0001
`
`IBG 1002
`CBM of U.S. Patent No. 7,693,768
`
`

`
`IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
`
`(Attorney Docket No. 07-1021-US-CON5)
`
`ln re Application of: Kemp, et al.
`
`Serial No.: 11/585,906
`Patent No.: 7,693,768
`
`Filed: October 25, 2006
`Issued: April 6, 2010
`
`Title: Click Based Trading with Intuitive
`Grid Display of Market Depth
`
`\&\é\é%’%/\é\:’%%’\¢’%’\&
`
`Confirmation Number: 8191
`
`Group Art Unit: 3693
`
`Examiner: Richard C. Weisberger
`
`REQUEST FOR CERTIFICATE OF CORRECTION
`PURSUANT TO 37 C.F.R.
`1.323
`
`Attn: Certificate of Correction Branch
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, Virginia 223 13-1450
`
`Sir:
`
`Pursuant
`
`to 37 C.F.R. §l.323,
`
`the Assignee of Record, Trading Technologies
`
`International, Inc., requests issuance of a Certificate of Correction to correct mistakes of clerical,
`
`typographical nature and of minor character in the above-identified Patent. The correction is as
`
`follows:
`
`Claim 18, column 13, line 36: please delete “highest bid” and insert —-lowest ask——.
`
`The Assignee respectfully submits that the requested correction does not constitute new
`
`matter, nor does it require substantive examination of the file.
`
`Consideration of this Request and issuance of the Certificate of Correction are
`
`respectfully requested. The Assignee submits herewith a completed Certificate of Correction
`
`Form (PTO/SB/44), as well as the required fee under 37 C.F.R. § 1.20(a). No additional fees are
`
`0002
`
`

`
`believed due with this Request; however, the Patent Office is authorized to charge any fee
`
`deficiencies to deposit account 13-2490.
`
`If there are any questions or comments regarding this request, the Examiner is
`
`encouraged to contact the undersigned attorney as indicated below.
`
`Respectfully submitted,
`
`By: /Jori R. Ful1er/
`Jori R. Fuller
`
`Reg. No. 57,628
`
`Date: November 4 2011
`
`McDonnell Boehnen
`
`Hulbert & Berghoff LLP
`300 South Wacker Drive
`
`Chicago, IL 60606
`Telephone: 312-913-0001
`Facsimile: 312-913-0002
`
`0003
`
`

`
`PTO/SB/44 (09-07)
`Approved for use through 08/31/2010. OMB 0651-0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.
`Also Form PTO—1050
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`CERTIFICATE OF CORRECTION
`
`PATENT NO.
`
`: 7,693,768 B2
`
`APPLICATION NO.: 11/585,905
`
`ISSUE DATE
`
`: Apr” 5, 2010
`
`INVENTORISI
`
`Gary Allan Kemp, ll, et al.
`
`It is certified that an error appears or errors appear in the above—identified patent and that said Letters Patent
`is hereby corrected as shown below:
`
`Claim 18, column 13, line 36: please delete “highest bid” and insert ——lowest ask--.
`
`MAILING ADDRESS OF SENDER (Please do not use customer number below):
`
`McDonnell Boehnen Hulbert & Berghoff LLP
`300 South Wacker Drive
`
`Chicago, IL 60606
`This collection of information is required by 37 CFR 1.322, 1.323, and 1.324. The information is required to obtain or retain a benefit by the public which is to file
`(and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 1.0 hour to
`complete,
`including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any
`comments on the amount of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer,
`U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED
`FORMS TO THIS ADDRESS. SEND To: Attention Certificate of Corrections Branch, Commissioner for Patents, P.0. Box 1450, Alexandria,
`VA 22313-1450.
`
`Ifyou need assistance in completing the form, call 1-800-PTO-9199 and select option 2.
`
`0004
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Filing Date:
`
`25-Oct-2006
`
`Title of Invention:
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`First Named Inventor/Applicant Name:
`
`Gary Allan Kemp
`
`Filer:
`
`Jori Rebecca Fuller
`
`Attorney Docket Number:
`
`07-1021-US-CONS
`
`Utility under 35 USC 11 1 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-lssuance:
`
`Extension-of-Time:
`
`0005
`
`

`
`Description
`
`Miscellaneous:
`
`Sub-Total in
`USD($)
`
`Total in USD (S)
`
`0006
`
`

`
`Electronic Acknowledgement Receipt
`
`11337137
`
`Confirmation Number:
`
`Title of Invention:
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`First Named Inventor/Applicant Name:
`
`Gary Allan Kemp
`
`Customer Number:
`
`39310
`
`I F
`
`iler Authorized By:
`
`Attorney Docket Number:
`
`07—1021—US—CON5
`
`Time Stamp:
`
`12:32:32
`
`Application Type:
`
`Utility under 35 USC 111(a)
`
`Payment information:
`
`Submitted with Payment
`
`PaymentType
`
`yes
`
`Deposit Account
`
`Payment was successfully received in RAM
`
`$100
`
`Deposit Account
`
`132490
`
`Authorizeduser —
`The Director ofthe USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.17 (Patent application and reexamination processing fees)
`
`0007
`
`

`
`Charge any Additional Fees required under 37 C.F.R. Section 1.19 (Document supply fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`Document
`Number
`
`Document Description
`
`Request for Certificate of Correction
`
`07-1021-US-CON5_Request.pd
`
`Pages
`Multi
`Part l.zip (ifappI.)
`
`File Size(Bytes)/
`Message Digest
`81155
`
`4.11a5‘5£‘53d50c73bfldcn9d776bbcS7l72a
`88fSa
`
`Warnings:
`
`Fee Worksheet (SBO6)
`
`fee-info.pdf
`
`lie I (8b5Zee5f3986 l9d lSfe5Za2cd959dfE2
`d/18a
`
`Total Files Size (in bytes)
`
`199468
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`lfa new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
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`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`lfa timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCTIROI105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
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`
`0008
`
`

`
`UNITED STATES PATENT AND TRADEMARK OEEICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMIVIISS IONER FOR PATENTS
`P.O Box 1450
`Alexandria. Virginia 22313-1450
`www.uspto gov
`
`APPLICATION NO.
`
`11/585.906
`
`ISSUE DATE
`
`04/06/2010
`
`PATENT NO.
`
`7693768
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`07-1021-US-CONS
`
`8 1 9 1
`
`39310
`
`7590
`
`03/17/2010
`
`MBHB/TRADIN G TECHNOLOGIES
`300 SOUTH WACKER DRIVE
`SUITE 3200
`CHICAGO, II. 60606
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Tenn Adjustment is 499 day( s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto. gov).
`
`Any questions regarding the Patent Teim Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(S) (Please see PAIR WEB site http://pair.11spto.gov for additional applicants):
`
`Gary Allan Kemp II, Winnetka, IL;
`Jens-Uwe Schluetter, Evanston, IL;
`Harris Brumfield, Chicago, IL;
`
`IR103 (Rev. 10/09)
`
`0009
`
`

`
`PTOISB/08a (01-08)
`Approved for use through 05/31/2008. OMB 0651-0031
`U.S. Patent and Trademark Ofiice; U.S. DEPARTMENT OF COMMERCE
`Under the Paenuork Reduction Act of 1995 no a rsons are reuired to resond to a collection ofintormation unless it contains a valid OMB control number.
`Substitute for form 1449/PTO
`
`Complete if Known
`
`INFORMATION DISCLOSURE
`
`STATEMENT BY APPLICANT
`(Use as many sheets as necessary)
`
`1 1585.906
`‘°’25’2°°5
`Kem .
`3693
`ichard Weisberger
`7-1021-US- N5
`
`Application Number
`“"9 We
`First Named inventor
`Art Unit
`Examiner Name
`Attorney Docket Number
`U. S. PATENT DOCUMENTS
`Publication Date
`Name of Patentee or
`MM-DD-YYYY
`Applicant of Cited Document
`
`Examiner
`Initials‘
`
`Cite
`No '
`
`Document Number
`
`C
`
`Pages, Columns, Lines, Where
`Relevant Passages or Relevant
`FiguIesAppaar
`320 08-30-2005 G000"-"K-00" 0 at —
`021
`8-31-2006
`GarvA"°"'<‘-"*0" eta. —
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`023
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`GaryA||en Kemp ll £ a,
`325 02-15-2007 G0rvAIenKem0II H I _
`02-is-2007
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`02-15-2007 I J; a. T
`c
`02-15-2007 GarvA00nKem0"
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`
`———
`
`— — —
`
`—
`
`S
`
`Examiner
`Initials‘
`
`'
`
`.
`
`Foreign Patent Document
`
`FOREIGN PATENT DOCUMENTS
`‘
`'
`Name of Patentee or
`Applicant of Cfled Document
`
`Pages, Columns, Lines,
`Where Relevant Passages
`
`Count Code"NI.Imber"Kind Codes ilknawn
`
`Examiner
`Signature
`
`not In con orrnance an not
`3|" raw ms t roug citation
`'
`re erence consiere, whet er or not citation is in con omiance wi
`'
`' " l‘ ' :
`considered. Include copy of this form with next communication to applicant. ‘Applicant's unique citation designation number (optional). zsee lfinds Codes of
`USPTO Patent Documents at www.usgto.gov or MPEP 901.04.
`3 Enter Office that issued the document, by the two-letter code (WIPO Standard ST.3). ‘ For
`Japanese patent documents, the indication of the year of the reign of the Emperor must precede the serial number of the patent document.
`‘Kind of document by
`the appropriate symbols as indicated on the document under WIPO Standard ST.16 it possible.
`‘Applicant is to place a check mark here if English language
`Translation is attached.
`This wllection of information is required by 37 CFR 1.97 and 1.98. The inlormation is required to obtain or retain a benefit by the public which is to file (and by the
`USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 2 hours to complete,
`including gathering, preparing, and submitting the completed application torm to the USPTO. Time will vary depending upon the individual case. Any comments
`on the amount of time you require to complete this form andlor suggestions for reducing this burden. should be sent to the Chief Information Officer. U.S. Patent
`and Trademark Offioe. P.0. Box 1450, Alexandria. VA 22313-1450. 00 NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND
`TO: Commissioner for Patents, P.0. Box 1450, Alexandria, VA 22313-1450.
`If you need assistance in completing the form, call 1-800-PTO-9199 (1-800-786-9199) and select option 2.
`
`ALL REFERENCES CONSIDERED EXCEPT WHERE LINED THROUGH.
`
`/R.W./
`
`0010
`
`

`
`PART B — FEES) TI{ANSI‘«iI"I‘TAL
`
`Cumpiete and send this farm, taigether with appiicaable feats), its: Mai} Mail Step ISSUE
`Cemmissimaer fair ‘Patents
`R0. Box 1425!}
`Alexandria, Virginia. 22313-1450
`er @ (571) 273-2885
`
`.
`ll
`£111.31"
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`indicating a s
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`
`MBHB/TRADING TECHNOLOGIES
`SUITE 3200
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`CHICAGO, ”— 50606
`
`Le
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`linstal Eierrvice with suiitit
`ed to the l\/Iail Stop ISSUE F E address £Il’)O‘.
`mmsmitted to
`USPTO (571) 273-2 85, on the date in
`
`APPLICATION NO.
`
`V
`
`FILING DATE
`
`FIRST NAMED [NV
`
`V ATTORNEY DOCKET NO.
`
`OCDNFIRI‘/iA’I'{()N NO.
`
`11/585,906
`TITLE OF INVENTICN:
`
`10/25/2006
`
`Gary Allen Kemp ll
`
`07-1021-US-CON5
`
`APPLN. TYPE
`nonprovisional
`
`SMALL ENTITY
`
`ISSUE FEE
`
`PUBLICATION
`
`V
`
`’I‘OTAL FEE-(S) DUE
`
`DATE DUE
`02/18/2010
`
`EXAMINER
`
`ART UNIT
`
`(‘I ASS-SUBCIASS
`
`.363‘).
`“be of correspondence address or ihtiication of "Fee A.ddress
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`N umber as required.
`
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`'
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`2. For firintmg oh the patent front page. .ist
`.i-:-s of up to 3 regrste .
`. patent attorneys
`OR, 3.lt(‘,U’]-"‘IVCi,y:.
`
`1
`McDonnell Boehnen
`A ..
`
`2 Hulben & Berghoff LLP
`
`3
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`. AS SIGNED A
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`is irleiitifiei IJCIO‘-«V,_ .-10 assig r-e data will “ ‘Var oh th pateiit. If an assignee is iclehtifted below, the decmneut has been filed for
`I. Completit of this term IS NOT substi
`for tiling n assignment.
`
`e
`.
`
`(A) _‘viAI\/IE OI‘ ASSIGNEE
`Trading Technologies International, Inc.
`
`B) RESIDENCE: (CITY and STATE OR COUINTRY)
`Chicago, IL
`
`:
`160 category or categories (will not be printed on the pa,tei,‘.,t‘;
`Please check the appropriate assi
`42. The follc-'v'v.:ig feeefs) are enclosed:
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`Zi issue Fee
`A (Jl’i..Cl< in ll't6 a1"-"u"rL111IOii’tl’i'(‘, ibt‘/(ii is; 61‘.ClO.\"(‘a',l
`.‘/J Publication Fee {No smal. entity discount penmtted)
`i_.l Payment by C.li‘t‘,(III care‘. term PJ, 0 -038 13 a .. lied.
`._i Advance Order — /Ti of Copies _
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`.
`3 "‘I\1‘i'NI1l1’ti16I“
`13-Z490
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`l_i Itidividiial ii Corporation or other private group entity __i Govemmeht
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`interest as shown by
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`ttomey or agent; or the assigns-e or other party in
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`»gfl_._m.e
`
`/Daniel P. Williams.’
`
`Typeri,nvpiifltesiname Daniel P" Williams
`
`Date February 12, 2010
`
`Iiegisti'atirm No. 58704
`
`s receu ed to obtain or 1
`Hi]
`7 CFR 311. The info
`_
`quire
`s
`This 0011
`'y is gt-verzied by 35 U.S.C. 122 and 37 CFR 1.14. This collection is es;
`an application. Confiti-.6
`rilieatioti fo.
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`submitting the complet
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`Virginia 22313-I450. DO NUT
`ID FEES OR COM.FI,E
`Box I45 , Alexah
`3 I 3- I 450.
`AIEX?.11(l1‘1:i, Virgi
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`FTC-L—85 (Rev. 08-08) Approved f)1‘ use through O8./31/2010. OMB 06514‘-033
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`0011
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`for purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic
`Energy Act (42 U.S.C. 218(c)).
`A record from this system of records may be disclosed, as a routine use, to the Administrator,
`General Services, or his/her designee, during an inspection of records conducted by GSA as part
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`accordance with the GSA regulations governing inspection of records for this purpose, and any
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`
`A record from this system of records may be disclosed, as a routine use, to the public after either
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`routine use, to the public if the record was filed in an application which became abandoned or in
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`A record from this system of records may be disclosed, as a routine use, to a Federal, State, or
`local law enforcement agency, if the USPTO becomes aware of a violation or potential violation
`of law or regulation.
`
`0012
`
`

`
`Electronic Patent Application Fee Transmittal
`
`Filing Date:
`
`25-Oct-2006
`
`Title of Invention:
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`First Named Inventor/Applicant Name:
`
`Gary Allan Kemp
`
`Filer:
`
`Daniel P.Wi|Iiams
`
`Attorney Docket Number:
`
`07-1021-US-CONS
`
`Filed as Large Entity
`
`Utility under 35 USC 11 1 (a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-lssuance:
`
`Utility Appl issue fee
`Publ. Fee— early,voluntary, or normal
`
`1501
`1504
`
`I
`
`I
`
`I
`
`l
`
`510
`
`300
`
`1
`
`1510
`
`300
`
`0013
`
`

`
`Description
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Sub-Total in
`USD($)
`
`Total in USD ($)
`
`0014
`
`

`
`Electronic Acknowledgement Receipt
`
`7005112
`
`Confirmation Number:
`
`Title of Invention:
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
`
`First Named Inventor/Applicant Name:
`
`Gary Allan Kemp
`
`Customer Number:
`
`39310
`
`I F
`
`iler Authorized By:
`
`Attorney Docket Number:
`
`07—1021—US—CON5
`
`Time Stamp:
`
`17:03:07
`
`Application Type:
`
`Utility under 35 USC 111(a)
`
`Payment information:
`
`Submitted with Payment
`
`PaymentType
`
`yes
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`Deposit Account
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`Payment was successfully received in RAM
`
`$1810
`
`Deposit Account
`
`132490
`
`Authorizeduser —
`The Director ofthe USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`Charge any Additional Fees required under 37 C.F.R. Section 1.16 (National application filing, search, and examination fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.17 (Patent application and reexamination processing fees)
`
`0015
`
`

`
`Charge any Additional Fees required under 37 C.F.R. Section 1.19 (Document supply fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`Document
`Number
`
`Document Description
`
`Issue Fee Payment (PTO-85B)
`
`07_1021_US_CON5_01_|ssue_
`Fee_Transmittal.pdf
`
`Pages
`Multi
`Part l.zip (ifappI.)
`
`File Size(Bytes)/
`Message Digest
`80749
`
`la026b7288422a9‘389d779096d6l6fl520a5
`e7f6
`
`Warnings:
`
`Fee Worksheet (PTO-875)
`
`fee-info.pdf
`
`l0blaal4bb39eZ(da9l 354ld7632ce89d 16d
`I7ab
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`lfa new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
`1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in clue course and the date shown on this
`Acknowledgement Receipt will establish the filing date of the application.
`
`National Stage of an International Application under 35 U.S.C. 371
`lfa timely submission to enter the national stage of an international application is compliant with the conditions of 35
`U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
`national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
`
`New International Application Filed with the USPTO as a Receiving Office
`lfa new international application is being filed and the international application includes the necessary components for
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification of the International Application Number
`and of the International Filing Date (Form PCT/R0/105) will be issued in due course, subject to prescriptions concerning
`national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
`the application.
`
`0016
`
`

`
`.fW
`
`Atty. Dkt. No. 024051-0230
`
`Gary Allan KEMP et al.
`
`CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF
`MARKET DEPTH
`
`11/585,906
`
`Filing Date:
`
`October 25, 2006
`
`Examiner:
`
`Unassigned
`
`Art Unit:
`
`3624
`
`Confirmation No.:
`
`8191
`
`INFORMATION DISCLOSURE STATEMENT
`
`UNDER 37 C.F.R. § 1.56
`
`Commissioner for Patents
`P.O. Box 1450
`
`Alexandria, VA 22313-1450
`
`Sir:
`
`Submitted herewith on Form PTO/SB/O8 is a listing of the documents cited by or
`
`submitted to the U.S. PTO in parent application Serial No. 11/415,163, filed May 2, 2006.
`
`As provided in 37 C.F.R. § 1.98(d), copies of the documents are not being provided since
`
`they were previously submitted to the United States Patent & Trademark Office in the above-
`
`identified parent application.
`
`The submission of any document herewith, which is not a statutory bar,
`
`is not
`
`intended as an admission that such document constitutes prior art against the claims of the
`present application or that such document is considered material to patentability as defined in
`
`37 C.F.R. § 1.56(b). Applicants do not waive any rights to take any action which would be
`
`appropriate to antedate or otherwise remove as a competent reference any document which is
`
`determined to be a primafacie an reference against the claims of the present application.
`
`WASH_1739727.1
`
`_1_
`
`ALL REFERENCES CONSKDERED EXCEPT WHERE UNEE) THROUGH.
`
`/'F{.W./
`
`0017
`
`

`
`Atty. Dkt. No. 024051-0230
`
`TIMING OF THE DISCLOSURE
`
`A
`
`The listed documents are being submitted in compliance with 37 C.F.R. § 1.97(b),
`
`within three (3) months of the filing date of the application.
`
`RELEVANCE OF EACH DOCUMENT
`
`All of the documents are in English.
`
`Applicants respectfully request
`
`that each listed document be considered by the
`
`Examiner and be made of record in the present application and that an initialed copy of Form
`
`PTO/SB/08 be returned in accordance with MPEP § 609.
`
`Although Applicants believe that no fee
`
`is
`
`required for
`
`this Request,
`
`the
`
`Commissioner is hereby authorized to charge any additional fees which may be required for
`
`this Request to Deposit Account No. 19-0741.
`
`Respectfully submitted,
`
`Date: Februag 7, 2007
`
`‘
`
`By
`
`i” LQQ4
`
`E ;
`
`FOLEY & LARDNER LLP
`
`Customer Number: 22428
`Telephone:
`(202) 945-6002
`Facsimile:
`(202) 672-5399
`
`Marc K. Weinstein
`
`Attorney f0T Applicants
`Registration No- 43,250
`
`WASH_1739727.1
`
`_2_
`
`All REFERENCES CONSKDERED EXCEPT WHERE UNEE) THROUGH.
`
`/'Fl.W./
`
`0018
`
`

`
`__
`
`--
`’-.’
`‘-1 4
`STATEMENT BY APPLICANT
`
`PTO/SB/08 (09-06)
`Approved for use through 03/31/2007. OMB 0651-0031
`d Trademark Office: US. DEPARTMENT OF COMMERCE
`-
`‘ -.u in a valid OMB control number.
`'
`Complete if Known
`11/585,906
`10/25/2006
`
`7
`A lication Number
`Filing Date
`
`Date Submitted, February 7 2007
`'
`'
`use as man sheets as necessary)
`«Z 4
`
`Ga Allan KEMP II et al.
`First Named Inventor
`Art Unit E
`Examiner Name
`Attorney Docket Number
`
`024051-0230
`
`u.s. PATENT boc0'M:~“rs
`
`H
`
`DocuMEN'r NUMBER
`
`NUMBER-KIND CODE2 IF KNO
`
`PUBLICATION DATE
`MM—DD-YYYY
`
`NAME or PATENTEE on APPLICANT or
`CITED DOCUMENT
`
`PAeEs. COLUMNS, Lmss, WHERE
`RELEVANT
`PASSAGES on RELEVANT
`FIGURES APPEAR
`
`j 200210055899
`— 2002/0023038
`A3
`2002/0138401
`
`05-09-20022
`02-21-2002
`Fritsch et al.
`09-26-2002
`Allen et al.
`
`03-22-1994
`
`11-18-1997
`
`Gutterman et al.
`
`Lozman
`
`Patterson, Jr. et al. —
`06-30-1998
`08-11-1998_
`08-18-1998—
`12-01-1998
`Lupien et al.
`06-22-1999
`Patterson, Jr. et al.
`07-13-1999
`Silverman et al.
`10-05-1999
`Garber
`
`- 5,689,651
`
`5,297,031
`
`A5
`
`A7
`
`A11
`
`A26
`
`5,774,877
`5-793-301
`5-797.002
`5,845,266
`5,915,245
`5,924,082
`5,963,923
`
`6,012,046
`6,014,643
`6,098,051
`6,131,087
`
`6,134,535
`6,195,647
`6,272,474
`6,278,982
`6,282,521
`4.674.044
`
`4,750,135
`5,270,922
`5,297,032
`
`01-04*-"2000
`01-11-2000
`08-01 -2000
`10-10-2000
`
`10-17-2000
`02-27-2001
`08-07-2001
`08-21-2001
`08-28-2001
`06-16-1987
`
`06-07-1988
`12-14-1993
`
`Lupien et al.
`Minton
`Lupien et al.
`Luke et al.
`
`Belzberg
`Martyn et al.
`Garcia
`Korhammer et al.
`Howorka
`Kalmus et al.
`
`Higgins
`Trojan et al.
`‘
`
`-
`
`'
`
`.
`'
`Silvermanflet al.
`
`07-13-1999
`— 01-11-2000
`
`_:
`
`5,297,032
`_ 5,077,665
`
`03-22-1994
`12-31-1991
`
`Date
`Examiner
`Considered
`Signature
`'B(AMlNER: lnitial it reference considered. whether or not citation is in conforrrance with MPEP 609. Draw line through citation it not in conformance and not considered. include oopy of this
`form with next oorrmunlcation to applicant. 1 Applicant's unique citation designation number (optional). 2 See Kinds Codes of USPTO Patent Documents at www.uspto.gov or MPEP 901.04. 3
`Enter Otfice that issued the dowment. by the two—letter code (WIPO Standard ST.3). 4 For Japanese patent documents, the indication of the year of the reign of the Emperor must precede the
`serial number or the patent dourntent. 5 Kind of document by the appropriate symbols as indicated on the document under WIPO Standard ST.16 if possible. 6 Applicant is to place a check rrark
`here it English language Translation is attached.
`This coileclion of lniomatlon is required by 37 CFR 1.97 and 1.98. The inforrration Is required to obtain or retain a benefit by the publicumioh is to file (and by the USPTO to process) an
`application. Confidentiality is governed by 35 U.S.C. 12 and 37 CFR 1.14. This collection is estin-ated to take 2 hours to corrplete. including gathering. preparing, and sutmitting the oormleted
`application form to the USPTO. Time will vary depending upon the individual case. Any oorrrnents on the amount of time you require to oorrplete this form andlor suggestions for reducing this
`burden. should be sent to the Chief lnforrration Officer. U.S. Patent and Tradermni Office, Po. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO
`THIS ADDRESS. SEND TO: Commissioner for Patents, PO. Box 1450, Alexandria. VA 22313-1450.
`lfyou need assktanoe in completing M9 form, call 1-E00-PTO-9.199 (1-8&1-785-9199) and select option 2.
`ALL REEERENCES CONS.:‘»l{I)ERElI} EXCEPT WHERE UNEE) THROUGH.
`
`WAS“-"“°'9”“
`
`/R.w./
`
`0019
`
`

`
`Under the Paerwork Reductin A
`
`PTOISBI08 (09-06)
`Approved for use through 03/31/2007. OMB 0651-0031
`U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
`- uired to res nd to a collection of inforrntin nl
`it
`tain a valid OMB oontrnl numbr.
`
`Substitute for form 1449/PTO
`INI=oRMATIoN DISCLOSURE
`STATEMENT BY APPLICANT
`~
`Date submitted, February 7’ 2007
`use as man sheets as necessa
`2- Attorney Docket Number
`
`/I:Ir:sLt":tamed Inventor
`
`A lication Number
`
`Complete if Known
`11/585,906
`10/25/2006
`Ga Allan KEMP II et al
`Unassi ned
`024051-0230
`
`-
`
`U.S. PATENT DOCUMENTS
`
`CITE
`No.‘
`
`DOCUMENT NUMBER
`
`NUMBER-KIND Cope’ IF KNOWN
`
`5,101.35
`: A3
`5,135,501
`: A33
`- 5,946,667
`6.035.287
`6,408,282
`
`PUBLICATION DATE
`MIVLDD-YYYY
`
`03-31-1992
`08-04-1992
`03-31-1999
`03-07-2000
`06-18-2002
`
`,
`
`NAME or PATENTEE on APPLICANT or
`Crreo DocuMENT
`
`PAGES, COLUMNS, LINES, WHERE
`TQELEVAN1
`PAssAGEs on RELEVANT
`FIGURES APPEAR
`
`Luien et al.
`Silvermart et al.
`Tull, Jr. etal.
`Stallaert et al.
`
`FOREIGN PATENT DOCUMENTS
`
`FOREIGN PATENT DOCUMENT
`COUNTRY CoDE°—NuMBER‘—KIND
`
`PUBLICATION DATE
`MM-DD-YYYY
`
`NAME OF PATENTEE OR
`APPLICANT OF CITED DOCUMENTS
`
`WO 99/30259
`wo 00/65510
`
`WO 01/16852
`
`WO 01/22315
`WO 01/88808
`
`WO 95/26005
`WO 98/49639
`
`WO 99/53424
`wo 00/52619
`wo O0/62187
`
`06-17-1999
`11-02-2000
`
`03-08-2001
`
`03-08-2001
`
`03-29-2001
`11-22-2001
`
`09-28-1995
`11-05-1998
`
`10-21-1999
`09-08-2000
`10-19-2000
`
`,
`
`Nippon Steel Corporation
`
`Hausman
`
`Friesen
`
`Zeigler et al.
`Peterson et al.
`
`Belzberg
`Lawrie
`
`Impink
`WIT Capital CorporatioN
`Epit Inc.
`
`PAGES, COLUMNS, LINES,
`wngng RELEVANT
`PAssAI3Es OR RELEVANT
`FIGURES APPEAR
`
`T‘
`
`—-
`
`—iE
`
`——
`
`—=—
`
`_—
`
`:i
`
`CITE
`0
`N
`
`A37
`
`3A 3
`
`A40
`
`2—
`
`A41
`
`A46
`_ A47
`
`INITIALS‘
`EXAMINER
`
`No.
`CITE
`
`NON PATENT LITERATURE DOCUMENTS
`INCLUDE NAME or THE AUTHOR (IN CAPITAL LETTERS), TITLE or THE ARTICLE (WHEN APPROPRIATE). TITLE OF THE
`WHERE PUBLISHED.
`ITEM (BOOK, MAGAZINE, .IoURNAL, sERIAL, SYMPOSIUM, c.ATAI.oG, ETC.) DATE, PAGE(S), VOLUME-IssUE NUMBER(S). PUBLISHER. cITv AND/OR COUNTRY
`
`A49 www.tradingtechnologies.com/products/xtrade_ful|.htm| (viewed 5/22/2001).
`A50 KHAROUF, "A trading room with a view," Fututes , 27, 11, 11/1998.
`
`USPTO Presentation, NASDAQ, November 8, 2001, enclosed pages 1-13.
`
`i