`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`_____________________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_____________________
`
`
`
`IBG LLC,
`INTERACTIVE BROKERS LLC,
`TRADESTATION GROUP, INC.,
`TRADESTATION SECURITIES, INC., and
`Petitioners
`
`v.
`
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`____________________
`
`Case CBM2016-00054
`Patent 7,693,768
`_____________________
`
`
`
`PETITIONERS’ UPDATED EXHIBIT LIST
`
`
`
`Mail Stop “PATENT BOARD”
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`

`

`UPDATED EXHIBIT LIST
`
`CBM2016-00054
`Patent 7,693,768
`
`1003
`
`1004
`
`Ex. No. Description
`1001
`U.S. Patent No. 7,693,768 B2 to Kemp, II et al. (“ʼ768 patent”)
`1002
`File History of Application Ser. No. 11/585,906, which became the
`’768 patent, as filed and obtained from PAIR (“’768 Patent File His-
`tory”)
`Second Amended Complaint for Patent Infringement and Jury De-
`mand Against IBG LLC and Interactive Brokers LLC, Trading Tech-
`nologies International, Inc. v. IBG LLC and Interactive Brokers LLC,
`Case No. 1:05-cv-00721 (N.D. Ill. Jun. 21, 2011)
`Second Amended Complaint for Patent Infringement and Jury De-
`mand Against TradeStation Securities, Inc., and TradeStation Group,
`Inc., Trading Technologies International, Inc. v. TradeStation Securi-
`ties, Inc., et al., Case No. 1:05-cv-00884 (N.D. Ill. Jun. 15, 2011)
`INTENTIONALLY LEFT BLANK
`INTENTIONALLY LEFT BLANK
`Expert Declaration of Kendyl A. Román (“Román Decl.”)
`Redacted Second Corrected Expert Report of Christopher Thomas,
`Trading Technologies International, Inc. v. CQG, Inc., Case No.
`1:05-CV-04811 (N.D. Ill. Dec. 12, 2013) (“Thomas Report”)
`Transcript of the Deposition of Christopher Thomas, April 28, 2015
`(“Thomas Tr.”)
`1010
`U.S. Patent No. 5,077,665 to Silverman et al. (“Silverman”)
`1011
`U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`1012 WO 90/11571 to Belden et al. (“Belden”)
`1013
`INTENTIONALLY LEFT BLANK
`1014
`INTENTIONALLY LEFT BLANK
`1015
`U.S. Patent No. 5,960,411 to Hartman et al. (“Hartman”)
`1016
`“Futures/Option Purchasing System Trading Terminal Operation
`Guidelines,” Tokyo Stock Exchange (“TSE JP”)
`Certified Translation of “System for Buying and Selling Futures and
`Options Transaction Terminal Operational Guidelines” (“TSE”)
`
`1005
`1006
`1007
`1008
`
`1009
`
`1017
`
`
`
`- 1 -
`
`

`

`CBM2016-00054
`Patent 7,693,768
`
`1019
`
`1020
`1021
`1022
`
`1023
`
`Ex. No. Description
`1018
`Certificate of Translation for “System for Buying and Selling Futures
`and Options Transaction Terminal Operational Guidelines” (“TSE
`Certificate”)
`Deposition Transcript of Atsushi Kawashima, Trading Technologies
`International, Inc., v. eSPEED, Inc., Case No. 04-cv-5312, United
`States District Court, Northern District of Illinois, Eastern Division,
`dated November 21, 2005 (“Depo. Transcript”)
`David M. Weiss, “After the Trade is Made,” 1993 (“Weiss”)
`Robert Deel, “The Strategic Electronic Day Trader,” 2000 (“Deel”)
`Alan Cooper, “About Face: The Essentials of User Interface Design,”
`First Edition, 1995. (“Cooper”)
`Ben Shneiderman, “Designing the User Interface: Strategies for Ef-
`fective Human-Computer Interaction,” Third Edition, 1998 (“Shnei-
`derman”)
`1024 Microsoft Computer Dictionary, Fifth Edition, 2002, pages 150 (“Mi-
`crosoft Computer Dictionary”)
`Curriculum Vitae of Kendyl A. Román (“Román CV”)
`List of Materials Considered by Kendyl A. Román (“Román List of
`Materials”)
`INTENTIONALLY LEFT BLANK
`INTENTIONALLY LEFT BLANK
`INTENTIONALLY LEFT BLANK
`U.S. Patent No. 6,408,282 to Buist (“Buist”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00135, Paper 17 (“’135 POPR”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00135, Paper 19 (“’135 Ins. Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00135, Paper 29 (“’135 Reh’g Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00135, Paper 32 (“’135 POR”)
`
`1025
`1026
`
`1027
`1028
`1029
`1030
`1031
`
`1032
`
`1033
`
`1034
`
`
`
`- 2 -
`
`

`

`CBM2016-00054
`Patent 7,693,768
`
`1036
`
`1037
`
`1038
`
`1039
`
`1040
`
`Ex. No. Description
`1035
`Trading Techs. Int’l. v. CQG, No. 05-cv-4811, Slip. Op. (N.D. Ill.
`Feb. 24, 2015) (“TT v. CQG Slip. Op.”)
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`(“Inside Macintosh”)
`Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th Ed,
`Oxford University Press, 1996 (“Oxford Dictionary”)
`IBG LLC v. Trading Techs. Int’l, Inc., CBM2015-00182, Paper 19
`(’182 Ins. Dec.)
`IBG LLC v. Trading Techs. Int’l, Inc., CBM2015-00181, Paper 26
`(’181 Ins. Dec.)
`IBG LLC v. Trading Techs. Int’l, Inc., CBM2015-00182, Paper 15
`(’182 POPR)
`1041 Merriam-Webster’s Collegiate Dictionary, Tenth Edition, 1998.
`1042
`Super Mario Brothers image (1985)
`1043 Metal Warrior V1.6 source code (1999)
`1044
`U.S. Patent No. 6,205,260 to Crinon et al. (“Crinon”)
`1045
`Served (Not Filed)
`1046
`Served (Not Filed)
`1047
`Served (Not Filed)
`1048
`Exhibit No. 1 from the Deposition of Atushi Kawashima, IBG, LLC et
`al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -
`00182, June 17, 2016.
`Certified English Translation of Exhibit No. 1 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Certification of Translation of Exhibit No. 1 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Exhibit No. 2 from the Deposition of Atushi Kawashima, IBG, LLC et
`al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -
`00182, June 17, 2016.
`
`1049
`
`1050
`
`1051
`
`
`
`- 3 -
`
`

`

`CBM2016-00054
`Patent 7,693,768
`
`1053
`
`1054
`
`1055
`
`1056
`
`1057
`
`Ex. No. Description
`1052
`Certified English Translation of Exhibit No. 2 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Certification of Translation of Exhibit No. 2 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Exhibit No. 3 from the Deposition of Atushi Kawashima, IBG, LLC et
`al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -
`00182, June 17, 2016.
`Certified English Translation of Exhibit No. 3 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Certification of Translation of Exhibit No. 3 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Exhibit No. 4 from the Deposition of Atushi Kawashima, IBG, LLC et
`al. v. Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -
`00182, June 17, 2016.
`Certified English Translation of Exhibit No. 4 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Certification of Translation of Exhibit No. 4 from the Deposition of
`Atushi Kawashima, IBG, LLC et al. v. Trading Techs. Int’l, Inc.,
`CBM2015-00179, -00181, and -00182, June 17, 2016.
`Final Written Decision, IBG LLC et al. v. Trading Technologies In-
`ternational, Inc., CBM2015-00181, March 3, 2017.
`Final Written Decision, IBG LLC et al. v. Trading Technologies In-
`ternational, Inc., CBM2015-00182, February 28, 2017.
`Final Written Decision, IBG LLC et al. v. Trading Technologies In-
`ternational, Inc., CBM2015-00179, February 17, 2017.
`Deposition of Christopher H. Thomas, IBG LLC et al. v. Trading
`Technologies International, Inc., CBM2016-00054, April 12, 2017.
`[CONFIDENTIAL]
`
`1058
`
`1059
`
`1060
`
`1061
`
`1062
`
`1063
`
`
`
`- 4 -
`
`

`

`CBM2016-00054
`Patent 7,693,768
`
`Ex. No. Description
`1064
`Deposition of Christopher H. Thomas, IBG LLC et al. v. Trading
`Technologies International, Inc., CBM2015-00161, -00181, -00182,
`August 23, 2016. [CONFIDENTIAL]
`Deposition of Christopher H. Thomas, IBG LLC et al. v. Trading
`Technologies International, Inc., CBM2015-00179, August 17, 2016.
`
`1065
`
`1066
`
`1067
`1068
`
`1069
`
`1070
`
`1071
`
`Deposition of Christopher H. Thomas, IBG LLC et al. v. Trading
`Technologies International, Inc., CBM2016-00032, January 27, 2017.
`Reserved
`Deposition of Harold Abilock, IBG LLC et al. v. Trading Technolo-
`gies International, Inc., CBM2016-00009, October 21, 2016.
`Deposition of Harold Abilock, IBG LLC et al. v. Trading Technolo-
`gies International, Inc., CBM2016-00090 and -00054, October 21,
`2016.
`Deposition of Charles J. Ryan, IBG LLC et al. v. Trading Technolo-
`gies International, Inc., CBM2016-00090 and -00054, April 5, 2017.
`Declaration of Christopher H. Thomas, IBG LLC et al. v. Trading
`Technologies International, Inc., CBM2015-00182, June 24, 2016.
`1072
`Commodity Futures Trading Commission Strategic Plan, 2007-2012.
`1073
`INTEX Trading Screen.
`1074 Maidenberg, H.J., “Futures/Options; Automation in Trading,” The
`New York Times, December 10, 1984.
`Deposition of Robert G. McCausland, Trading Technologies, Inc. v.
`eSpeed, Inc., Case No. 04-cv-5312 (N.D. Ill.), April 7, 2005.
`Expert Report of David L. Silverman, Trading Technologies Interna-
`tional, Inc. v. eSpeed, Inc., et al., Case No. 04-cv-5312 (N.D. Ill.),
`June 6, 2007.
`Growth and Change in the Eighties, New York Stock Exchange An-
`nual Report, 1983.
`Terrell, E., “History of the American and NASDAQ Stock Exchang-
`es,” Business Reference Services, September 2006.
`
`1075
`
`1076
`
`1077
`
`1078
`
`
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`

`

`CBM2016-00054
`Patent 7,693,768
`
`1081
`
`1082
`
`1083
`
`Ex. No. Description
`1079
`Rustin, R., “Stock Exchange’s New Home May Feature Push-Button
`Trades Via Private Offices,” The Wall Street Journal, May 13, 1969.
`1080 Memorandum Opinion and Order, Trading Technologies Internation-
`al, Inc. v. CQG, Inc., et al., Case No. 05-cv-4811 (N.D. Ill.), February
`24, 2015.
`Slip Opinion, Trading Technologies International, Inc. v. CQG, Inc.,
`et al., Appeal No. 2016-1616 (Fed. Cir. Jan. 18, 2017).
`Final Written Decision, Interthinx, Inc. v. Corelogic Solutions, LLC,
`CBM2012-00007, January 30, 2014.
`Transcript of Teleconference Between Board and Parties, April 21,
`2017.
`Served (Not Filed)
`Deposition of Eric J. Gould Bear, IBG LLC et al. v. Trading Technol-
`ogies International, Inc., CBM2016-00090 and -00054, April 11,
`2017.
`Deposition of Dr. Dan R. Olsen, Jr., IBG LLC et al. v. Trading Tech-
`nologies International, Inc., CBM2016-00090 and -00054, April 5,
`2017.
`
`1084
`1085
`
`1086
`
`
`
`EXHIBITS SERVED (NOT FILED)
`Ex. No. Description
`Transcript of the Deposition of Atushi Kawashima, IBG, LLC et al. v.
`1045
`Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182,
`June 17, 2016.
`Declaration of Robert E. Sokohl.
`
`1046
`
`1047
`
`1084
`
`Updated Certificate of Translation for “System for Buying and Selling
`Futures and Options Transaction Terminal Operational Guidelines”
`Declaration of Richard M. Bemben
`
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`

`

`CBM2016-00054
`Patent 7,693,768
`
`Respectfully submitted,
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`
`/Richard M. Bemben/
`
`
`Robert E. Sokohl (Reg. No. 36,013)
`Lori A. Gordon (Reg. No. 50,633)
`Richard M. Bemben (Reg. No. 68,658)
`Attorneys for Petitioners
`
`Date: May 24, 2017
`
`
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005–3934
`(202) 371–2600
`
`5344531_1.docx
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