throbber
Paper No.
`Filed: January 20, 2016
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`IBG LLC, INTERACTIVE BROKERS LLC, TRADESTATION GROUP,
`INC., and TRADESTATION SECURITIES, INC.
`
`Petitioners,
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner.
`
`
`
`
`
`Case CBM2016-00054
`U.S. Patent 7,693,768
`
`
`
`PATENT OWNER’S EXHIBIT LIST
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`

`
`
`
`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 IBG, LLC, Interactive Brokers LLC,
`
`TradeStation Group, Inc., and TradeStation Securities, Inc. Exhibit 2001 - Exhibit
`
`2033; Exhibit 2035 - Exhibit 2041; Exhibit 2043 - Exhibit 2046; Exhibit 2048;
`
`Exhibit 2050 - Exhibit 2055; Exhibit 2057 - Exhibit 2120; Exhibit 2122 - Exhibit
`
`2125; Exhibit 2127 - Exhibit 2142; Exhibit 2145 - Exhibit 2149; Exhibit 2152 -
`
`Exhibit 2153; Exhibit 2155 - Exhibit 2158; Exhibit 2162; Exhibit 2164; Exhibit
`
`2167; Exhibit 2179 –Exhibit 2200; Exhibit 2205; Exhibit 2299 –Exhibit 2402;
`
`Exhibit 2407 - Exhibit 2500; Exhibit 2505; Exhibit 2519; Exhibit 2523; and
`
`Exhibit 2528 are reserved for later use. Confidential Exhibits 2169, 2172, 2224,
`
`2225, 2232, 2247, 2270, 2286, 2294, 2295, 2143, 2144, 2154, 2403, 2404, 2406,
`
`2501-2504, 2506-2518, 2520-2522, 2524-2530 were filed on PRPS as “Parties and
`
`Board Only” pursuant to the parties’ agreement under the default Protective Order.
`
`
`
`Filed Exhibits Description
`
`Reserved
`
`Trading Techs. Int’l, Inc. v. eSpeed, Inc., Case No. 1:04-CV-
`05312 (N.D. Ill.), Jury Verdict Form (Oct. 10, 2007)
`Reserved
`
`Decision Denying Request for Ex Parte Reexamination
`90/011,250 (July 15, 2011)
`Reserved
`
`
`
`1
`
`
`
`Exhibit 2001 -
`Exhibit 2033
`Exhibit 2034
`
`Exhibit 2035 -
`Exhibit 2041
`Exhibit 2042
`
`Exhibit 2043 -
`Exhibit 2046
`
`

`
`
`
`Exhibit 2047
`
`Exhibit 2048
`
`Corrected Request for Ex Parte Reexamination 90/008,576 (May
`25, 2007)
`Reserved
`
`Exhibit 2049
`
`Request for Reexamination 90/011,250 (Sept. 22, 2010)
`
`Exhibit 2050 -
`Exhibit 2055
`
`Exhibit 2056
`Exhibit 2057 -
`Exhibit 2120
`Exhibit 2121
`
`Exhibit 2122 -
`Exhibit 2125
`Exhibit 2126
`Exhibit 2127 -
`Exhibit 2142
`Exhibit 2143
`Exhibit 2144
`Exhibit 2145 -
`Exhibit 2149
`
`Exhibit 2152 -
`Exhibit 2153
`Exhibit 2154
`
`Exhibit 2155 -
`Exhibit 2158
`
`Exhibit 2159
`
`Exhibit 2160
`
`Exhibit 2161
`
`Exhibit 2162
`Exhibit 2163
`
`Reserved
`
`Japanese Patent 2004-504652
`Reserved
`
`U.S. Patent Classification System – Classification Definitions –
`Class 705
`Reserved
`
`Senate Congressional Record, S5402-S5443 (Sept. 8, 2011)
`Reserved
`
`CONFIDENTIAL - TS0028765
`CONFIDENTIAL - TS0107054
`Reserved
`
`Reserved
`
`CONFIDENTIAL - Video Deposition Transcript of Milan Galik,
`dated June 13, 2016 in Trading Technologies International, Inc. v.
`BGC Parnters, Inc., Case No. 1:10-cv-715 (Consolidated) (N.D.
`Ill.).
`Reserved
`
`TSE-filed opposition document to Japanese Patent Application
`No. 2001-564025 (TSE0000000982-995)
`
`Certified Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`Certification of Translation of TSE-filed opposition document to
`Japanese Patent Application No. 2001-564025 (TSE0000000982-
`995)
`Reserved
`Deposition Transcript of Atushi Kawashima, dated June 17, 2016
`
`2
`
`

`
`
`
`Exhibit 2164
`Exhibit 2165
`
`Exhibit 2166
`Exhibit 2167
`Exhibit 2168
`Exhibit 2169
`
`Exhibit 2170
`
`Exhibit 2171
`Exhibit 2172
`Exhibit 2173
`Exhibit 2174
`Exhibit 2175
`
`Exhibit 2176
`
`Exhibit 2177
`
`Reserved
`Deposition Transcript of Kendyl A. Roman, dated May 3, 2016
`
`Deposition Transcript of Kendyl A. Roman, dated May 5, 2016
`Reserved
`Declaration of Eric Gould-Bear, 1/18/2017
`CONFIDENTIAL - Declaration of Christopher Thomas,
`1/19/2017
`Declaration of Michael Burns, 1/18/2017
`
`Declaration of Timothy Geannopulos, 1/18/2017
`CONFIDENTIAL - Declaration of Jay Knobloch, 1/17/2017
`Declaration of Robbie McDonnell, 1/19/2017
`Declaration of Dan Olsen, 1/18/2017
`Exhibit TSE1 from Kawashima 2005 Deposition
`(TSE0000000996-1016)
`
`Certified Translation of Exhibit TSE1 from Kawashima 2005
`Deposition (TSE0000000996-1016)
`Certification of Translation of Exhibit TSE1 from Kawashima
`2005 Deposition (TSE0000000996-1016)
`Declaration of Harold Abilock, 1/19/2017
`Reserved
`
`Exhibit 2178
`Exhibit 2179 –
`Exhibit 2200
`Christopher Thomas CV
`Exhibit 2201
`Reexam Certificate for U.S. Patent No. 6,772,132
`Exhibit 2202
`Reexam Certificate for U.S. Patent No. 6,766,304
`Exhibit 2203
`Exhibit 2204 Microsoft DNA Case Study
`Exhibit 2205
`Reserved
`Exhibit 2206
`Excerpts from Interactive Brokers Group, Inc. Form 10-K
`Statement IBG_00000412-421
`Excerpts from TradeStation Group, Inc. Form 10-K Statement
`TS0005177-88
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Expert Report of David Silverman
`Globex User Guide June 1995 (get excerpt -cover and p. 61)
`
`Exhibit 2207
`
`Exhibit 2208
`
`Exhibit 2209
`
`Exhibit 2210
`
`Exhibit 2211
`
`Exhibit 2212
`
`Declaration of Daniel Durkin TTX00020829-00020830
`(05/28/2004)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Trial Transcript - Brumfield Trial Testimony
`Animation
`
`3
`
`

`
`
`
`Exhibit 2213
`Exhibit 2214
`Exhibit 2215
`Exhibit 2216
`
`Exhibit 2217
`
`Exhibit 2218
`
`Exhibit 2219
`
`Exhibit 2220
`
`Exhibit 2221
`
`Exhibit 2222
`
`Exhibit 2223
`Exhibit 2224
`
`Exhibit 2225
`
`Exhibit 2226
`
`Exhibit 2227
`
`Exhibit 2228
`
`Exhibit 2229
`
`Exhibit 2230
`
`Exhibit 2231
`Exhibit 2232
`
`Exhibit 2233
`
`Brumfield Sketch - eSpeed_PTX0321
`Animation
`Brumfield Trading Results - eSpeed_PTX0396
`Declaration of David Martin TTX00061557- 00061558
`(08/13/2004)
`Brumfield Articles, CQG014380172-177 and CQG014380206-
`209
`Declaration of James Zellinger, TTX00061410- 00061412
`(08/31/2004)
`Declaration of Ray Cahnman, TTX00061529- 00061530
`(07/23/2004)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case
`No. 04-cv-5312, Trial Transcript - David Feltes Trial Testimony
`Declaration of Charles McElveen, TTX00061559-00061560
`(05/18/2004)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Trial Transcript - Tim Geannopulos Trial Testimony
`
`Trader Declaration Compilation
`CONFIDENTIAL - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from David Martin
`Deposition (06/08/2006)
`CONFIDENTIAL - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from Charles
`McElveen Deposition (01/17/2006)
`Steidlmayer, J. Peter, Steidlmayer on Markets
`Trading with Market Profile, 2ed (2003) - PTX0814
`Declaration of Scott Johnston TTX00061397- 00061398
`(09/24/2004)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from Scott Johnston Deposition (06/27/2006)
`
`Declaration of Tom Grisafi TTX00061542-00061543
`(07/31/2004)
`Collins, Daniel, What is Behind your Front-End?, Smart Trading
`2001 - PTX0620
`eSpeed_PTX0782
`CONFIDENTIAL - Trading Techs. Int’l. Inc., v.eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Elliot Lapan Deposition
`(06/04/2007)
`U.S. Patent No. 7,693,768 Claim Chart , with Exhibits 1-6
`
`4
`
`

`
`
`
`Exhibit 2234
`Exhibit 2235
`Exhibit 2236
`Exhibit 2237
`Exhibit 2238
`
`Exhibit 2239
`
`Exhibit 2240
`Exhibit 2241
`Exhibit 2242
`Exhibit 2243
`Exhibit 2244
`Exhibit 2245
`Exhibit 2246
`Exhibit 2247
`
`Exhibit 2248
`Exhibit 2249
`Exhibit 2250
`Exhibit 2251
`
`Exhibit 2252
`Exhibit 2253
`Exhibit 2254
`Exhibit 2255
`Exhibit 2256
`Exhibit 2257
`Exhibit 2258
`Exhibit 2259
`Exhibit 2260
`Exhibit 2261
`Exhibit 2262
`Exhibit 2263
`Exhibit 2264
`Exhibit 2265
`Exhibit 2266
`Exhibit 2267
`Exhibit 2268
`
`Screenshot - Market Depth Trader Window
`Screenshot - Placing Non-Automated Futures Trades
`Screenshot - About the Matrix Window
`TTX03586066-70
`Screenshot - TradeStation® Securities MATRIX
`
`Declaration of Dieter Marlovics
`TTX00061553-00061554 (08/09/2004)
`eSpeed_PTX0038
`eSpeed_PTX0078
`eSpeed_PTX0123
`eSpeed_PTX0279
`eSpeed_PTX0281
`eSpeed PTX0286
`eSpeed_PTX0294
`CONFIDENTIAL - Trading Techs. Int’l. Inc., v.
`eSpeed, Inc., Case No. 04-cv-5312, Excerpts from Raymond
`Deux Deposition (11/03/2006)
`eSpeed_PTX2064
`eSpeed_PTX2077
`eSpeed_PTX0438
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Trial Transcript - Amanda Lewis Trial Testimony
`eSpeed_PDX0215
`eSpeed_PTX1366
`eSpeed_PTX0080
`eSpeed_PTX1367
`eSpeed_PTX0081
`eSpeed_PTX1356
`eSpeed_PTX0110
`eSpeed_PTX1360
`eSpeed_PTX0448
`eSpeed PTX1357
`eSpeed_PTX0079
`eSpeed_PTX1358
`eSpeed_PTX1359
`eSpeed_PTX1361
`eSpeed_PTX1362
`eSpeed_PTX1363
`eSpeed_PTX1364
`
`
`
`
`
`5
`
`

`
`
`
`Exhibit 2269
`Exhibit 2270
`Exhibit 2271
`Exhibit 2272
`Exhibit 2273
`Exhibit 2274
`Exhibit 2275
`
`Exhibit 2276
`Exhibit 2277
`Exhibit 2278
`
`Exhibit 2279
`
`Exhibit 2280
`Exhibit 2281
`Exhibit 2282
`
`Exhibit 2283
`Exhibit 2284
`Exhibit 2285
`Exhibit 2286
`
`Exhibit 2287
`
`Exhibit 2288
`
`Exhibit 2289
`
`Exhibit 2290
`Exhibit 2291
`Exhibit 2292
`
`Exhibit 2293
`
`Exhibit 2294
`
`eSpeed_PTX1365
`CONFIDENTIAL - eSpeed_PTX0036
`eSpeed_PTX0440
`eSpeed_PTX0441
`eSpeed_PTX1371
`eSpeed_PTX1369
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from David Feltes (01/24/ 2007)
`eSpeed_PTX1370
`CQG_PTX0600
`Trading Techs. Int’l. Inc., v. CQG, Inc., et.al., Case No. 05-cv-
`4811, Jury Verdict (03/18/2015)
`Directory of Software Solutions for LIFFE Connect (Oct. 1998) -
`PTX0355
`eSpeed_PTX0356
`eSpeed_PTX0357
`Directory of Access Solutions for LIFFE Connect (May 2001) -
`DDX0174
`Consent Judgments
`eSpeed_DTX0119
`eSpeed_DTX0120
`CONFIDENTIAL - Trading Techs. Int’l.Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Nicholas Garrow Deposition
`(05/26/2005)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from Robert McCausland Deposition (04/07/2005)
`
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from Michael Burns Deposition (05/29/2007)
`
`Petition for withdrawal of Application from Issue, 09/590,692 -
`ELLIS0000585-592
`Notice of Allowance - ELLIS0000948-951
`Steps Taken to Improve Patent Quality - PTX0624
`Trading Techs. Int’l. Inc., v. CQG, Inc., et. al., Case No. 05-cv-
`4811, Excerpts from Steven Van Dusen Deposition (01/20/2015)
`
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from David Silverman Deposition (08/24/2007)
`
`CONFIDENTIAL - Trading Techs. Int’l. Inc., v. CQG, Inc., et.
`al., Case No. 05-cv-4811, Excerpts from John Phillip Mellor
`Deposition (01/16/2015)
`
`6
`
`

`
`
`
`Exhibit 2295
`
`Exhibit 2296
`
`Exhibit 2297
`
`Exhibit 2298
`Exhibit 2299 –
`Exhibit 2402
`Exhibit 2403
`
`
`
`Exhibit 2404
`
`Exhibit 2405
`
`Exhibit 2406
`
`Exhibit 2407 -
`Exhibit 2500
`Exhibit 2501
`
`Exhibit 2502
`Exhibit 2503
`Exhibit 2504
`Exhibit 2505
`Exhibit 2506
`Exhibit 2507
`Exhibit 2508
`Exhibit 2509
`Exhibit 2510
`Exhibit 2511
`Exhibit 2512
`Exhibit 2513
`Exhibit 2514
`Exhibit 2515
`Exhibit 2516
`Exhibit 2517
`Exhibit 2518
`
`CONFIDENTIAL - Trading Techs. Int’l. Inc., v. eSpeed, Inc.,
`Case No. 04-cv-5312, Excerpts from Richard Ferraro Deposition
`Vol. 2 (08/09/2007)
`Trading Techs. Int’l. Inc., v. eSpeed, Inc., Case No. 04-cv-5312,
`Excerpts from Robert Dezmelyk Deposition (08/17/2007)
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`
`PTO Correspondence
`Reserved
`
`CONFIDENTIAL – Deposition transcript of John Bartleman,
`6/8/2016
`CONFIDENTIAL – Deposition transcript of John Bartleman,
`6/9/2016
`TT’s website, PDX3043
`
`CONFIDENTIAL – Email from TradeStation employee Hans
`Stimming to John Bartleman, PDX3046
`Reserved
`
`CONFIDENTIAL – TS0024612_PDX3044_Bartleman
`
`CONFIDENTIAL – TS0025391_PDX3007_Bartleman
`CONFIDENTIAL – TS0028765_PDX3045_Bartleman
`CONFIDENTIAL – TS0033540_PDX3050_Bartleman
`Reserved
`CONFIDENTIAL – TS0083543
`CONFIDENTIAL – TS1270483
`CONFIDENTIAL – IBG_00026004
`CONFIDENTIAL – TS0005733_PDX3006_Bartleman
`CONFIDENTIAL – TS0107044_PDX3017_Bartleman
`CONFIDENTIAL – TS0107054_PDX3015_Bartleman
`CONFIDENTIAL – TS0107076_PDX3016_Bartleman
`CONFIDENTIAL – TS1270482-504_PDX3003_Bartleman
`CONFIDENTIAL – TS1261405
`CONFIDENTIAL – TS1268720_PDX3048_Bartleman
`CONFIDENTIAL – TS1274603_PDX3053_Bartleman
`CONFIDENTIAL – TS1533975_PDX3046_Bartleman
`CONFIDENTIAL – TS1533977_PDX3047_Bartleman
`
`7
`
`

`
`Exhibit 2519
`Exhibit 2520
`Exhibit 2521
`Exhibit 2522
`Exhibit 2523
`Exhibit 2524
`Exhibit 2525
`Exhibit 2526
`Exhibit 2527
`Exhibit 2528
`Exhibit 2529
`Exhibit 2530
`Exhibit 2531
`Exhibit 2532
`Exhibit 2533
`Exhibit 2534
`Exhibit 2535
`
`Reserved
`CONFIDENTIAL – TS1528491_PDX3057_Bartleman
`CONFIDENTIAL – TS1528578
`CONFIDENTIAL – TS1528799
`Reserved
`CONFIDENTIAL – TS0023504
`CONFIDENTIAL – TS1246642
`CONFIDENTIAL – TS1253260_PDX3051_Bartleman
`CONFIDENTIAL – TS1269846
`Reserved
`CONFIDENTIAL – TS1526338_PDX3030_Bartleman
`CONFIDENTIAL – TS1527617
`Deposition transcript of Kendyl Roman, 1/13/2017
`9/8/2000 Email from Kemp (PTX 1296)
`10/9/2001 Email from McDonnell (PTX 2757)
`Declaration of Chuck Ryan
`Animation
`
`
`
`
`Respectfully submitted,
`
`Dated: January 20, 2017
`
`
`
`By: /Cole B. Richter/
`Cole B. Richter, Back-up Counsel
` Reg. No. 65,398
`
`
`
`Counsel for Patent Owner
`Trading Technologies International, Inc.
`
`
`
`
`
`
`
`
`
`8
`
`

`
`CERTIFICATE OF SERVICE
`
`
`
`
`
`The undersigned hereby certifies that a copy of the foregoing Patent Owner’s
`
`Exhibit List and Exhibits 2034, 2042, 2047, 2049, 2056, 2121, 2126, 2159-2161,
`
`2163, 2165-2166, 2168, 2170-2171, 2173-2178, 2201-2204, 2206-2223, 2226-2231,
`
`2233-2246, 2248-2269, 2271-2285, 2287-2293, 2296-2298, 2405, 2531-2535 were
`
`served on January 20, 2017, via email directed to counsel of record for the Petitioner
`
`at the following:
`
`Robert Sokohl rsokohl-
`PTAB@skgf.com
`
`Lori Gordon lgordon-
`PTAB@skgf.com
`
`Richard Bemben rbemben-
`PTAB@skgf.com
`
`John C. Phillips cbm41919-
`0008CP1@fr.com
`
`PTAB@skgf.com
`
`Confidential Exhibits 2169, 2172, 2224, 2225, 2232, 2247, 2270, 2286,
`
`2294, 2295, 2143, 2144, 2154, 2403, 2404, 2406, 2501-2504, 2506-2518, 2520-
`
`2522, 2524-2530 were filed on PRPS as “Parties and Board Only” and served
`
`on January 20, 2017, via email directed to the foregoing counsel
`
`Dated: January 20, 2017
`
`
`
`By: /Cole B. Richter/
`Cole B. Richter, Back-up Counsel
`Reg. No. 65,398
`
`
`
`
`
`Counsel for Patent Owner
`Trading Technologies International, Inc

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