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`IBG LLC, et al. v. TTI, Inc.
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`Eric J. Gould Bear
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`Page 1
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` UNITED STATES PATENT AND TRADEMARK OFFICE
` BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
` IBG LLC, INTERACTIVE BROKERS LLC,
` TRADESTATION GROUP, INC. and
` TRADESTATION TECHNOLOGIES, INC.
`
` Petitioners
`
` v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
` Patent Owner
`
` CBM2016-00090 (Patent No. 7,725,382)
` CBM2016-00054 (Patent No. 7,693,768 B2)
`
` Deposition of ERIC J. GOULD BEAR, taken at
` McDonnell Boehnen Hulbert & Berghoff LLP,
` before Donna M. Kazaitis, IL-CSR, RPR, CLR,
` and CRR, commencing at the hour of 1:00 p.m.
` on Tuesday, April 11, 2017.
`
`____________________________________________________
` DIGITAL EVIDENCE GROUP
` 1730 M Street, NW, Suite 812
` Washington, D.C. 20036
` (202) 232-0646
`
`www.DigitalEvidenceGroup.com
`
`Digital Evidence Group C'rt 2017
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`202-232-0646
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`IBG 1085
`IBG v. TT
`CBM2016-00054
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`4/11/2017
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`IBG LLC, et al. v. TTI, Inc.
`
`Eric J. Gould Bear
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`Page 2
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`APPEARANCES:
`ON BEHALF OF THE PETITIONER:
` STERNE KESSLER GOLDSTEIN FOX
` BY: ROBERT SOKOHL, ESQ.
` RICHARD M. BEMBEN, ESQ.
` 1100 New York Avenue, NW
` Washington, DC 20005
` 202.371.2600
` rsokohl@skgf.com
` rbemben@skgf.com
`
`ON BEHALF OF THE PATENT OWNER:
` MCDONNELL BOEHNEN HULBERT & BERGHOFF LLP
` BY: JENNIFER M. KURCZ, ESQ.
` LEIF R. SIGMOND, JR., ESQ.
` 300 South Wacker Drive
` Chicago, Illinois 60606-6709
` 312.913.3311
` kurcz@mbhb.com
` sigmond@mbhb.com
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`Eric J. Gould Bear
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`Page 3
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` INDEX
` PAGE
`ERIC J. GOULD BEAR
` Examination by Mr. Bemben 4
`
` EXHIBITS
`TRADING TECH PAGE
`Exhibit 2168 Declaration of Eric J. 9
` Gould Bear in Support of
` Patent Owner's Response
` (CBM2016-00090)
`Exhibit 2168 Declaration of Eric J. 13
` Gould Bear in Support of
` Patent Owner's Response
` (CBM2016-00054)
`IBG PAGE
`Exhibit 1001 U.S. Patent 7,693,768 27
` (CBM2016-0054)
`Exhibit 1001 U.S. Patent 7,725,382 31
` (CBM2016-00090)
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`(Witness sworn.)
` ERIC J. GOULD BEAR,
`having been first duly sworn, was examined and
`testified as follows:
` EXAMINATION
`BY MR. BEMBEN:
` Q. Good afternoon. Please state your
`full name and address.
` A. Eric Justin Gould Bear, 809 Jewel
`Street, Austin, Texas 78704.
` Q. My name is Richard Bemben. I'm an
`attorney at Sterne, Kessler, Goldstein & Fox. We
`represent petitioners in this case. And with me
`is Robert Sokohl.
` MR. BEMBEN: Counsel, would you like
`to introduce yourselves.
` MS. KURCZ: Jennifer Kurcz on behalf
`of patent owner Trading Technologies. And with me
`is Leif Sigmond, Jr. We're from the law firm of
`McDonnell, Boehnen, Hulbert & Berghoff.
`BY MR. BEMBEN:
` Q. Mr. Bear, you've been deposed before;
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`is that correct?
` A. Yes, it is.
` Q. How many times?
` A. About half a dozen.
` Q. So you're familiar with the process
`here. I'll ask the questions and you answer them.
`Please provide clear verbal responses so we can
`develop a record.
` A. Okay.
` Q. I ask that we don't speak over each
`other. Let me finish my question and I'll let you
`finish your answer. Is that fair?
` A. Yes, it is.
` Q. If I ask you a question that you don't
`understand, please ask me to clarify it.
` A. Okay.
` Q. And if I ask a question and you answer
`it, I'll assume that you've understood it. Is
`that fair?
` A. Yes, it is.
` Q. During the deposition I encourage you
`to take breaks if you need to. I try to take a
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`break every hour or so. If you need a break,
`please just let me know and all I ask is that you
`answer the pending question. Is that okay?
` A. Okay.
` Q. You understand that you're under oath;
`correct?
` A. Yes, I do.
` Q. Is there any reason that you cannot
`give truthful and complete testimony today?
` A. No, there isn't.
` Q. Okay. Mr. Bear, you understand that
`you're testifying in two covered business method
`reviews today?
` A. Yes.
` Q. And do you understand that the patent
`owner is Trading Technologies International?
` A. Yes.
` Q. Is it okay if I refer to Trading
`Technologies International as "TT"?
` A. Yes.
` Q. And you are testifying on behalf of
`the patent owner; is that correct?
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` A. That's correct.
` Q. Are you testifying today as an expert?
` A. Yes.
` Q. What is your area of expertise?
` A. My area of expertise is user interface
`design.
` Q. Anything else?
` A. As far as this patent is concerned,
`that's the area.
` Q. So you're not an expert in trading
`financial instruments?
` A. Correct.
` Q. Have you ever designed a graphical
`user interface for trading financial instruments?
` A. Yes, I have.
` Q. What graphical user interface did you
`design?
` A. I led a team that designed the user
`interface for Charles Schwab's active trading
`platform.
` Q. Have you designed any other graphical
`user interfaces for trading financial instruments?
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` A. That is the only one that I can
`recall.
` Q. If I say "GUI," G-U-I, for graphical
`user interface, will you understand what I mean?
` A. Yes, I do.
` Q. Are you represented by counsel today?
` A. Present counsel is representing me for
`this deposition.
` Q. Okay. And what did you do to prepare
`for this deposition?
` A. I reviewed materials that I had cited
`in the declaration; I reviewed the declaration;
`and I reviewed the transcript from the last
`deposition in the sister matter.
` Q. Did you meet with anyone?
` A. Present counsel.
` Q. Anyone else?
` A. Briefly met with other counsel.
` Q. Do you recall their names?
` THE WITNESS: What's Mike's last name?
` MS. KURCZ: Gannon.
` THE WITNESS: Michael Gannon.
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`BY MR. BEMBEN:
` Q. Did you meet with anyone from TT?
` A. No.
` Q. You mentioned that you reviewed
`materials -- strike that.
` Mr. Bear, I'm going to hand you
`what has been marked as Trading Tech Exhibit 2168
`in CBM2016-00090. (Document tendered to the
`witness.)
` A. Thank you.
` Q. Have you seen that document before?
` A. Yes, I have.
` Q. What is it?
` A. This is a declaration that I prepared
`in support of the patent owner's response in the
`'382 CBM matter.
` Q. If we go to Page 30, is your signature
`on Page 30, Mr. Bear?
` A. That is my signature.
` Q. So I believe you referred to this
`matter as the '382 CBM matter. Is it okay if we
`refer to this declaration as the '382 declaration?
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` A. Yes.
` Q. When was the last time you reviewed
`the '382 declaration?
` A. This morning.
` Q. Are there any corrections as you sit
`here today that you'd like to make to the '382
`declaration?
` A. There is one small correction that I'd
`like to make.
` In Paragraph 30 -- and I pointed
`this out in the last deposition as a mistake in
`the declaration related to that and I forgot to
`make the change, so it carried forward. In the
`sentence, the third sentence begins about halfway
`down the paragraph, it says "this is especially
`true of the users of the claimed invention" comma.
`That comma should be stricken. And it's the same
`in the '768 declaration, which is also Paragraph
`30.
` Q. Other than the correction that you
`just pointed out in Paragraph 30, are there any
`other corrections that you'd like to make at this
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`time?
` A. That's the only one I can think of at
`this time.
` Q. So other than that correction, this
`'382 declaration is complete and accurate in your
`opinion?
` A. Yes.
` Q. Did you write the '382 declaration?
` A. Yes, I did.
` Q. You wrote every words of it?
` A. I did write every word of it.
` Q. And when you were preparing to draft
`the '382 declaration, what materials did you
`review?
` A. I reviewed the '382 Patent, the
`federal circuit's opinion in the related eSpeed
`proceedings, the federal circuit's 112 opinion in
`the related proceedings, Judge Coleman's opinion
`in the related CQG proceedings that held that the
`related '132 and '304 patents are patent eligible,
`the federal circuit's CQG opinion affirming Judge
`Coleman's decision, portions of the declaration by
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`Kendyl Roman in support of the petition for the
`CBM review of the '382 Patent, the petition for
`the CBM review, and the PTAB's decision to
`institute the corresponding CBM review.
` Q. Those materials that you just listed
`are from Paragraph 21 of your declaration; is that
`correct?
` A. Correct.
` Q. Other than the materials listed in
`Paragraph 21 of your declaration, did you review
`any other materials when you prepared the '382
`declaration?
` A. Those are the ones that I recall.
` Q. You mentioned that yesterday when you
`were preparing for the deposition you reviewed
`some materials. Were those the materials listed
`in Paragraph 21 of your declaration?
` A. Yes. And I reviewed the declarations
`and the transcript of the related deposition from
`last time.
` Q. Was there anything else that you
`reviewed yesterday?
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` A. Not that I can recall.
` Q. Thank you. Let me introduce your
`other declaration.
` I am handing you what's been marked
`as Trading Tech Exhibit 2168 in CBM2016-00054.
`(Document tendered to the witness.)
` A. Thank you.
` Q. Have you seen that document before?
` A. Yes, I have.
` Q. What is it?
` A. This is my declaration in support of
`the patent owner's response in the CBM concerning
`the '768 Patent.
` Q. If I refer to this as your '768
`declaration, will you know what I'm referring to?
` A. Yes, I will.
` Q. And if we turn to Page 29, is that
`your signature?
` A. Yes, it is.
` Q. Was the last time you reviewed the
`'768 declaration yesterday?
` A. This morning.
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` Q. This morning. And other than the typo
`that you mentioned in Paragraph 30 of the '768
`declaration, are there any other corrections that
`you'd like to make to it at this time?
` A. Not at this time.
` Q. Did you write the '768 declaration?
` A. Yes, I did.
` Q. Every word?
` A. Yes.
` Q. And did you review the same materials
`when preparing the '768 declaration that you did
`when preparing the '382 declaration?
` A. Not exactly.
` Q. Okay. What materials did you review
`when you prepared the '768 declaration?
` A. I reviewed the '768 Patent, the
`federal circuit's opinion in the related eSpeed
`proceedings, the federal circuit's 112 opinion on
`the related proceedings, Judge Coleman's opinion
`on the related CQG proceedings that held that the
`related '132 and '304 patents are patent eligible,
`portions of declarations by Kendyl Roman in
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`Page 15
`support of the petition for CBM review of the '768
`Patent, the petition for CBM review, TT's
`preliminary response to the petition, and the
`PTAB's decision to institute the corresponding CBM
`review.
` Q. The materials that you just listed are
`from Paragraph 21 of the '768 declaration; is that
`correct?
` A. Yes, it is.
` Q. So when you prepared the '768
`declaration, did you review anything in addition
`to those materials that you just listed?
` A. Not that I can recall.
` Q. All right. I'd like to discuss your
`background a bit, but I think it might be helpful
`if we -- can you confirm for me, if you look at
`Paragraphs 4 through 20 of your '768 declaration
`and 4 through 20 of your '382 declaration, can you
`just verify that those are the same so we can just
`talk about one of those?
` A. I see a minor difference in Paragraph
`4 of the two due to the time that passed between
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`writing the '768 declaration and writing the '382
`declaration, the number of patent applications it
`lists me as inventor changed from 80 to 90 and the
`number of those applications that issued as U.S.
`patents changed from 70 to 75. Other than that, I
`believe these paragraphs are the same.
` Q. Thank you.
` So if we turn to Paragraph 12 of
`the '768 declaration, you mentioned that you held
`faculty positions at San Francisco State
`University and the University of Texas at Austin;
`correct?
` A. That's correct.
` Q. What faculty positions have you held
`at the San Francisco State University?
` A. I don't recall the specific title at
`San Francisco State University. I was on the
`faculty and taught courses.
` Q. Were you a full-time professor?
` A. No.
` Q. Were you an adjunct professor?
` A. No.
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` Q. How about at the University of Texas
`at Austin, what faculty positions did you hold
`there?
` A. Initially I was a visiting professor
`and then a senior lecturer and senior research
`fellow, or something to that effect.
` Q. Were you ever on the full-time faculty
`at the University of Texas at Austin?
` A. No.
` Q. Were you an adjunct professor ever at
`the University of Texas at Austin?
` A. No.
` Q. In paragraph 11 you mention that you
`have I'm sorry -- strike that. Paragraph
`7 -- strike that too.
` Paragraph 9, please. You mention
`that you have a degree, Bachelor of Arts from
`Wesleyan University in cognitive science; correct?
` A. Yes.
` Q. And then you mention example
`coursework includes biological, neurophysiology,
`artificial intelligence programming, and LISP, and
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`research in human perception, and audiovisual
`phenomenon as presented and measured by computing
`machines; correct?
` A. Yes.
` Q. Are those examples of coursework that
`you completed?
` A. Yes. Those are examples of coursework
`that I completed.
` Q. In Paragraph 11 you mention that you
`also received a Master's of professional studies
`from NYU; is that correct?
` A. Yes.
` Q. Other than the Bachelor's from
`Wesleyan University and the Master's from NYU, do
`you have any other degrees?
` A. No, I don't.
` Q. Have you ever traded financial
`instruments professionally?
` A. No, I haven't.
` Q. Have you ever traded commodities on an
`electronic exchange?
` A. Yes, I have.
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` Q. When?
` A. In the last 20 years.
` Q. Did you use software to trade?
` A. Yes, I did.
` Q. What software did you use?
` A. I used the software provided by my
`bank.
` Q. Have you ever used any of Trading
`Technologies' software?
` A. I don't believe so.
` Q. Do you know what an open outcry market
`is?
` MS. KURCZ: Objection, scope.
` THE WITNESS: I do not.
`BY MR. BEMBEN:
` Q. Do you know what a market order is?
` A. I believe so.
` Q. What is it?
` A. I believe that a market order is a
`request to buy or sell at the going price.
` Q. Do you know what a limit order is?
` A. I believe so.
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` Q. What is it?
` A. I believe it's an order to buy or sell
`within a particular range.
` Q. When was the first time that you heard
`of TT?
` A. A few years ago.
` Q. How did you hear of TT?
` A. I was at an event and introduced to
`the TT executives.
` Q. Which TT executives did you meet at
`that event?
` A. Jay Knobloch and Steve Borsand.
` Q. Do you recall what year that was in?
` A. I don't specifically recall.
` Q. Was that before 2015?
` A. Yes, it was.
` Q. Was it before 2010?
` A. I believe it was after 2010.
` Q. So sometime between 2010 and 2015?
` A. That's correct.
` Q. Where was the event?
` A. In Austin, Texas.
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` Q. Do you recall what the event was?
` A. I don't recall what it was called.
` Q. Do you recall what the event was
`about?
` MS. KURCZ: Objection. This is
`getting outside the scope of this declaration.
`BY MR. BEMBEN:
` Q. You can still answer.
` A. Fair enough.
` Individuals and companies with an
`interest in patents were gathering to discuss the
`impact of the pending Alice case at that time.
` Q. When was the first time that Trading
`Technologies reached out to you to provide a
`declaration regarding their patents?
` A. I don't recall the date.
` Q. Was it sometime in 2015 or 2016?
` MS. KURCZ: Objection, form.
` THE WITNESS: I don't recall the
`specific date.
`BY MR. BEMBEN:
` Q. Have you provided a declaration for
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`Trading Technologies other than for a CBM
`proceeding?
` A. I don't think so.
` Q. After you first met the executives
`from Trading Technologies, did you stay in contact
`with them?
` MS. KURCZ: Objection, form, scope.
` THE WITNESS: We were in contact a
`couple of times after, before being engaged.
`BY MR. BEMBEN:
` Q. Do you currently have any financial
`interest in Trading Technologies?
` A. Not that I'm aware of.
` Q. Have you ever been employed by Trading
`Technologies other than as a technical expert?
` A. No, I haven't.
` Q. Have you ever worked for Trading
`Technologies in any capacity other than as a
`technical expert?
` A. No, I haven't.
` Q. Do you know Harris Brumfield?
` A. I do not.
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` Q. You've never met him?
` A. I don't think so. Although it's
`possible I had a phone conversation with him once,
`but I don't recall.
` Q. Do you know Gene Quinn?
` A. We've had communications --
` MS. KURCZ: Objection, scope.
`BY MR. BEMBEN:
` Q. How did you meet him?
` MS. KURCZ: Objection, scope.
`BY MR. BEMBEN:
` Q. Let's turn to your CV. Let's turn to
`Page 36 of your CV, in fact, and look at the top
`where it says IP Watchdog.
` A. And, to be clear, the CV is slightly
`different in the two.
` Q. Okay. Let's look at the CV on the
`'768 declaration.
` Is IP Watchdog a blog?
` A. You could call it that.
` Q. Is Gene Quinn involved with IP
`Watchdog at all?
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` A. Yes, he is.
` Q. How is he involved with IP Watchdog?
` MS. KURCZ: Objection, form.
` THE WITNESS: He publishes articles on
`the site.
`BY MR. BEMBEN:
` Q. And so you have published articles on
`IP Watchdog; is that correct?
` A. I believe I published one article on
`IP Watchdog, and I've been interviewed for other
`articles on IP Watchdog.
` Q. Who interviewed you for those articles
`on IP Watchdog?
` A. Gene Quinn.
` Q. Have you ever discussed TT's patents
`with Gene Quinn?
` A. I have.
` Q. What did you discuss with Gene Quinn
`about TT's patents?
` MS. KURCZ: Objection, scope.
` THE WITNESS: I don't recall the
`specifics of what we discussed. I know that there
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`www.DigitalEvidenceGroup.com
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`Digital Evidence Group C'rt 2017
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`were conversations about patent eligibility.
`BY MR. BEMBEN:
` Q. About the patent eligibility of TT's
`patents specifically?
` A. Yes.
` Q. And this was in -- was this in 2013
`when you had these discussions with Gene Quinn?
` A. According to the dates here in my CV,
`there's 2013 and there's another set of pieces in
`2014.
` Q. Did you discuss patent eligibility of
`TT's patents with Gene Quinn before TT hired you
`as a technical expert?
` A. Yes.
` Q. Do you know Dennis Crouch?
` A. I've had conversations with him.
` Q. When did you meet Dennis Crouch?
` MS. KURCZ: Objection, scope.
` THE WITNESS: I don't recall.
`BY MR. BEMBEN:
` Q. Have you ever discussed TT's patents
`with Dennis Crouch?
`
`www.DigitalEvidenceGroup.com
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` MS. KURCZ: Same objection.
` THE WITNESS: I don't recall.
`BY MR. BEMBEN:
` Q. So as you sit here today, you don't
`recall whether you talked about TT's patents with
`Mr. Crouch; correct?
` A. I can't recall any specific times when
`we did.
` Q. Okay. Let's look at Paragraph 3 of
`your '768 declaration.
` Do you see where you say the '768
`Patent claims a new and improved graphical user
`interface? It's kind of the third line down.
` A. Yes, I do.
` Q. What do you mean by "new"?
` A. What I mean by "new" here is that it
`didn't exist before.
` Q. And how did you form the opinion that
`the '768 claims didn't exist before?
` A. I reviewed the patent's specifications
`and figures and claims; I looked at the fact that
`there were dozens, if not hundreds, of prior art
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`cited in the front matter of the patent; the
`eSpeed proceedings and the federal circuit's
`opinion, Judge Coleman's opinion in the CQG
`proceedings holding that the related '132 and '304
`Patents are patent eligible; and analyzing the
`relationship between the claimed invention and
`what was cited in the specification as prior art
`systems all led me to believe that the '768 Patent
`claimed a new and improved graphical user
`interface.
` Q. You said "what was cited in the
`specification as prior art systems." What do you
`mean by that?
` Would you like a copy of that?
` A. I would love a copy of the patents.
` Q. Okay. Mr. Bear, I'm going to hand you
`what's been marked as IBG 1001. (Document
`tendered to the witness.)
` A. Thank you.
` Q. Have you seen that before?
` A. Yes, I have.
` Q. What is it?
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`Page 28
` A. This appears to be a copy of the '768
`Patent.
` Q. Before rendering your opinion in the
`'768 declaration, did you read the '768 Patent?
` A. Yes, I did.
` Q. And is it okay if we refer to this as
`the '768 Patent?
` A. Yes, it is.
` Q. Did you understand the '768 Patent
`when you read it?
` A. Yes, I did.
` Q. Did you read the claims of the '768
`Patent?
` A. Yes, I did.
` Q. Did you understand the claims of the
`'768 Patent?
` A. Yes.
` Q. Back to my other question. So
`previously you testified about what was cited in
`the specification as prior art systems, and I
`asked what did you mean by that?
` A. The specification uses Figure 2 as a
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`Page 29
`representative of graphical user interfaces that
`existed before the invention.
` Q. When you refer to prior art in your
`'768 declaration, are you referring to Figure 2 in
`the '768 Patent?
` MS. KURCZ: Objection, form.
` THE WITNESS: Can you rephrase that?
`BY MR. BEMBEN:
` Q. Sure. If you look at Paragraph 42 for
`instance and down towards the bottom, fifth line
`from the bottom on Page 23, you mention "prior
`art."
` Do you see that?
` A. I do see that, yes.
` Q. What did you mean by "prior art"?
` A. In this sentence, "the prior art
`accomplishes receiving user input and placing a
`trade order without falling within the scope of
`the claims of the '768 Patent" is referring to
`patents and systems that existed before the
`priority date of the '768 Patent.
` Q. Let me ask you a broader question.
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` When you prepared your '768
`declaration, did you analyze prior art of the '768
`Patent?
` A. I did not analyze prior art outside of
`the patent itself.
` Q. And when you say "the patent itself,"
`do you mean Figure 2 of the patent, of the '768
`Patent?
` A. No. When I refer to "the patent," I'm
`referring to the front matter, the list of dozens
`or hundreds of prior art. I'm not saying I
`reviewed them but I reviewed the fact that they
`were present and considered by the examiner in
`issuing the patent, the complete specification,
`the figures, the tables, and the claims. That's
`what I refer to as "the patent."
` Q. Okay. Did you review any of the
`pieces of prior art that are listed on the face of
`the patent?
` A. I did not.
` Q. Let's just turn to the '382
`declaration, and I'm going to ask you the same
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`question.
` Did you review any prior art when
`you prepared the '382 declaration? Would you like
`the '382 Patent?
` A. That would be great.
` Q. Okay. Let me introduce that first.
`So I am going to introduce to you what has been
`mark as IBG 1001. (Document tendered to the
`witness.)
` A. Thank you.
` Q. Do you know what this document is?
` A. Yes. This looks like a copy of the
`'382 Patent.
` Q. And it's okay if we refer to this as
`the '382 Patent?
` A. Yes, it is.
` So if I could ask you to clarify in
`your question --
` Q. Hold on a second. Let me ask the
`questions. I have questions about the '382
`Patent.
` A. Okay.
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` Q. Did you read the '382 Patent before
`rendering your opinion in the '382 declaration?
` A. Yes, I did.
` Q. Did you understand the '382 Patent?
` A. Yes, I did.
` Q. Did you read the claims of the '382
`Patent?
` A. Yes, I did.
` Q. And did you understand the claims of
`the '382 Patent?
` A. Yes.
` Q. So, now, my question: When you
`prepared the '382 declaration, did you analyze any
`of the prior art of the '382 Patent?
` A. If you could clarify what you mean by
`"prior art,"