Patent No. 7,813,996 Claim Chart - MD
`Trader
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`Exhibit 2234
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`Thomas Ex. MM - Screenshot - Market Depth Trader Window
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`Exhibit 2235
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`Reserved
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`Exhibit 2236
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`Thomas Ex. OO - Screenshot - About the Matrix Window
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`Exhibit 2237
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`Reserved
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`Exhibit 2238
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`Thomas Ex. QQ - Screenshot - TradeStation® Securities
`MATRIX
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`Exhibit 2239 -
`Exhibit 2249
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`Reserved
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`Exhibit 2250
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`Thomas Ex. CCC - eSpeed_PTX0438
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`Exhibit 2251 -
`Exhibit 2278
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`Exhibit 2279
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`Reserved
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`Thomas Ex. FFFF - Directory of Software Solutions for LIFFE
`Connect (Oct. 1998) - PTX0355
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`5
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`Exhibit 2280
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`Thomas Ex. GGGG - eSpeed_PTX0356
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`Exhibit 2281
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`Thomas Ex. HHHH - eSpeed_PTX0357
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`Exhibit 2282
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`Thomas Ex. IIII - Directory of Access Solutions for LIFFE
`Connect (May 2001) - DDX0174
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`Exhibit 2283 -
`Exhibit 2286
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`Exhibit 2287
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`Exhibit 2288 -
`Exhibit 2291
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`Exhibit 2292
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`Exhibit 2293
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`Exhibit 2294
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`Exhibit 2295
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`Exhibit 2296
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`Exhibit 2297
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`Exhibit 2298 -
`Exhibit 2410
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`Exhibit 2411
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`Reserved
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`Thomas Ex. NNNN - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Robert McCausland
`Deposition (04/07/2005)
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`Reserved
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`Thomas Ex. SSSS - Trading Techs. Int’l. Inc., v. CQG, Inc., et.
`al., Case No. 05-cv-4811, Excerpts from Steven Van Dusen
`Deposition (01/20/2015)
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`Thomas Ex. TTTT - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from David Silverman
`Deposition (08/24/2007)
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`CONFIDENTIAL Thomas Ex. UUUU - Trading Techs. Int’l.
`Inc., v. CQG, Inc., et. al., Case No. 05-cv-4811, Excerpts from
`John Phillip Mellor Deposition (01/16/2015)
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`CONFIDENTIAL Thomas Ex. VVVV - Trading Techs. Int’l.
`Inc., v. eSpeed, Inc., Case No. 04-cv-5312, Excerpts from
`Richard Ferraro Deposition Vol. 2 (08/09/2007)
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`Thomas Ex. WWWW - Trading Techs. Int’l. Inc., v. eSpeed,
`Inc., Case No. 04-cv-5312, Excerpts from Robert Dezmelyk
`Deposition (08/17/2007)
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`Thomas Ex. XXXX - National Aeronautics and Space
`Administration Web Page Print out, Human Computer
`Interaction Group
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`Reserved
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`Thomas Ex. LL - Exhibit 1 - X_TRADER Version 7.12.X User
`Manual
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`Exhibit 2412
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`Thomas Ex. LL - Exhibit 2 - TTX00009481
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`Exhibit 2413
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`Thomas Ex. LL - Exhibit 3 - TTX00010927
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`Exhibit 2414
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`Thomas Ex. LL - Exhibit 4 - “Placing Orders Using Different
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`U.S. Patent 7,904,374
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`Order-Entry Tools,” Learning TradeStation
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`Exhibit 2415
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`Thomas Ex. LL - Exhibit 5 - TS0002226
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`Exhibit 2416
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`Exhibit 2417
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`Thomas Ex. LL - Exhibit 6 - IBG 00003784
`Patent Owner’s Demonstratives
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`Dated: May 1, 2017
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`Respectfully submitted,
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`
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`By: /Cole B. Richter/
`Cole B. Richter, Counsel
`Reg. No. 65,398
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`Counsel for Patent Owner
`Trading Technologies International, Inc.
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`Case CBM2016-00051
`U.S. Patent 7,904,374
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`CERTIFICATE OF SERVICE
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`The undersigned hereby certifies that a copy of the foregoing Patent
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`Owner’s Updated Exhibit List and Exhibit 2417 were served on May 1, 2017,
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`via email directed to counsel of record for the Petitioner at the following:
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`John C. Phillips
`phillips@fr.com
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`Kevin Su
`su@fr.com
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`Michael T. Rosato
`mrosato@wsgr.com
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`CBM41919-0013CP1@fr.com
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`PTABInbound@fr.com
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`
`Date: May 1, 2017
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`
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`
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`By: /Cole B. Richter/
`Cole B. Richter, Counsel
`Reg. No. 65,398
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`Counsel for Patent Owner
`Trading Technologies International, Inc.
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