1111111111111111111111111111111111111111111111111111111111111
`US006772132Cl
`c12) EX PARTE REEXAMINATION CERTIFICATE (6740th)
`United States Patent
`US 6,772,132 Cl
`c1o) Number:
`Kemp, II et al.
`(45) Certificate Issued: Mar. 31, 2009
`
`111111
`
`(54) CLICK BASED TRADING WITH INTUITIVE
`GRID DISPLAY OF MARKET DEPTH
`
`2003/0097325 A1
`
`5/2003 Friesen et al.
`
`FOREIGN PATENT DOCUMENTS
`
`(75)
`
`Inventors: Gary Allan Kemp, II, Winnetka, IL
`(US); Jens-Uwe Schluetter, Evanston,
`IL (US); Harris Brumfield, Chicago, IL
`(US)
`
`(73) Assignee: Trading Technologies International,
`Inc., Evanston, IL (US)
`
`EP
`wo
`wo
`wo
`wo
`
`1 315 211 B1
`wo 91/14231
`wo 98/49639
`wo 99/19821
`wo 99/53424
`
`212001
`9/1991
`4/1998
`4/1999
`4/1999
`
`OTHER PUBLICATIONS
`
`Reexamination Request:
`No. 90/008,576, May 25, 2007
`
`Reexamination Certificate for:
`6,772,132
`Patent No.:
`Aug. 3, 2004
`Issued:
`09/590,692
`Appl. No.:
`Jun. 9, 2000
`Filed:
`
`Certificate of Correction issued Aug. 2, 2005.
`
`Related U.S. Application Data
`(60) Provisional application No. 60/186,322, filed on Mar. 2,
`2000.
`
`(51)
`
`Int. Cl.
`G06Q 40100
`G06F 31048
`
`(2006.01)
`(2006.01)
`
`(52) U.S. Cl. .......................... 705/36 R; 705/35; 705/10;
`705/14; 715/814
`(58) Field of Classification Search ........................ None
`See application file for complete search history.
`
`(56)
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
`5,243,331 A
`5,297,031 A
`5,960,411 A
`6,115,698 A
`6,343,278 B1
`6,421,653 B1
`
`9/1993 McCausland et a!.
`3/1994 Gutterman et a!.
`9/1999 Hartman et a!.
`9/2000 Tuck et al.
`112002 Jain eta!.
`7/2002 May et al.
`
`eSpeed's Supplemental Invalidity Contentions, May 25,
`2007.
`eSpeed's Disclosure of Invalidity Contentions Pursuant to
`35 USC 282, May 25, 2007.
`Invalidity Contentions Re: TradePad Module (Letter Dated
`May 25, 2007).
`Supplemental Invalidity Contentions Pursuant to 35 U.S.C.
`282, Aug. 10, 2007.
`eSpeed's and Ecco's Answers to Plaintiff's Eighth Set of
`Interrogatories, Aug. 4, 2006.
`eSpeed and Ecco's Supplemental Answers to Plaintiffs
`First, Third, Seventh, Eighth, and Ninth Set of Interrogato(cid:173)
`ries, May 25, 2007.
`eSpeed' s Objections and Answers to Plaintiffs Third Set of
`Interrogatories to Defendant eSpeed, May 12, 2005.
`LIFFE Connect for Futures User Guide V4.50 Beta, Jan.
`1999, DX 384, G 025623-G 025626, DTX 384.
`
`(Continued)
`
`Primary Examiner-Jeanne M. Clark
`
`(57)
`
`ABSTRACT
`
`A method and system for reducing the time it takes for a
`trader to place a trade when electronically trading on an
`exchange, thus increasing the likelihood that the trader will
`have orders filled at desirable prices and quantities. The
`"Mercury" display and trading method of the present inven(cid:173)
`tion ensure fast and accurate execution of trades by display(cid:173)
`ing market depth on a vertical or horizontal plane, which
`fluctuates logically up or down, left or right across the plane
`as the market prices fluctuates. This allows the trader to trade
`quickly and efficiently.
`
`-
`SYCOM FGBL DEC99
`10:411:44 BidQ AskQ Pn: LTQ
`EfN
`99
`
`b--~ 104
`r--
`F=-
`720 ±
`IWTiH
`2::::d sor3H
`I ill" ..
`Ill·~
`!="" xi 10
`r- 17 _Lv
`(1,~.
`~ ~ 97
`v I NET REAL "'
`~ 30
`f.!!-lL
`~ 110
`101 g/
`t------'
`r--
`r--
`
`1009
`101 o---
`v
`101
`
`2 101
`101
`
`101 ~---
`
`1007
`
`101
`
`.....
`101 .....
`
`1008
`
`7/
`101
`101 v
`
`102 1..--
`
`24
`
`98
`
`97
`33
`115 96
`
`32
`ZT
`
`63
`45
`
`28
`20
`
`95
`94
`
`..
`
`92
`
`10
`
`1020
`
`91
`90
`
`89
`88
`
`87
`
`88
`85
`84
`
`83
`
`82
`
`81
`
`0
`
`1KTsH
`CLR
`
`CXL
`
`18
`
`23
`
`31
`
`125
`
`21
`
`1001
`
`1002
`
`1003 1004 11106 1008
`
`Page 1 of 8
`
`TRADING TECH EXHIBIT 2202
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`US 6, 772,132 Cl
`Page 2
`
`OTHER PUBLICATIONS
`
`LIFFE Connect for Futures User Guide V4.50, Feb. 1999,
`DX 593A, G 122900 G-122938, DTX 593A.
`"A System and Method for Conducting Security Transac(cid:173)
`tions Over a Computer Network", Mauro & Buist, Mar. 1,
`1999, DX 196, eS 066150-eS 066229, DTX 196.
`RCG's Presentation re WitCapital, Apr. 22, 2004, DX 208,
`RCG 000635-RCG 000663, DTX 208.
`Mauro, Certified U.S. Appl. No. 09/292,552, filed Mar. 15,
`1999, DX 209, eS 065994-eS 066149.
`Various declarations Re: U.S. Appl. No. 09/292,552, filed
`Nov. 3, 2003, DX 284, TT 099877-Tt 099907, DTX 284.
`Evenstreet Presentation prepared for National Discount Bro(cid:173)
`kers, 1999, DX 301, CM 006787-CM 006817, DTX 301.
`WIT DSM user interface instructions, Aug. 6, 1998, DX
`427, CM 006591--CM 006632, DTX 427.
`Presentation re WIT DSM user interface Trade4.ppt, Oct. 12,
`1998, DX 430, CM 008265--CM 008330, DTX 430.
`WIT DSM Presentation re Information display and decision
`variables, Dec. 20, 1998, DX 431, CM 004334-CM 004347,
`DTX 431.
`Evenstreet Presentation prepared for Flatiron Partners, 1999,
`DX 437, CM 007139-CM 007172, DTX 437.
`WIT Capital digital trading facility presentation to Goldman
`Sachs, DX 438, CM 004523-CM 004547, DTX 438.
`WIT Capital Digital trading facility presentation to Pain(cid:173)
`eWebber, Inc., DX 439, DTX 439.
`WIT Capital after hours trading system, Mauro, Mar. 19,
`1999, DX 440, CM 009028--CM 009059, DTX 440.
`WIT Capital Corporation digital trading facility presenta(cid:173)
`tion, Mar. 1999, DX 441, DTX 441.
`WIT Capital pdf operator manual for Digital trading facility,
`1999, DX 442, CM 006510--CM 006513, DTX 442.
`trading facility, DX 443, CM
`Overview re Digital
`006315-CM 006344, DTX 443.
`Photocopy of Disks containing exhibits A and B to declara(cid:173)
`tion ofW. Buist, PX366.
`SISS Functional specifications version 2.1, Feb. 16, 1988,
`DX 445, DTX 445.
`Overview re SPATS; the Electronic Broker, DX 446, DTX
`446.
`Status review specialist support system study NYSE, Apr.
`10, 1986, DX 447, DTX 447.
`Intex Trading Screen shots, Jan. 1, 2001, DX 10, eS
`0003542-eS 0003543, DTX 10.
`Sample screens of APT system, DX 150, DTX 150.
`Photo of trader w/ APT screen, DX 151, LIFFE
`00167-LIFFE 00168, DX 151.
`APT User Guide, Jan. 1994, DX 152, LIFFE 000262-LIFFE
`000363, DTX 152.
`LIFFE guide/pamphlet, DX 148, DTX 148.
`Release Notes-Market Trader V5.2a, Mar. 18, 1999, DX
`617, G 118137-G 118152, DTX 617.
`Midas Kapiti Delivery Note and Release Note-Market
`TraderV5.2b, Mar. 31, 1999, DX 619, G 096511-G 096527,
`DTX 619.
`Midas Kapiti Release Notes-Market Trade V5.2e, Apr. 12,
`1999, DX 620, G 096694-G 096711, DTX 620.
`Midas Kapiti Release Notes-Market TraderV5.2, DX 621,
`G 096712-G 096727, DTX 621, May 26, 1999.
`Midas Kapiti Release Notes-Market Trader V5.2e, DX
`622, G 096728-G 096754, DTX 622, Jun. 1, 1999.
`
`1999,
`
`Jan.
`
`1996,
`
`Midas Kapiti Delivery Note and Release Note-Market
`Trader V5.2e, DX 623, G 105641-G 105667, DTX 623,
`May 26, 1999.
`Drawing of 1997 TSE terminal by H. Kida, DX 624, DTX
`624.
`Directory of Software Solutions for LIFFE Connect, Feb.
`1999, DX 156, DTX 156.
`ScreenShots: Patsystem "Canned" Demo, Feb. 1997, DX
`120, PATS 00545-PATS 00559, DTX 120.
`PTS Client Version 2.1F, DX 119, PATS 00067-PATS
`00082, DTX 119.
`PTS trading application Version 1.1 Beta H.1, Mar. 31, 1998,
`DX 118, PATS 00560-PATS 00560, DTX 118.
`Directory of Software Solutions for LIFFE Connect, Issue 1,
`Oct. 1998, DX 155, DTX 155.
`Trading Technologies Trader System User Documentation,
`Apr. 1, 1998, Release 3.10, DX 3, TT 015867-TT 015955,
`DTX3.
`Aurora Chicago Board of Trade Brochure, 1990,
`ES0021230-ES0021241.
`Ecco Consulting Study Report MEFF Software Systems,
`Mar. 17,1999, ES0060578-ES0060591.
`Osaka Stock Exchange Manual (Japanese Document), Mar.
`1996 REFC00009773-REFC00009826.
`TIFFE Manual
`(Japanese Document),
`REFC00010861-REFC00011210.
`Final Detailed Design Document NYMEX Access, May 5,
`1992,eS0003127-eS0003541.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Release 2.7, Sep. 1998, DDX 163, DTX
`163,eS00059868-eS00059958.
`OM Click Trade User's Guide for Windows NT, Oct. 1998,
`eS00064671-eS00064773.
`Swiss Exchange SWC Exchange TS User Manual V2.1,
`Dec. 31, 1998.
`Globex Members Handbook, Jun. 1992, DX632, DTX632,
`eS006974-eS0069818.
`Globex User Guide, Jan. 1997, DX 663, DTX 663,
`eS0069819-eS0070081.
`Chicago Mercantile Exchange (CME) Globex Brochure,
`Mar. 30, 1989, DX634, DTX634, eS003958-eS0003981.
`The Complete Globex2 Handbook, May 1998, DX635,
`DTX635, CME-E0010679-0010891.
`The Complete Globex2 Handbook, Jul. 1998, DX637,
`DTX637, CME-E 014048-CME-E 014286.
`Minex Service Outline User Test/Orientation, Sep. 1992,
`eS0064647-eS0064670.
`Instructions
`for Use Version 2.2.8,
`ORC
`eS0064775-eS0032572.
`Interactive Brokers, "Trade Futures Online with Interactive
`Brokers", May 9, 2005, eS0032571-eS0032572.
`Nicholas Economides, "Electronic Call Market Trading",
`Journal
`of Portfolio Management,
`Feb.
`1995,
`eS0069585-eS0069610.
`Mauro, Kleia, Buist, Apr. 15, 1999, EM 061 020 474 File
`Wrapper.
`GL Win Trade Manual Version 4.50, Mar. 3, 1999,
`G0025683-G0025719.
`TradePad Instuctions (French), G0025748-G0025749.
`TradePad.vsd
`Document,
`Feb.
`9,
`1999,
`G011169-G0111670.
`GL Win et Logiciels complementaires (French), Oct. 1999,
`G0091212-G009486.
`
`Page 2 of 8
`
`TRADING TECH EXHIBIT 2202
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`Memo re: Dual Access Version 4.5 release, Mar. 21, 1999,
`G0022956-G0022959.
`CAC and Stoxx Futures on MatifNSC VF Launch: Mar. 15,
`1999, G0025669-G0025682.
`LIFFE Connect Futures Release Note 050399.doc, Mar. 3,
`1998, G0111402-G0111407.
`TradingPad.doc, Apr. 30, 1999, G0112117-G0112122.
`10,
`1999,
`TradingPadUserManual.doc,
`Aug.
`G0112123-G0112131.
`Futures CAC et Stoxx sur MatifNSG VF (French), Mar. 15,
`1999, G0118814-G0118828.
`GL Trade Presentation
`(French), Apr. 25,
`G0118989-G0119044.
`LIFFE Connect Futures Functional Technical Issues to
`Resolve, Apr. 12, 2007, G0119049-G0119050.
`Member Participation in the Futures Market, Apr. 12, 1999,
`G0119196-G0119197.
`Email from Patricia Gauthier to Sam Page, Jan. 25, 1999,
`G0119377-G0119380.
`LIFFE Connect ISV Circular No. 001.99, Jan. 8, 1999,
`G0119566-G0119568.
`LIFFE Connect ISV Circular No. 14.99, Mar. 2, 1999,
`G0119583-G0119590.
`LIFFE Connect ISV Circular No. 004.99, Jan. 15, 1999,
`G119615-G0119616.
`LIFFE Connect ISV Circular No. 001.99, Jan. 15, 1999,
`G0119617-G0119618.
`LIFFE Connect ISV Circular No. 008.98, Dec. 28, 1998,
`G0119631-G0119632.
`LIFFE Connect for Futures: Project Update 2, Meeting of
`Feb. 10, 1999, G0119698-G0119704.
`LIFFE Connect for Futures: Project Summary: Apr. 19,
`1999, G0119705-G0119717.
`Functional Enhancements for Lifee Connect for Futures
`Project, Apr. 12, 1999, G0119718-G0119724.
`Functional Enhancements for Lifee Connect for Futures
`Project, Apr. 12, 1999, G0119725-G0119745.
`Functional Enhancements for Lifee Connect for Futures
`Project, Mar. 3, 1999.
`Installation, Market Entry Test, and Technical Dress
`Rehearsal Summary, Feb. 23, 1999.
`GL Trade Checklist-Installation Requirements for Futures,
`Jan. 1999, G0119795-G0119798.
`Keyboard example, Feb. 3, 2006, G007308-G007310.
`GL Brochure, G0021652-21658.
`GL Cost and Services, 1998, G0108876.
`GL Win
`Summary
`(French),
`G0091 004-G0091 046.
`Globex brochure, DTX 17, 1998, eS0003958-eS0003981.
`Swiss Exchange SWX-TS User Manual, Dec. 31, 1998,
`DTX 2215, eS0032293-eS0032547.
`Screen No. 100---0rder Book & Order Entry 1 (Single
`View), eS06063 7 -eS060639.
`Globex User Guide, Jan. 1997, DDX 633, DTX 633,
`eS069819-eS070081.
`LIFFE
`APT
`User
`LIFFE000262-LIFFE000363.
`PTS trading application Version 1.1 Beta H.1, Mar. 31, 1998,
`DDX 118, DTX 118, PATS00560-PATS00560.
`X_Trader User Documentation Manual Release 3.10, Apr.
`1, 1998, TT0015867-15955.
`Trading Pad Manual, G0026560-26567.
`Quick Trade Document and Brochure, G021 027-21031.
`
`Jun.
`
`1998,
`
`Guide,
`
`Jan.
`
`1994,
`
`US 6, 772,132 Cl
`Page 3
`
`1999,
`
`2)
`
`(French Version),
`
`Jan. 5, 2000,
`
`(English Version),
`
`Jan. 5, 2000,
`
`Software Manual,
`
`"LIFFE Connect for Futures User Guide v4.51", Jun. 1999,
`G0025815-25822.
`GL Version 4.70
`G0026505-26533.
`GL Version 4.70
`G0020593-20621.
`GL Win and Related Software Manual, Sep. 11, 2000, 1)
`G0025251-25615.
`GL Win
`and Related
`G0025942-26267.
`GL Win and Related Software Manual, 3) G010239-10610.
`GL Win
`et Logiciels
`complementaires
`(French),
`G0009495-9874.
`"CAC and Stoxx Futures on MatifNSC VF", Mar. 13, 1999,
`G0025720-25733.
`"Introducing the Company: GL Trade" product offerings
`and slide presentation (to Reuters), G0026534-26559.
`Thomson Financial leaflet, Sep. 2003, G0022445-22450.
`LIFFE Connect for Futures leaflet, G0023885-23888.
`CAC And Stoxx Futures On MatifNSC FV---GLWin user
`Information Note, Mar. 15, 1999, G0026455-2646.
`TSE Japanese Document, pp. 4-15.
`TSE Japanese Document, pp. 6-15.
`Megumi Miyoshi,
`Japanese Patent Application No.
`2001-564025, Apr. 18, 2000.
`"Amazon.com Catapults Electronic Commerce to Next
`Level with Powerful New Features," Amazon.com Press
`Release, Sep. 23, 1997, DTX1034, Dezmelyk000012-13.
`Apple Advertisement, Scientific American, Sep. 1984, Sci(cid:173)
`entific American Inc. NY, NY Dezmelyk000014-33.
`Memo Re: Downloading the Terminal Program, Aug. 18,
`2005.
`"Specialist vs Saitori: Market-Making in New York and
`Tokyo", Richard Lindsay and Ulrike Schaede, DTX 1170,
`Jul.-Aug. 1992, Silverman000494-Silverman000506.
`"Building for Excellence", Minex Brochure, DTX 1153,
`Silverman000330--Silverman000334.
`Chicago Mercantile Exchange (CME) Brochure, DTX1163,
`Silverman000406-Silverman000407.
`Meff Renta Fija Manual, DTX 1165, Oct. 1997,
`Silverman00041 O--Silverman000473.
`O'Hara and Oldfield, "The Microeconomics of Market Mak(cid:173)
`ing", Journal of Financial and Quantitative Analysis, Dec.
`1986, DTX 1169 Silverman0004 78-Silverman000493.
`B. Weber, "Information Technology in the Major Interna(cid:173)
`tional Financial Markets", Apr. 7, 1993, DX 79.
`Terminal Use Manual-Windows NT Version, Tokyo Inter(cid:173)
`national Financial Futures Exchange
`(LIFFE), 1994,
`Silverman002552-Silverman002616, DTX 1226.
`USPTO Press Release, "Electronic Patent Application
`Records Replace Paper Files at USPTO", DTX 2285, Sep.
`19, 2007.
`Memorandum Opinion and Order Re: '132 and '304 Claim
`Construction [ 425], Oct. 31, 2006.
`Memorandum Opinion and Order Re: TT's Motion for
`Clarification [ 475], Feb. 21, 2007.
`Memorandum Opinion and Order Re: Non-Infringement
`[708], Jun. 20, 2007.
`Memorandum Opinion and Order Re: Motions for Recon(cid:173)
`sideration [875], Aug. 27, 2007.
`Memorandum Opinion and Order Re: "Single Action" Rul(cid:173)
`ing [963], Sep. 12, 2007.
`Memorandum Opinion and Order Re: Preliminary Injunc(cid:173)
`tion [83], Feb. 9, 2005.
`
`Page 3 of 8
`
`TRADING TECH EXHIBIT 2202
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`US 6, 772,132 Cl
`Page 4
`
`Memorandum Opinion and Order Re: eSpeed's Motion for
`Summary Judgment of Invalidity Denied [845], Aug. 21,
`2007.
`Memorandum Opinion and Order Re: TT's Motion to Pre(cid:173)
`clude Prior Sale Defense Denied [873], Aug. 27, 2007.
`Memorandum Opinion and Order Re: GL's Motion for
`Reconsideration Denied [994], Sep. 19, 2007.
`Memorandum Opinion and Order Re: Priority Date [769],
`Jul. 12, 2007.
`Memorandum Opinion and Order Re: Priority Date [1013],
`Sep. 25, 2007.
`Memorandum Opinion and Order Re: Prior Public Use
`[835], Aug. 16, 2007.
`Memorandum Opinion and Order Re: Defendant's Motion
`for Judgment as a Matter of Law on Indefiniteness [ 1141 ],
`Jan. 2, 2008.
`Notification of Docket Entry Re: Defendants eSpeed's
`Motion for Judgment as a Matter of Law on Invalidity is
`denied [1140], Jan. 3, 2008.
`Notification on Docket Entry Re: Defendant eSpeed's
`Motion for a New Trial is denied [1142], Jan. 3, 2008.
`Memorandum Opinion and Order Re: Defendant's Motion
`for Judgment as a Matter of Law on Willfulness [1144], Jan.
`3, 2008.
`Deposition testimony of Hiroyuki Kida dated May 17, 2007
`and May 18, 2007 with DDX 617-624, PDX 519-524 and
`PDX 531.
`Trial testimony of Hiroyuki Kida dated Sep. 28, 2007 and
`Oct. 1, 2007 with DTX 617.
`Deposition testimony of Atsushi Kawashima dated Nov. 21,
`2005, with DDX 178-185.
`Trial testimony of Atsushi Kawashima dated Sep. 26, 2007
`with DTX 183.
`Deposition testimony of Philip Carre dated Jun. 22, 2007,
`Sep. 6, 2007 and Sep. 13, 2007with DDX 384-385; 473;
`494; 527; 537-541; 592; 593A; 595-598; 605; 626;
`719-723; 728-732; PDX 897-898; 896.
`Deposition testimony of Michael Cartier dated May 9, 2007
`with DDX 587-588; DDX 592-593A and PDX 498-500.
`Deposition testimony of Cristina Dobson dated May 18,
`2007 with DDX 625-635; DDX 637; PDX 533 and PDX
`535.
`Deposition testimony of Nicholas Garrow dated Jun. 14,
`2007 with DDX 116 and DDX 592.
`Trial testimony of Nicholas Garrow (via expert witness)
`dated Oct. 2, 2007.
`Deposition testimony of Michael Glista dated Feb. 20, 2007
`with DDX 382-386.
`Trial testimony of Michael Glista dated Sep. 24-25, 2007
`with DTX 382-386; DTX 524; DTX 570; DTX 579; DTX
`592; DTX 3020; DTX 3050; DTX 3057; DTX 3110; PTX
`1993;2065;2092;2094.
`Position paper: On-line training and customer acquisition;
`WIT Capital DSM product launch and related schedule to E.
`Lang, DX 436, DTX 436, CM 006580--CM 006590, Feb. 22,
`1999.
`Declaration ofW. Buist, PX 365, DTX 1777, Apr. 26, 2006.
`Declaration of Walter Buist, Exhibit 17, Apr. 26, 2007; with
`Faxed Signature Page.
`Letter from J. Walaski to the EPO Re: Change of Address,
`Dec. 19, 2006.
`A. Klein, WallStreet.com-Fat Cat Investing at the Click of
`a Mouse, Chapt. 14 "Finding Gold in Tribeca", 1998;
`Exhibit 16.
`
`Opposition EP 1 319 211 B 1, Exhibit 1, Japanese Document
`(TSE), TSE647-980.
`Opposition TT, EP 1 319 211 B 1, Copy set 1, Annex One(cid:173)
`Grounds of Opposition, Jan. 19, 2006.
`Deposition Transcript of Atsushi Kawashima, Nov. 21,
`2005, Opposition EP 1 319 211 B1 Exhibit 3.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Sep. 1998, release 2.7, EP 1 319 211 B1
`Exhibit 5, eS0059868-eS0059958.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Sep. 1998, release 3.0, EP 1 319 211 B1
`Exhibit 6, eS0060055-eS0060145.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Dec. 1998, release 3.2, EP 1 319 211 B1
`Exhibit 7B, eS0060239-eS0060331.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Jan. 1999, release 3.3, EP 1 319 211 B1
`Exhibit 7C, eS0059959-eS0060054.
`GL Trade User Guide V4.51-LIFFE Connect for Futures,
`Jun. 1999, Opposition EP 1 319 211 B1 Exhibit 11.
`Memorandum Opinion and Order Re: Request for Prelimi(cid:173)
`nary Injunction [83], Feb. 9, 2005, Opposition EP 1 319 211
`B1 Exhibit 12.
`Fig.2 Substitute Sheet (Rule 26), Opposition EP 1 319 211
`B1 Exhibit 13A.
`U.S. Appl. No. 60/186,322, Opposition EP 1 319 211 B1
`Exhibit 13B.
`OM Click Trade User's Guide for Windows NT, Oct. 1998,
`Opposition EP 1 319 211 B1 Exhibit 14.
`Directory of Software Solutions for LIFFE Connect, Oct.
`1998, Opposition EP 1 319 211 B1 Exhibit SA.
`Directory of Software Solutions for LIFFE Connect, Feb.
`1999, Opposition EP 1 319 211 B1 Exhibit SB.
`Directory of Software Solutions for LIFFE Connect, Jun.
`1999, Opposition EP 1 319 211 B1 Exhibit SC.
`Japanese Document, TSE00647-981, DX 179, D1(1).
`System for Buying and Selling Futures and Options Transac(cid:173)
`tion Terminal Operational Guidlines, TSE Business Systems
`Dept, TSE00647-810, eS0622977-eS062366, D1(2).
`Futures/Options Trading System Guidlines for Operating the
`Trading Terminals, TSE Business Systems Dept,
`TSE00628-643, eS062278-eS062293, D1(3).
`Japanese Document, TSE00647-981, Dec. 1, 2006 (E4),
`with Translation.
`Japanese Document, TSE00609-627, Dec. 1, 2006 (E5),
`with Translation.
`"Next-Generation Futures Options Trading System", Par(cid:173)
`ticipants Seminar Materials, TSE Publication 1 (Japanese),
`Sep. 1997, TSE609-TSE627, REFC06679-6697.
`"Guidlines for Operating the Trading Terminals", TSE Pub(cid:173)
`lication 2 (Japanese), TSE628-643, REFC06698-6713.
`"TSE 50th Anniversary Book of Materials", TSE Publica(cid:173)
`tion 3 (Japanese), Apr. 1989-Mar. 1999, TSE644-646,
`REFC06714-6719.
`Defendant GL Trade Americas,
`Inc's Supplemental
`Responses and Objections to Interrogatory Nos. 5, 17, and
`18, Jul. 24, 2006.
`User Guide V4.51 LIFFE Connect for Futures by GL Trade,
`Jun. 1999, DX 385, G 025751-G 025806, DTX 385.
`CAC and Stoxx Futures on Matif NSC VF Launch: Mar. 15,
`1999, DX 537, G 107561-G 107574, DTX 537.
`GL Win Version 4.50, Mar. 3, 1999, DX 538, G 107459-G
`107480, DTX 538.
`
`Page 4 of 8
`
`TRADING TECH EXHIBIT 2202
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`US 6, 772,132 Cl
`Page 5
`
`Trading Pad User Manual, Aug. 10, 1999, DX 539, G
`112123-G 112131, DTX 539.
`Email from Wattier to M. Cartier attaching MatifVF: V 4.50
`manual, Mar. 30, 1998, DX 592, MC000046-MC000116,
`DTX 592.
`LIFFE Connect for Futures User Guide V4.50, Feb. 1999,
`DX 593, G 122900-G 122938, DX 593.
`User Guide V4.50 LIFFE Connect for Futures by GL Trade,
`Mar. 1999, DX 598, G 123439-G 123477, DTX 598.
`User Guide V4.60 LIFFE Connect for Futures by GL Trade,
`Jun. 1999, DX 605, G 123548-G 123603, DTX 605.
`Matif VF: V4.50 Manual, Mar. 30, 1999, DX 612, MC
`000047-MC 000116, DTX 612.
`CAC and Stoxx Futures on Matiff NSC VF-GL Win User
`Info Note, Mar. 15, 1999, DX 626, CME-E11252-11265,
`DTX 626.
`Utility Patent Application Transmittal Re: Computer Trad(cid:173)
`ing System, Method and Interface, Apr. 15, 1999, Mauro,
`Kleia, and Buist, PX368.
`Declaration of W. Buist re: WIT DSM System, Apr. 26,
`2006, PX 365, DTX 1777.
`Market Trader-Nikkel225 & Nikkel300 Index options and
`Index futures trading users guide, Mar. 20, 1998, DX 618,
`G100444-G100462, DTX 618.
`Directory of Software Solutions for LIFFE Connect, Issue 3,
`Jun. 10, 1999, DX 157, DTX 157.
`TSE Manual (Japanese Document), Nov. 15, 2005,DX179,
`TSE647-995, w/certified
`translation
`eS62258-62366
`[TSE609-647,694-711, 714-721,735-736,749-756,
`7 59-7 60,779-782,784-81 0,982-995].
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Release 3.0, Sep. 1998, DDX 159, DTX
`159,eS00060055-eS00060145.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Release 3.2, Dec. 1998, DDX 161, DTX
`161,eS00060239-eS00060331.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Release 3.3, Jan. 1999, DDX 162, DTX
`162,eS00059959-eS00060054.
`GL Trading Pad Manual, G0020819-G0020826.
`Trading
`pad.doc
`Document,
`Jan.
`26,
`G0111671-G0111672.
`Directory of Software Solutions for LIFFE Connect, Feb.
`1999, G009006-G009042.
`GL Win et Logiciels complementaires (French), Jul. 1999,
`G009875-G010238.
`Tradepad.txt (French), Mar. 8, 2000, G0025616-G0025618.
`LIFFE Connect for Futures User Guide v4.50 Beta, Jan.
`1999, G0025623-G0025646.
`GL Enhancements Software Version 4.11f, Oct. 29, 1998,
`G0060853-G0060854.
`GL
`Enhancements
`G0101682-G0101688.
`GL Win Version 4.51, G0118856-G0118865.
`LIFFE Connect for Equity Options User Guide v4.30, Nov.
`1998, G0119052-G0119086.
`Screenshot ofGL TradePad, G0119660.
`LIFFE Connect for Futures Schedule for Project Deliver(cid:173)
`abies, Feb. 4, 1999, G0119681-G0119682.
`LIFFE Connect for Futures-Project Update #1, Meeting of
`Jan. 11, 1999, G0119691-G0119697.
`
`Update,
`
`Jan.
`
`27,
`
`1999,
`
`1999,
`
`Cahier de charges.doc, Feb. 9, 1999, G0111752-G0111758.
`LIFFE Connect for Futures User Guide v4.5, Mar. 1999,
`G0025751-25806.
`GL Win Version 4.50, Mar. 3, 1999, G0025647-25668.
`on QuickTrade,
`Internal
`Product News
`doc
`G0020468-20471.
`GL Product Leaflet Re: Mosaic, G0022529-22530.
`LIFFE Connect for Futures leaflet, G0021609-21614.
`"Guidlines for Operating the Trading Terminals", TSE Pub(cid:173)
`lication 2, 1998, TSE628-643, REFC06698-6713, with two
`translations.
`"TSE 50th Anniversary Book of Materials", TSE Publica(cid:173)
`tion
`3, Apr.
`1989-Mar.
`1999,
`TSE644-646,
`REFC06714-6719, with two translations.
`"Next-Generation Futures Options Trading System", Par(cid:173)
`ticipants Seminar Materials, TSE Publication 1, Sep. 1997,
`TSE609-TSE627, REFC06679-6697, with two transla(cid:173)
`tions.
`Deposition testimony of Laurent Havard dated Apr. 24-26,
`2007, May 12, 2007, Jun. 21, 2007 and Sep. 5, 2007 with
`DDX 506; DDX 508; DDX 517; DDX 539; DDX 551-568;
`DDX 570-573; DDX 575; DDX 603; PDX 462; PDX
`464-483; PDX 767-769; PDX 771-774; PDX 875-877;
`PDX 882-888 and PDX 893.
`Trial Testimony of Laurent Havard dated Sep. 21, 2007 with
`DTX 384; DTX 520; DTX 561-62; DTX 570; DTX 573;
`DTX 575; DTX 593; DTX 750-52; DTX 3011; DTX
`3017-18; DTX 3050; PTX 575; PTX 2064; PTX 2074; PTX
`2077; PTX 2079.
`Deposition testimony of Jean Cedric Jollant dated Apr. 26,
`2007 and Jun. 13, 2007 with DDX 384; DDX 517; DDX
`520; DDX 551-568; DDX 575-577; PDX 465-483.
`Trial testimony of Jean Cedric Jollant dated Sep. 20, 2007
`with DTX 157; DTX 473; DTX 719; DTX 551-64; DTX
`598; DTX 722; DTX 1903; DTX 3009-10; DTX 3014; DTX
`3016-18; DTX 3020; DTX 3023; DTX 3025; PTX 166;
`PTX 520; PTX 526; PTX 539; PTX 573; PTX 575; PTX
`579; PTX 2065.
`Deposition testimony of Marc Lorin dated Sep. 5, 2007 with
`DDX 385; DDX 721-722; DDX 730.
`Deposition testimony of Christopher Malo dated May 23,
`2007 with DDX 524.
`Deposition testimony of Fred Mastro dated May 21, 2007
`with DDX 638; PDX 538; PDX 540--543.
`Trial testimony of Fred Mastro dated Sep. 25, 2007 with
`DTX 592.
`Deposition testimony of William McHorris dated Apr. 10,
`2007 with PDX 416-417.
`Deposition testimony of Josephine Sheng dated Jun. 26,
`2007 with DDX 520; DDX 522; DDX 536; DDX 575; PDX
`493; PDX 683-683a, PDX 775.
`Deposition testimony of Bruno Spada dated Apr. 30, 2007
`and May 2, 2007 with DDX 384-385; DDX 519-21; DDX
`537-38; DDX 579-580; DDX 522; DDX 538; PDX
`493-495; PDX 519-522.
`Trial testimony of Bruno Spada dated Sep. 24, 2007 with
`DTX 306; DTX 384; DTX 518-522; DTX 524; DTX 575;
`DTX 579-580; DTX 593; DTX 626; DTX 628; DTX 646;
`DTX 1899 DTX 2086; DTX 3020-3021; DTX 3058-3059;
`DTX 3061; DTX 3085; PTX 737; PTX 840; PTX 2083;
`PTX 2087; PTX 2099; PTX 2101.
`
`Page 5 of 8
`
`TRADING TECH EXHIBIT 2202
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`US 6, 772,132 Cl
`Page 6
`
`Deposition testimony of Marcel Tchitchiama dated May 10,
`2007-May 11, 2007 with DDX 156-157; DDX 168; DDX
`384-85; DDX 538; DDX 592-93A; DDX 595-98; DDX
`602-06; DDX 608-11, PDX 494; PDX 502; PDX 506; PDX
`612.
`Deposition testimony of Neil Treloar dated Jun. 19, 2007
`with DDX 384; DDX 539-39A; DDX 724; DDX 726; PDX
`492; PDX 750--752.
`Trial testimony ofNeil Treloar dated Sep. 21, 2007 and Sep.
`24, 2007 with DTX 2040--2042.
`Trial testimony of Gerard Varjacques dated Sep. 28, 2007
`with PTX 509-510 and PTX 513.
`Deposition testimony of Amy Watson dated Jun. 12, 2007
`with DDX 626A; DDX 700 and PDX 636.
`Deposition testimony of Barbara Wattiez dated Jun. 16, 2007
`with DDX 719-723.
`Trial testimony of Barbara Wattiez dated Sep. 28, 2007 with
`DTX 592-593A; DTX 597-598; DTX 718-719; DTX 722.
`Deposition testimony of Christopher Buist dated Jun. 22,
`2006 with PDX 358-364 and DDX 283-284.
`Deposition testimony of Walter Buist dated Jun. 23, 2006
`withDDX 315; PDX310-315; PDX365 andPDX 368-370.
`Digital trading facility weekly operations meeting outline,
`DX 444, DTX444, CM006661-CM006661, May 10, 1999.
`Chart re DSM QA Test Plain-project plan in progress, DX
`432, DTX 432, Nov. 4, 1998.
`User Interface design specification for WIT capital digital
`stock market, DX 433, DTX 433 CM 008441-CM 008478,
`Jan. 18, 1999.
`Updated negotiations design to E. Lang from C. Mauro for
`review and approval prior to patent application, DX 434, CM
`008410--CM 008414, DTX 434, Mar. 19 1999.
`Notes re final additions/revisions, DX 435, CM 007949-CM
`007955, DTX 435, Apr. 2, 1999.
`Meeting outline, DX 428, CM 00750--CM 007501, DTX
`428, Sep. 11, 1998.
`Presentation re WIT Capital Digital stock martket Phase 1
`usability and customer response testing: Preliminary report
`of findings, DX 429, CM007446--CM 007466, May 1, 2006.
`WIT Capital limit order book to L. Forrest from C. Mauro,
`DX 425, CM007382-CM007411, DTX 425,Apr. 20, 1998.
`User Interface Design for display options design, DX 426,
`CM 000249-CM 000287, DTX 426, Jul. 8, 1998.
`Letter from EPO to TT Re: Five Recently Filed European
`Patent Oppositions, Feb. 21, 2006.
`Notice of Opposition to a European Patent EP 1319211 B1,
`Anitra Medienprojekte GmbH, Jan. 13, 2006.
`Notice of Opposition to a European Patent by Deutsche
`Borse AG, Jan. 12, 2006.
`Notice of Opposition to a European Patent by EccoWare
`Ltd., Jan. 13, 2006.
`Notice of Opposition to a European Patent by Rosenthal
`Collins Group LLC, Jan. 12, 2006.
`Notice of Opposition to a European Patent by Tick-It
`GmBh, Jan. 13, 2006.
`A. Klein, WallStreet.com-Fat Cat Investing at the Click of
`a Mouse, Chapt. 14-16, 18, 23, 1998; Exhibit 16 (Cont'd).
`WIT Digital Stock Market, User Interface Rev. 9, Exhibit
`15.
`Opposition Trading Technologies, Inc. Application No.
`01920183.9 EP 1319211B1, Exhibit 4 (Japanese and
`English Versions), Sep. 1997.
`
`System for Buying and Selling Futures and Options Transac(cid:173)
`tion Terminal Operational Guidlines, TSE Business Systems
`Dept., TSE647-995, eS062297-eS062380.
`Letter from EPO to TT Re: Further European Patent Opposi(cid:173)
`tion, Feb. 23, 2006.
`Letter from EPO to TT Re: Five Recently Filed European
`Patent Oppositions, Feb. 21, 2006.
`Letter from EPO to TT Enclosing European Patent Opposi(cid:173)
`tions, Jan. 25, 2006.
`The Application Program Interface (API) Reference Manual
`for LIFFE Connect, Sep. 1998, release 3.1, EP 1 319 211 B1
`Exhibit 7 A, eS0060146-eS0060237.
`Deposition Transcript of Paul MacGregor, Nov. 1, 2005,
`Opposition EP 1 319 211 B1 Exhibit 9A.
`APT Trading Procedures (ATOM Version) ofLIFFE, Apr. 3,
`2001, Opposition EP 1 319 211 B1 Exhibit 9B.
`LIFFE APT User Guide, Jan. 1994, Opposition EP 1 319
`211 B1 Exhibit 9C, LIFFE000262-LIFFE000363.
`APT plus Trading Procedures, Dec. 28, 1995, Opposition EP
`1 319 211 B1 Exhibit 9D.
`IRIS Investment Support Systems Window Ad, Opposition
`EP 1 319 211 B1 Exhibit 10.
`LIFFE's New Electronic Trading Platform for Futures,
`LIFFE 202-261, Opposition EP 1 319 211 B1 Exhibit 8D.
`TIFFE Internet Article, "New On-Screen Trading Termi(cid:173)
`nals", E2.
`ORC Instructions for Use, Version 2.2.8., 1999.
`GL Trade Users Guide V4.51, LIFFE Connect for Futures,
`Jun. 1999, D2.
`Securities Industries News, "TT Upgrades Software Plat(cid:173)
`form", Aug. 28, 2000 (D6).
`Letter to EPO from Karl Bamfather Enclosing Notice of
`Opposition (form 2300.1) and Grounds of Opposition
`(Annex 1), Jan. 12, 2006.
`Dow Jones & Reuters Factiva, "Firms Rush to Make LIFFE
`Connect Decision", Dec. 4, 1998, E6.
`Dow Jones & Reuters Factiva, "Date Broadcasting Partners
`with All tech Investment to Provide Customers with Online
`Trading", Feb. 25, 1999, E8.
`Trading Pad Summary Document (E2).
`Trading Pad Document (E3).
`TT X-Trader Brochure, Dec. 1, 2006 (E7).
`MINEX Service Outline User Test/Orientation, Sep. 1992
`(E9).
`Letter to J. Walanski from EPO Re: Payment, Apr. 20, 2005.
`Letter to J. Walanski from EPO Re: Decision to Grant TT
`Patent, Mar. 3, 2005.
`German Document from Tick-IT GmbH Filing New Euro(cid:173)
`pean Opposition, Jan. 14, 2006.
`Faxed copy of German Document from Tick-IT GmbH Fil(cid:173)
`ing New European Opposition, Jan. 13, 2006.
`AnnexA to TT's Reply Brief.
`Annex B to TT's Reply Brief.
`Information Offer Form for Japanese Patent Application No.
`2001-564025, Apr. 18, 2005 (Japanese).
`Memo Re: Futures/Options Trading System and Japanese
`Patent Application No. 2001-564025 (Japanese), Aug. 18,
`2005.
`Callouts from TSE Publication 1 including reference numer(cid:173)
`als used in English translation (Japanese, full translation of
`Publication 1 included supra).
`Callouts from TSE Publication 2 including reference numer(cid:173)
`als used in English translation (Japanese, full translation of
`Publication 2 included supra).
`
`Page 6 of 8
`
`TRADING TECH EXHIBIT 2202
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`US 6, 772,132 Cl
`Page 7
`
`Notice of Offer Form (Japanese and Enlgish), Jun. 3, 2005.
`"Orientation Materials for Participants: New Future Options
`Trading System," Sep. 1997, Operation System Develop(cid:173)
`ment Section, Tokyo Stock Exchange (in Japanese with
`accompanying English translation). Denoted by Bates Nos.
`TSE0000000609-TSE0000000627, 22 pages
`(English
`translation).
`
`"Futures and Options Trading System: Transaction Terminal
`Operation Procedures," Aug. 1998, Operation System
`Development Section, Tokyo Stock Exchange (in Japanese
`with accompanying English translation). Denoted by