Paper No. ____
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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
`__________________
`TRADESTATION GROUP, INC.;
`TRADESTATION SECURITIES, INC.; IBG LLC; AND
`INTERACTIVE BROKERS LLC;
`
`Petitioners
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2016-00051
`U.S. Patent 7,904,374
`_________________
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`PATENT OWNER’S UPDATED 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
`__________________
`TRADESTATION GROUP, INC.;
`TRADESTATION SECURITIES, INC.; IBG LLC; AND
`INTERACTIVE BROKERS LLC;
`
`Petitioners
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2016-00051
`U.S. Patent 7,904,374
`_________________
`
`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
`
`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners TradeStation Group, Inc., TradeStation
`
`Securities, Inc., IBG LLC, and Interactive Brokers LLC. Select exhibits between
`
`2001 and 2416 are reserved for later use as indicated in the chart below. Exhibits
`
`2165, 2168 - 2171, 2174, 2183 - 2189, 2192 - 2197, 2201, 2204, 2206 - 2211, 2214
`
`- 2223, 2226, 2230, 2233 - 2234, 2236, 2238, 2250, 2279 - 2282, 2287, 2292 -
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`2297, 2411 - 2416 were filed on PTAB E2E and served via email to counsel of
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`record for the petitioner as indicated below.
`
`Exhibit 2008
`
`Exhibit 2009
`
`Exhibit 2010
`
`Filed Exhibits Description
`Exhibit 2001-
`Reserved
`Exhibit 2006
`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
`
`Exhibit 2011
`
`Exhibit 2012
`
`Exhibit 2013
`
`Exhibit 2014
`
`
`
`1
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`
`
`Case CBM2016-00051
`U.S. Patent 7,904,374
`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
`
`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
`
`U.S. Patent No. 6,766,304 B2
`Reserved
`
`U.S. Patent No. 6,772,132 B1
`Reserved
`
`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
`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)
`Reserved
`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)
`TradeStation Group, Inc., et al., v. Trading Techs. Int’l, Inc.,
`Case No. CBM2015-00161, Declaration of Dr. John Phillips
`2
`
`Exhibit 2015
`
`Exhibit 2016
`
`Exhibit 2017-
`Exhibit 2090
`Exhibit 2091
`
`Exhibit 2092-
`Exhibit 2110
`Exhibit 2111
`Exhibit 2112-
`Exhibit 2115
`Exhibit 2116
`Exhibit 2117-
`Exhibit 2118
`Exhibit 2119
`
`Exhibit 2120
`Exhibit 2121
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`Exhibit 2122
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`Exhibit 2123
`Exhibit 2124
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`Exhibit 2125
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`Exhibit 2126
`Exhibit 2127
`Exhibit 2128
`
`
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`
`
`Case CBM2016-00051
`U.S. Patent 7,904,374
`
`Mellor (Jan. 9, 2015)
`Transcript of Proceedings for EPO 01920183.9
`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)
`Reserved
`
`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
`Declaration of Michael Burns (Thomas Ex. W)
`Declaration of Timothy Geannopulos (Thomas Ex. U)
`Reserved
`
`Declaration of Dan Olsen
`Reserved
`
`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)
`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
`
`3
`
`Exhibit 2129
`Exhibit 2130
`
`Exhibit 2131 –
`Exhibit 2164
`Exhibit 2165
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`Exhibit 2166
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`Exhibit 2167
`Exhibit 2168
`Exhibit 2169
`Exhibit 2170
`Exhibit 2171
`Exhibit 2172 -
`Exhibit 2173
`Exhibit 2174
`Exhibit 2175 -
`Exhibit 2181
`Exhibit 2182
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`Exhibit 2183
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`Exhibit 2184
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`Exhibit 2185
`Exhibit 2186
`Exhibit 2187
`Exhibit 2188
`Exhibit 2189
`Exhibit 2190 -
`Exhibit 2191
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`
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`
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`Case CBM2016-00051
`U.S. Patent 7,904,374
`
`Bear Ex. 1 - Bear CV
`Exhibit 2192
`Bear Ex. 2 - TUFTE Visual and Statistical Thinking
`Exhibit 2193
`Bear Ex. 3 - MacKenzie and Buxton on Fitts' Law
`Exhibit 2194
`Exhibit 2195 MDtrader-TG-01 - Animation
`Exhibit 2196 MDtrader-TG-02 - Animation
`Exhibit 2197
`Visualizing the Market - Animation
`Exhibit 2198 -
`Reserved
`Exhibit 2200
`Exhibit 2201
`Exhibit 2202 -
`Exhibit 2203
`Exhibit 2204
`Exhibit 2205
`Exhibit 2206
`
`Thomas Ex. A - Christopher Thomas CV
`Reserved
`
`Thomas Ex. D - Microsoft DNA Case Study
`Reserved
`Thomas Ex. F - Excerpts from Interactive Brokers Group, Inc.
`Form 10-K Statement IBG_00000412-421
`Thomas Ex. G - Excerpts from TradeStation Group, Inc. Form
`10-K Statement TS0005177-88
`Thomas Ex. H - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Expert Report of David Silverman
`Thomas Ex. I - Globex User Guide June 1995
`Thomas Ex. K - Email of Daniel Durkin TTX00020829-
`00020830 (05/28/2004)
`Thomas Ex. L - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - Brumfield Trial Testimony
`Thomas Ex. M - Animation
`Thomas Ex. N - Brumfield Sketch - eSpeed_PTX0321
`Thomas Ex. O - Animation
`Thomas Ex. P - Brumfield Trading Results - eSpeed_PTX0396
`Thomas Ex. Q - Declaration of David Martin TTX00061557-
`00061558 (08/13/2004)
`Thomas Ex. R - Brumfield Articles CQG014380172-177 and
`CQG014380206-209
`Thomas Ex. S - Declaration of James Zellinger TTX00061410-
`00061412 (08/31/2004)
`
`4
`
`Exhibit 2207
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`Exhibit 2208
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`Exhibit 2209
`Exhibit 2210
`
`Exhibit 2211
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`Exhibit 2212
`Exhibit 2213
`Exhibit 2214
`Exhibit 2215
`Exhibit 2216
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`Exhibit 2217
`
`Exhibit 2218
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`
`
`Case CBM2016-00051
`U.S. Patent 7,904,374
`Thomas Ex. T - Declaration of Ray Cahnman TTX00061529-
`00061530 (07/23/2004)
`Thomas Ex. X - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - David Feltes Trial Testimony
`Thomas Ex. Y - Declaration of Charles McElveen
`TTX00061559-00061560 (05/18/2004)
`Thomas Ex. Z - Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - Tim Geannopulos Trial
`Testimony
`Thomas Ex. AA - Trader Declarations
`Reserved
`
`Thomas Ex. DD - Steidlmayer, J. Peter, Steidlmayer on Markets
`Trading with Market Profile, 2ed (2003) - PTX0814
`Reserved
`
`Thomas Ex. HH - Collins, Daniel, What is Behind your Front-
`End?, Smart Trading 2001 - PTX0620
`Reserved
`
`Thomas Ex. LL - U.S. Patent No. 7,813,996 Claim Chart - MD
`Trader
`Thomas Ex. MM - Screenshot - Market Depth Trader Window
`Reserved
`Thomas Ex. OO - Screenshot - About the Matrix Window
`Reserved
`Thomas Ex. QQ - Screenshot - TradeStation® Securities
`MATRIX
`Reserved
`
`Thomas Ex. CCC - eSpeed_PTX0438
`Reserved
`
`Thomas Ex. FFFF - Directory of Software Solutions for LIFFE
`Connect (Oct. 1998) - PTX0355
`
`5
`
`Exhibit 2219
`
`Exhibit 2220
`
`Exhibit 2221
`
`Exhibit 2222
`
`Exhibit 2223
`Exhibit 2224 -
`Exhibit 2225
`Exhibit 2226
`
`Exhibit 2227 -
`Exhibit 2229
`Exhibit 2230
`
`Exhibit 2231 -
`Exhibit 2232
`Exhibit 2233
`
`Exhibit 2234
`Exhibit 2235
`Exhibit 2236
`Exhibit 2237
`Exhibit 2238
`
`Exhibit 2239 -
`Exhibit 2249
`Exhibit 2250
`Exhibit 2251 -
`Exhibit 2278
`Exhibit 2279
`
`
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`
`
`Case CBM2016-00051
`U.S. Patent 7,904,374
`
`Exhibit 2280
`Exhibit 2281
`Exhibit 2282
`
`Exhibit 2283 -
`Exhibit 2286
`Exhibit 2287
`
`Exhibit 2288 -
`Exhibit 2291
`Exhibit 2292
`
`Exhibit 2293
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`Exhibit 2294
`
`Exhibit 2295
`
`Exhibit 2296
`
`Exhibit 2297
`
`Exhibit 2298 -
`Exhibit 2410
`Exhibit 2411
`
`Exhibit 2412
`Exhibit 2413
`Exhibit 2414
`
`
`
`Thomas Ex. GGGG - eSpeed_PTX0356
`Thomas Ex. HHHH - eSpeed_PTX0357
`Thomas Ex. IIII - Directory of Access Solutions for LIFFE
`Connect (May 2001) - DDX0174
`Reserved
`
`Thomas Ex. NNNN - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Robert McCausland
`Deposition (04/07/2005)
`Reserved
`
`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)
`Thomas Ex. TTTT - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from David Silverman
`Deposition (08/24/2007)
`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)
`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)
`Thomas Ex. WWWW - Trading Techs. Int’l. Inc., v. eSpeed,
`Inc., Case No. 04-cv-5312, Excerpts from Robert Dezmelyk
`Deposition (08/17/2007)
`Thomas Ex. XXXX - National Aeronautics and Space
`Administration Web Page Print out, Human Computer
`Interaction Group
`Reserved
`
`Thomas Ex. LL - Exhibit 1 - X_TRADER Version 7.12.X User
`Manual
`Thomas Ex. LL - Exhibit 2 - TTX00009481
`Thomas Ex. LL - Exhibit 3 - TTX00010927
`Thomas Ex. LL - Exhibit 4 - “Placing Orders Using Different
`
`6
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`
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`Case CBM2016-00051
`U.S. Patent 7,904,374
`Order-Entry Tools,” Learning TradeStation
`Thomas Ex. LL - Exhibit 5 - TS0002226
`Thomas Ex. LL - Exhibit 6 - IBG 00003784
`
`Exhibit 2415
`Exhibit 2416
`
`
`
`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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`7
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`CERTIFICATE OF SERVICE
`
`Case CBM2016-00051
`U.S. Patent 7,904,374
`
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`Owner’s Updated Exhibit List and Exhibits 2165, 2168 - 2171, 2174, 2183 -
`
`2189, 2192 - 2197, 2201, 2204, 2206 - 2211, 2214 - 2223, 2226, 2230, 2233 -
`
`2234, 2236, 2238, 2250, 2279 - 2282, 2287, 2292 - 2293, 2296 - 2297, 2411 - 2416
`
`were served on November 15, 2016, via email directed to counsel of record for the
`
`Petitioner at the following:
`
`John C. Phillips
`phillips@fr.com
`
`Kevin Su
`su@fr.com
`
`Michael T. Rosato
`mrosato@wsgr.com
`
`CBM41919-0013CP1@fr.com
`
`PTABInbound@fr.com
`
`Confidential Exhibits 2294 and 2295 were served on November 15, 2016,
`
`
`
`via email directed to Petitioner’s counsel who executed the Acknowledgment Form
`
`of the Protective Order.
`
`Date: November 15, 2016
`
`
`
`
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`
`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`Finnegan, Henderson, Farabow, Garrett
`& Dunner, LLP
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