1111111111111111111111111111111111111111111111111111111111111
`US006766304Cl
`c12) EX PARTE REEXAMINATION CERTIFICATE (6739th)
`United States Patent
`US 6,766,304 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
`
`(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)
`
`6,343,278 B1
`6,421,653 B1
`2003/0097325 A1
`
`112002 Jain eta!.
`7/2002 May
`5/2003 Friesen et al.
`
`FOREIGN PATENT DOCUMENTS
`
`EP
`wo
`wo
`wo
`
`1319211 B1
`wo 91/14231
`W0/99/19821
`wo 99/53424
`
`212001
`9/1991
`4/1999
`4/1999
`
`OTHER PUBLICATIONS
`
`Reexamination Request:
`No. 90/008,577, May 25, 2007
`
`Reexamination Certificate for:
`6,766,304
`Patent No.:
`Jul. 20, 2004
`Issued:
`09/894,637
`Appl. No.:
`Jun. 27, 2001
`Filed:
`
`Certificate of Correction issued Nov. 16, 2004.
`
`Related U.S. Application Data
`
`(62) Division of application No. 09/590,692, filed on Jun. 9,
`2000, now Pat. No. 6,772,132.
`(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; 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
`
`9/1993 McCausland eta!.
`3/1994 Gutterman et a!.
`9/1999 Hartman eta!.
`9/2000 Tuck et al.
`
`Inc's Supplemental
`Defendant GL Trade Americas,
`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.
`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, DTX 593.
`
`(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.
`
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`~ :@ 18
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`97
`ro ~
`~ NETO
`30
`17 NEi'iiEAL 43
`=::::::::: ~ 110
`------
`
`Ell:llllll
`SYCOM FGBL DEC99
`10:48:44 Bk10 AskQ Pre LTQ
`E/W
`99
`104
`
`24
`
`115
`
`32
`?:l
`
`63
`
`45
`
`26
`20
`
`98
`
`97
`96
`
`95
`94
`
`93
`
`92
`
`91
`90
`89
`88
`
`87
`
`88
`
`65
`84
`83
`
`62
`
`61
`
`10
`
`1020
`
`1009
`101 o...-
`1...-
`101
`
`
`2 101
`or
`101
`101 4~
`
`7
`100
`
`5...-
`101
`
`100 6
`
`7...-
`101
`101 6...-
`
`101 9...-
`
`102 1...-
`
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`
`23
`
`31
`
`125
`
`21
`
`1001
`
`1002
`
`1003 1004 10051006
`
`Page 1 of 5
`
`TRADING TECH EXHIBIT 2203
`IBG et al. v. TRADING TECH. - CBM2016-00054
`
`

`
`US 6, 766,304 Cl
`Page 2
`
`OTHER PUBLICATIONS
`
`GL Product Leaflet Re: Mosaic, G0022529-22530.
`LIFFE Connect for Futures leaflet, G0021609-21614.
`"Guidelines 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 McHarris 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.
`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.
`
`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, PX 368.
`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.
`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.
`Internal
`Product News
`doc
`on QuickTrade,
`G0020468-20471.
`
`Update,
`
`1999,
`
`1999,
`
`Jan.
`
`27,
`
`Page 2 of 5
`
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`
`

`
`US 6, 766,304 Cl
`Page 3
`
`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
`with DX 315; PDX 310-315; PDX 365 and PDX 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, Jan. 18, 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
`Oppositon (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 Applicaton 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).
`Notification of Offer Form (Japanese and English) , Jun. 3,
`2005.
`
`Page 3 of 5
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`
`

`
`US 6, 766,304 Cl
`Page 4
`
`"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 Bates
`Nos. TSE0000000628-TSE0000000643, 20 pages (English
`translation).
`
`Page 4 of 5
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`

`
`US 6,766,304 Cl
`
`1
`EX PARTE
`REEXAMINATION CERTIFICATE
`ISSUED UNDER 35 U.S. C. 307
`
`NO AMENDMENTS HAVE BEEN MADE TO
`THE PATENT
`
`2
`AS A RESULT OF REEXAMINATION, IT HAS BEEN
`DETERMINED THAT:
`
`The patentability of claims 1-40 is confirmed.
`
`* * * * *
`
`Page 5 of 5
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`TRADING TECH EXHIBIT 2203
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