`
`
`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 CBM2016-00087
`Patent No. 7,412,416 B2
`_____________________
`
`
`
`PETITIONERS’ UPDATED EXHBIT LIST
`
`
`
`
`Mail Stop PATENT BOARD
`Patent Trial and Appeal Board
`U.S. Patent and Trademark Office
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`
`
`
`
`CBM2016-00087
`U.S. Patent No. 7,412,416 B2
`UPDATED EXHIBIT LIST
`
`1003
`1004
`1005
`
`1006
`
`1007
`
`1008
`
`1009
`
`1010
`
`1011
`
`Ex No. Description
`1001
`U.S. Patent No. 7,412,416 B2 to Friesen et al. (“ʼ416 patent”)
`1002
`File History of Application Ser. No. 11/417,522, which became the
`’416 patent, as filed and obtained from PAIR (“’416 File History”)
`U.S. Patent No. 7,533,056 to Friesen et al. (“ʼ056 patent”)
`INTENTIONALLY LEFT BLANK
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 19 (“’131 Ins. Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 24 (“’131 Reh’g Dec.”)
`TD Ameritrade Holding Corp. v. Trading Techs. Int’l, Inc.,
`CBM2014-00131, Paper 38 (“’131 POR”)
`IBG LLC v. Trading Techs. Int’l, Inc., CBM2015-00179, Paper 21
`(“’179 POPR”)
`Trading Techs. Int’l. v. CQG, No. 05-cv-4811, Slip. Op. (N.D. Ill.
`Feb. 24, 2015) (“TT v. CQG Slip. Op.”)
`Transcript of the Deposition of Christopher Thomas, April 28, 2015
`(“Thomas Tr.”)
`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”)
`Expert Declaration of Kendyl A. Román (“Román Decl.”)
`Curriculum Vitae of Kendyl A. Román (“Román CV”)
`List of Materials Considered by Kendyl A. Román (“Román List of
`Materials”)
`“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”)
`
`1012
`1013
`1014
`
`1015
`
`1016
`
`- 1 -
`
`
`
`CBM2016-00087
`U.S. Patent No. 7,412,416 B2
`
`1018
`
`Ex No. Description
`1017
`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 (“Kawashima Dep. Tr.”)
`1019
`U.S. Patent No. 5,619,631 to Schott (“Schott”)
`1020
`U.S. Patent No. 5,646,992 to Subler et al. (“Subler”)
`INTENTIONALLY LEFT BLANK
`1021
`1022
`U.S. Patent No. 5,136,501 to Silverman et al. (“Silverman”)
`1023
`U.S. Patent No. 5,297,031 to Gutterman et al. (“Gutterman”)
`1024 WO 90/11571 to Belden
`1025 Mark J. Powers, “Starting Out in Futures Trading,” Sixth Edition,
`2001 (“Powers”)
`History of the American and NASDAQ Stock Exchanges
`David M. Weiss, “After the Trade is Made,” 1993 (“Weiss”)
`INTENTIONALLY LEFT BLANK
`Alan Cooper, “About Face: The Essentials of User Interface Design,”
`First Edition, 1995. (“Cooper”)
`Ben Shneiderman, “Designing the User Interface: Strategies for
`Effective Human-Computer Interaction,” Third Edition, 1998
`(“Shneiderman”)
`INTENTIONALLY LEFT BLANK
`INTENTIONALLY LEFT BLANK
`Richard W. Arms Jr., “Profits in Volume - Equivolume Charting,”
`1971 (“Arms”)
`INTENTIONALLY LEFT BLANK
`Inside Macintosh, Promotional Edition, Apple Computer, Inc., 1985
`(“Inside Macintosh”)
`
`1026
`1027
`1028
`1029
`
`1030
`
`1031
`1032
`1033
`
`1034
`1035
`
`- 2 -
`
`
`
`CBM2016-00087
`U.S. Patent No. 7,412,416 B2
`
`1059
`
`Ex No. Description
`1036
`Valerie Illingworth, and I. C. Pyle, Dictionary of Computing, 4th Ed,
`Oxford University Press, 1996 (“Oxford Dictionary”)
`1037
`U.S. Patent No. 1,760,287 to Schippers (“Schippers”)
`1038
`INTENTIONALLY LEFT BLANK
`1039
`INTENTIONALLY LEFT BLANK
`1040 Merriam-Webster’s Collegiate Dictionary, Tenth Edition, 1998.
`1041
`TradeStation Gr’p, Inc. v. Trading Techs. Int’l, Inc., CBM2015-
`00161, Paper 29 (“’161 Ins. Dec.”)
`1042
`U.S. Patent No. 5,347,452 to Bay, Jr. (“Bay”)
`1043-1057 Served not filed
`1058
`Deposition Transcript of Christopher H. Thomas, IBG LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2016-00087, May 8, 2017.
`Deposition Transcript of Christopher H. Thomas, IBG LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2016-00032, January 27, 2017.
`Deposition Transcript of Christopher H. Thomas, IBG LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2015-00179, August 17, 2016.
`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.
`Rustin, R., “Stock Exchange’s New Home May Feature Push-Button
`Trades Via Private Offices,” The Wall Street Journal, May 13, 1969.
`Slip Opinion, Trading Technologies International, Inc. v. CQG, Inc.,
`et al., Appeal No. 2016-1616 (Fed. Cir. Jan. 18, 2017).
`1065 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.
`1066 Merriam-Webster Collegiate Dictionary, Eleventh Edition, 2008
`1067 Webster’s New World College Dictionary, Fourth Edition, 2012
`
`
`1060
`
`1061
`
`1062
`
`1063
`
`1064
`
`- 3 -
`
`
`
`CBM2016-00087
`U.S. Patent No. 7,412,416 B2
`SERVED EXHIBITS (NOT FILED)
`
`1046
`
`1047
`
`1048
`
`1049
`
`1050
`
`1051
`
`1044
`1045
`
`Ex No. Description
`1043
`Transcript of the Deposition of Atushi Kawashima, IBG, LLC et al. v.
`Trading Techs. Int’l, Inc., CBM2015-00179, -00181, and -00182,
`June 17, 2016.
`Declaration of Robert E. Sokohl.
`Updated Certificate of Translation for “System for Buying and
`Selling Futures and Options Transaction Terminal Operational
`Guidelines”
`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.
`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.
`
`1052
`
`1053
`
`- 4 -
`
`
`
`CBM2016-00087
`U.S. Patent No. 7,412,416 B2
`
`1055
`
`Ex No. Description
`1054
`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.
`
`1056
`
`1057
`
`
`
`
`
`
`
`
`Date: May 15, 2017
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`
`Respectfully Submitted,
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Robert Sokohl/
`
`Robert E. Sokohl (Reg. No. 36,013)
`Lori A. Gordon (Reg. No. 50,633)
`Richard M. Bemben (Reg. No. 68,658)
`Attorneys for Petitioners
`
`- 5 -
`
`
`
`CBM2016-00087
`
`U.S. Patent No. 7,412,416 B2
`CERTIFICATION OF SERVICE (37 C.F.R. §§ 42.6(e))
`
`
`
`The undersigned hereby certifies that on May 15, 2017, true and correct
`
`copies of the above-captioned PETITIONERS’ UPDATED EXHBIT LIST and
`
`Exhibits 1058-1067 were served electronically via e-mail in their entireties on the
`
`following:
`
`Leif R. Sigmond, Jr. (Lead Counsel) sigmond@mbhb.com
`Michael D. Gannon (Back-up Counsel) gannon@mbhb.com
`Jennifer M. Kurcz (Back-up Counsel) kurcz@mbhb.com
`Cole B. Richter (Back-up Counsel) richter@mbhb.com
`MCDONNELL, BOEHNEN, HULBERT & BERGHOFF LLP
`
`
`Steven F. Borsand (Back-up Counsel) tt-patent-cbm@tradingtechnologies.com
`Jay Q. Knobloch (Back-up Counsel) jay.knobloch@tradingtechnologies.com
`Trading Technologies International, Inc.
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`
`/Robert Sokohl/
`
`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 15, 2017
`
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`(202) 371-2600
`5301389_1.docx
`
`
`
`
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