PETITIONERS’ DEMONSTRATIVE
`EXHIBITS FOR TRIAL HEARING
`
`Interactive Brokers, LLC, et al. v. Chart Trading Development, LLC
`Case Nos. CBM2016-00046, -00047, -00048
`June 8, 2017
`
`

`

`Institution Decisions
`
`-00046 Institution Decision: “On this record, we determine that
`Petitioner demonstrates that claims 1–78 [of the ‘416 Patent] are more
`likely than not patent ineligible under 35 U.S.C. § 101.”
`
`-00047 Institution Decision: “On this record, we determine that
`Petitioner demonstrates that claims 1–56 [of the ‘626 Patent] are more
`likely than not patent ineligible under 35 U.S.C. § 101.”
`
`-00048 Institution Decision: “On this record, we determine that
`Petitioner demonstrates that claims 1–31 [of the ‘435 Patent] are more
`likely than not patent ineligible under 35 U.S.C. § 101.”
`
`CBM2016-00046, -00047, -00048
`
`2
`
`

`

`Representative Claim 1 of ‘416 Patent
`An apparatus, comprising:
`a processor; and
`a memory, the memory storing computer readable code that, when executed by the processor, causes the processor
`to:
`
`display at least one of a bid for at least one item and an offer for the at least one item at a first interface, wherein
`a plurality of trading commands for trading the at least one item are available for selection in conjunction with
`the first interface, the plurality of trading commands comprising a first trading command and a second trading
`command;
`receive input indicative of a selection of the first trading command of the plurality of trading commands;
`in response to the input, display a second interface, the second interface comprising:
`at least one first button to confirm the selection of the first trading command;
`a price field, wherein a price displayed in the price field is alterable;
`a size field, wherein a size displayed in the size field is alterable, wherein the price and the size are associated
`with trading the at least one item;
`and at least one bid price adjustment button to alter the price displayed in the price field;
`at least one offer price adjustment button to alter the price displayed in the price field;
`and at least one second button to submit the second trading command of the plurality of trading commands;
`and
`in response to a selection of at least one of the at least one offer price adjustment button and the at least one
`bid price adjustment button at the second interface, display an altered price in the price field;
`and in response to a selection of the at least one first button at the second interface, submit the first trading
`command to an electronic trade system for execution.
`
`CBM2016-00046, -00047, -00048
`
`3
`
`

`

`Representative Claim 1 of ’626 Patent
`
`An apparatus, comprising:
`a processor; and
`a memory, the memory storing computer readable code that, when executed by the processor, causes the
`processor to:
`display a first interface, the first interface comprising a plurality of selectable trading commands for trading
`at least one item;
`in response to a selection of at least one of the plurality of selectable trading commands, display a second
`interface comprising:
`a price field, in which a price displayed in the price field is adjustable;
`a size field, in which a size displayed in the size field is adjustable, and in which the price and the size are
`associated with trading the item;
`one or more numeric buttons, in which the size is adjustable to a desired size, in response to a selection
`of at least one numeric button;
`at least one first button for confirming the at least one of the plurality of selectable trading commands;
`and
`at least one second button for submitting another of the plurality of selectable trading commands; and
`in response to a selection of the second button, submit a trade command associated with the second
`button to an electronic trade system for execution.
`
`CBM2016-00046, -00047, -00048
`
`4
`
`

`

`Representative Claim 1 of ’435 Patent
`
`A method, comprising:
`displaying, by a processor of a computing device, a first interface that comprises a first variable associated with
`trading an item, in which the first variable comprises a price of the item;
`displaying, by the processor, data in a second interface in response to a selection of the first variable at the first
`interface, in which the second interface comprises:
`a price field, in which a price displayed in the price field is adjustable;
`a size field, in which a size displayed in the size field is adjustable, and in which the price and the size are
`associated with trading the item;
`a first button, in which the first button, when selected causes a trading command to be submitted;
`a size up button and a size down button, in which the size up button when selected increases the size
`displayed in the size field and in which the size down button when selected decreases the size displayed in
`the size field;
`a price up button and a price down button, in which the price up button when selected increases the price
`displayed in the price field and in which the price down button when selected decreases the price displayed
`in the price field;
`and one or more numeric buttons;
`receiving a selection of the first button; and
`submitting, by the processor, the trading command for execution in response to receiving the selection.
`
`CBM2016-00046, -00047, -00048
`
`5
`
`

`

`Collecting and Displaying Information for the Purpose of
`Confirming or Modifying an Order is an Abstract Idea
`
`“[C]onfirming or modifying an order is an abstract idea because it constitutes a
`fundamental economic principle, an idea of itself, and a method of organizing human
`activity.” (-00046 Ex. 1008 at 3-5; -00046 Pet. 30-37.)
`
`“Each time you take a trade, you are putting your hard-earned capital on the line. You will
`want to make sure that you put that money of yours on the line in the proper way. . . . This
`calls for a clear understanding of exactly when, where, and how to strike (enter).” (-00046
`Ex. 1007 at 293; -00046 Pet. 28.)
`
`“Despite the drawbacks associated with using a mouse, many traders continue to use a
`mouse because it is considered easy to use, and thus traders feel that they are less likely to
`make unwarranted trading mistakes with a mouse. Because trading professionals
`frequently have large amounts of money at stake when trading, many professionals prefer
`to forgo speed and efficiency for peace of mind.” (-00046 Ex. 1001 at 1:43-50.)
`
`CBM2016-00046, -00047, -00048
`
`6
`
`

`

`The Claims Merely Apply the Abstract Idea
`On a Computer
`CTD admits: “[T]he specification recognizes that the fundamental economic
`practice of ‘confirming or modifying an order’ or collecting and displaying
`information to do so already existed in the prior art electronic trading
`systems.” (-00046 Resp. 26; -00046 Ex. 1001 1:20-28.)
`
`CTD argument: The patent claims are not directed towards an abstract idea
`because the claims provide a “specific graphical user interface with a
`particular layout, configurable options, settings, and other features to allow
`a trader to use a pointing device to execute trades from tabular information
`more quickly, efficiently, and accurately.” (See, e.g. -00046 Resp. 27.)
`
`CBM2016-00046, -00047, -00048
`
`7
`
`

`

`CTD’s Expert Admits That ‘416 Patent Claims
`Are Not Directed to a Specific GUI
`
`Q. My question is: There is nothing in any of the claims of the '416 patent that requires the elements of those
`interfaces to be configured in a particular way, correct?
`A. That's correct.
`Q. And none of the claims of the '416 patent require a particular interface layout, correct?
`A. Correct.
`Q. And there is no requirement in any of the claims of the '416 patent that require the user interfaces to be
`configurable, correct?
`A. Not in the claims themselves. . . .
`Q. Isn't it true that none of the claims of the '416 patent require all steps to be performed with a pointing
`device?
`A. Not all the steps, no. . . .
`Q. There are no limitations in any of the claims of the '416 patent that require the first interface to have a
`particular location, correct?
`A. Correct.
`Q. There are no limitations of any of the claims of the '416 patent that require the second interface to have a
`particular location, correct?
`A. Correct.
`Q. There are no limitations in any of the claims of the '416 patent requiring that the first interface be a chart or
`a graph, correct?
`A. Correct. (-00046 Ex. 1032 49:10-25, 53:22-54:2, 54:8-19.)
`
`CBM2016-00046, -00047, -00048
`
`8
`
`

`

`CTD’s Expert Admits That ‘626 Patetn Claims
`Are Not Directed to a Specific GUI
`
`Q. None of the claims of the '626 patent require the GUI interfaces to have a specific configuration, correct?
`A. If by "configuration" you mean the same as we just discussed with in the '416 patent, then yes, that's
`correct.
`Q. None of the claims of the '626 patent require the interfaces to have a particular layout, correct?
`A. Correct.
`Q. And none of the claims of the '626 patent require the interfaces to be configurable, correct?
`A. Correct. . . .
`Q. So my question is: None of the claims of the '626 patent require all steps to be performed with a pointing
`device, correct?
`A. Correct.
`Q. None of the claims of the '626 patent require a specific computer, processor, memory or display, correct?
`A. Correct.
`Q. None of the claims of the '626 patent require that the first interface have a particular layout, correct?
`A. Correct.
`Q. None of the claims of the '626 patent require that the first interface be in a particular location, correct?
`A. Correct.
`Q. And none of the claims of the '626 patent require that the first interface be a chart or a graph, correct?
`A. Correct.
`Q. And none of the claims of the '626 patent require that the second interface have a particular location?
`A. Correct. (-00047 Ex. 1032 54:23-55:12, 56:24-57:23.)
`
`CBM2016-00046, -00047, -00048
`
`9
`
`

`

`CTD’s Expert Admits That ‘435 Patent Claims
`Are Not Directed to a Specific GUI
`
`Q. None of the claims of the '435 patent require a specific GUI interface configuration, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require a particular interface layout, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require the interfaces to be configurable, correct?
`A. Correct. However, it is described in the description of the patent.
`Q. None of the claims of the '435 patent require that all steps be performed with a pointing device, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require a specific computer, processor, memory or display, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require that the first interface have a particular location, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require that the first interface be a chart or graph, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require that the second interface be in a particular location, correct?
`A. Correct. (-00048 Ex. 1032 58:3-59:10.)
`
`CBM2016-00046, -00047, -00048
`
`10
`
`

`

`The Claims Do Not Include an Inventive Concept
`
`CTD argument: “The claims are directed to the specialized graphical
`trading interface and the ‘particular arrangement of elements’ in that
`interface that enable the user to place trades more quickly, efficiently,
`and accurately using a pointing device. . . . Moreover, the claims recite
`a ‘specific, discrete implementation’ of trading with graphical user
`interfaces and a pointing device—the claimed implementation is
`neither conventional nor generic.” (-00046 Resp. 52-53.)
`
`CTD’s expert admits that none of the claims require all steps to be
`performed with a pointing device. (-00046 Ex. 1032 53:22-54:2, -00047
`Ex. 1032 54:23-55:12, 56:24-57:3, -00048 Ex. 1032 58:15-18.)
`
`CBM2016-00046, -00047, -00048
`
`11
`
`

`

`The Claims Lack Any Inventive Step
`
`CTD’s expert admits that the features of the claims were well-known as of the priority
`date:
`- Use of computers to gather market information, display it to a trader, and use the
`information to facilitate trading of a commodity
`- Use of pointing devices to control a pointer and select elements on a GUI
`- Use of command line interfaces
`- Use of buttons to select a command
`- Use of fields to input data and fields with pre-populated entries
`- Use of buttons or sliders to adjust values in a field
`- Use of drop-down menus and child windows (such as list boxes, dialogue boxes, pop-up
`menus, and context menus), and incorporation of GUI elements within these menus,
`windows, and boxes based upon “what the user is attempting to do and what would
`facilitate an efficient use of those features.”
`
`(-00046 Ex. 1032 19:1-10, 20:17-21:18, 24:8-25:2, 28:9-13, 29:6-32:16, 32:22-25, 33:1-
`39:40:5.)
`
`CBM2016-00046, -00047, -00048
`
`12
`
`

`

`CTD’s Expert Admits that the Claims Can Be
`Practiced With Generic Computer Components
`Q. It's true, is it not, that there is no specific computer, processor, memory or
`display beyond what was known in the art at the time of the priority date
`required by the claims of the '416, '626 and '435 patents?
`A. Correct.
`Q. The inventors of the '416, '626 and '435 patents did not invent gathering
`market information, displaying it to a trader, or using the information to
`facilitate trading a commodity, correct?
`A. Correct.
`Q. The claims of the '416, '626 and '435 patents can be carried out using
`computer hardware, servers and networks that were well-known as of the
`priority date, correct?
`A. Correct. (-00046 Ex. 1032 46:22-47:14.)
`
`CBM2016-00046, -00047, -00048
`
`13
`
`

`

`Representative Substitute Claim 79 of the ‘416 Patent
`
`A computer-implemented method, comprising:
`displaying, by a processor of a computer, at least one of a bid for at least one item and an offer for the at least one item at a
`first interface, including a bid price and and offer price, wherein a plurality of trading commands for trading the at least one
`item are available for selection in conjunction with the first interface, the plurality of trading commands comprising a first
`trading command and a second trading command, wherein the bid price and the offer price are selectable to indicate a
`selection of at least one of the plurality of trading commands;
`receiving, by the processor, input indicative of a selection of the first trading command of the plurality of trading commands,
`including a pointing device entry of at least one of the bid price and offer price at the first interface;
`in response to the input, displaying, by the processor, a second interface, the second interface comprising:
`at least one first button to confirm the selection of the first trading command;
`a price field, wherein a price displayed in the price field is alterable;
`a size field, wherein a size displayed in the size field is alterable, wherein the price and the size are associated with trading
`the at least one item; and
`at least one bid price adjustment button to alter the price displayed in the price field;
`at least one offer price adjustment button to alter the price displayed in the price field; and
`at least one second button to submit the second trading command of the plurality of trading commands; and
`in response to the selection of the at least one of the bid price and offer price at the first interface, posting, by the
`processor, the selected bid price or offer price in the price field of the second interface;
`in response to a selection of at least one of the at least one offer price adjustment button and the at least one bid price
`adjustment button at the second interface, displaying, by the processor, an altered price in the price field; and
`in response to a selection of the at least one first button at the second interface, submitting, by the processor, the first
`trading command to an electronic trade system for execution.
`
`CBM2016-00046, -00047, -00048
`
`14
`
`

`

`Representative Substitute Claim 57 of the ‘626 Patent
`A computer-implemented method, comprising:
`displaying, by a processor of a computer, at least one of a bid for at least one item and an offer for the at least
`one item at a first interface, including one or more selectable components of the bid and one or more
`selectable components of the offer for the at least one item, wherein a plurality of trading commands for
`trading the at least one item are available for selection in conjunction with the first interface, the plurality of
`trading commands comprising a first trading command and a second trading command;
`receiving, by the processor, input indicative of a selection of the first trading command of the plurality of
`including a pointing device entry of at least one of the one or more selectable
`trading commands,
`components of the bid and the one or more selectable components of the offer for the item at the first
`interface;
`in response to the input, displaying, by the processor, a second interface, the second interface comprising:
`at least one of a bid variable and an offer variable associated with the item;
`a price field, in which a price displayed in the price field is adjustable;
`a size field, in which a size displayed in the size field is adjustable, and in which the price and the size are
`associated with trading the item;
`one or more numeric buttons, in which the size is adjustable to a desired size, in response to a selection of
`at least one numeric button;
`at least one first button for confirming the selection of the first trading command; and
`at least one second button for submitting the second trading command of the plurality of trading
`commands; and
`in response to a selection of the second button at the second interface, submitting, by the processor, the
`second trade command to an electronic trade system for execution.
`
`CBM2016-00046, -00047, -00048
`
`15
`
`

`

`Representative Substitute Claim 32 of the ‘435 Patent
`
`A computer implemented method, comprising:
`displaying, by a processor of a computing device, a first interface that comprises a first variable associated with
`trading an item, in which the first variable comprises a price of the item;
`displaying, by the processor, data in a second interface in response to a selection of the first variable at the first
`interface, in which the second interface comprises:
`a price field, in which a price displayed in the price field is adjustable;
`a size field, in which a size displayed in the size field is adjustable, and in which the price and the size are
`associated with trading the item;
`a first button, in which the first button, when selected causes a trading command to be submitted;
`a size up button and a size down button, in which the size up button when selected increases the size
`displayed in the size field and in which the size down button when selected decreases the size displayed in
`the size field;
`a price up button and a price down button, in which the price up button when selected increases the price
`displayed in the price field and in which the price down button when selected decreases the price displayed
`in the price field; and
`one or more numeric buttons;
`automatically populating, by the processor, the price field with the price of the item;
`adjusting, by the processor, the price displayed in the price field to a desired price, in response to at least one
`of:
`a selection of the price up button; or
`a selection of the price down button;
`receiving, by the processor, a selection of the first button; and
`submitting, by the processor, the trading command for execution in response to receiving the selection.
`
`CBM2016-00046, -00047, -00048
`
`16
`
`

`

`The Proposed Substitute Claims Are
`Directed To An Abstract Idea
`CTD argument: The proposed substitute claims are not directed
`towards an abstract idea because the claims provide a “specific
`graphical user interface with a particular layout, configurable options,
`settings, and other features to allow a trader to use a pointing device to
`execute trades from tabular information more quickly, efficiently, and
`accurately.” (See, e.g., -00046 Motion pp. 9-10 and 11.)
`
`CBM2016-00046, -00047, -00048
`
`17
`
`

`

`CTD’s Expert Admits That Substitute ‘416 Patent
`Claims Are Not Directed to a Specific GUI
`
`Q. None of the proposed substitute claims of the '416 patent require a specific GUI interface configuration, correct?
`A. Correct.
`Q. None of the proposed substitute claims of the '416 patent require a particular interface layout, correct?
`A. Correct.
`Q. None of the proposed substitute claims of the '416 patent require the interfaces to be configurable, correct?
`A. Correct.
`Q. None of the proposed substitute claims of the '416 patent require all steps to be performed with a pointing device, correct?
`A. Correct. . . .
`Q. There are no limitations in Claim 79 requiring a specific computer, processor, memory or display, correct?
`A. Correct.
`Q. There are no dependent claims in the substitute claim set requiring a specific computer, processor, memory or display, correct? A. Correct.
`Q. There are no limitations in proposed substitute Claim 79 of the '416 patent requiring the use of a pointing device with the second interface,
`correct?
`A. Correct.
`Q. There are no limitations in proposed substitute Claim 79 of the '416 patent requiring that the first interface have a particular location, correct?
`A. Correct.
`Q. There are no limitations in the proposed substitute Claim 79 of the '416 patent requiring that the second interface have a particular location,
`correct?
`A. Correct.
`Q. There are no dependent proposed substitute claims that require either the first or second interface to have a particular location, correct?
`A. Correct.
`Q. None of the proposed substitute Claims 80 through 89 of the '416 patent require that all limitations be performed with a pointing device,
`correct?
`A. Correct. (-00046 Ex. 1032 60:25-63:4.)
`
`CBM2016-00046, -00047, -00048
`
`18
`
`

`

`CTD’s Expert Admits That Substitute ‘626 Patent
`Claims Are Not Directed to a Specific GUI
`
`Q. None of the claims of the '626 patent require the GUI interfaces to have a specific configuration, correct?
`A. If by "configuration" you mean the same as we just discussed with in the '416 patent, then yes, that's correct.
`Q. None of the claims of the '626 patent require the interfaces to have a particular layout, correct?
`A. Correct.
`Q. And none of the claims of the '626 patent require the interfaces to be configurable, correct?
`A. Correct. . . .
`Q. So my question is: None of the claims of the '626 patent require all steps to be performed with a pointing device, correct?
`A. Correct.
`Q. None of the claims of the '626 patent require a specific computer, processor, memory or display, correct?
`A. Correct.
`Q. None of the claims of the '626 patent require that the first interface have a particular layout, correct?
`A. Correct.
`Q. None of the claims of the '626 patent require that the first interface be in a particular location, correct?
`A. Correct.
`Q. And none of the claims of the '626 patent require that the first interface be a chart or a graph, correct?
`A. Correct.
`Q. And none of the claims of the '626 patent require that the second interface have a particular location?
`A. Correct. (-00047 Ex. 1032 54:23-55:12, 56:24-57:23.)
`
`CBM2016-00046, -00047, -00048
`
`19
`
`

`

`CTD’s Expert Admits That Substitute ‘435 Patent
`Claims Are Not Directed to a Specific GUI
`
`Q. None of the claims of the '435 patent require a specific GUI interface configuration, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require a particular interface layout, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require the interfaces to be configurable, correct?
`A. Correct. However, it is described in the description of the patent. Q. None of the claims of the '435 patent
`require that all steps be performed with a pointing device, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require a specific computer, processor, memory or display, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require that the first interface have a particular location, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require that the first interface be a chart or graph, correct?
`A. Correct.
`Q. None of the claims of the '435 patent require that the second interface be in a particular location, correct?
`A. Correct. (-00048 Ex. 1032 58:3-59:10.)
`
`CBM2016-00046, -00047, -00048
`
`20
`
`

`

`The Proposed Substitute Claims Lack Any
`Inventive Step
`CTD’s expert admits that the features of the proposed substitute claims were well-known as of the
`priority date:
`- Use of computers to gather market information, display it to a trader, and use the information
`to facilitate trading of a commodity
`- Use of pointing devices to control a pointer and select elements on a GUI
`- Use of command line interfaces
`- Use of buttons to select a command
`- Use of fields to input data and fields with pre-populated entries
`- Use of buttons or sliders to adjust values in a field
`- Use of drop-down menus and child windows (such as list boxes, dialogue boxes, pop-up menus,
`and context menus), and incorporation of GUI elements within these menus, windows, and boxes
`based upon “what the user is attempting to do and what would facilitate an efficient use of those
`features.”
`(-00046 Ex. 1032 19:1-10, 20:17-21:18, 24:8-25:2, 28:9-13, 29:6-32:16, 32:22-25, 33:1-39:40:5.)
`
`CBM2016-00046, -00047, -00048
`
`21
`
`

`

`The Proposed Substitute Claims Are Invalid
`In View Of Patterson And Belden
`00 03>
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`08/03/94
`04:49:29
`u 3.3 B
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`Patterson
`(-00046 Ex. 1016.)
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`EP 0 388 162 A2
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`The Proposed Substitute Claims Are Invalid
`In View Of Patterson And Belden
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`F i g .
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`I c
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`Belden
`(-00046 Ex. 1021.)
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`A PHOSITA Would Be Motivated To Combine
`Patterson And Belden
`“A PHOSITA would have been motivated to combine the teachings of
`Patterson and Belden at the time of invention of the ’416 Patent (i.e., as late
`as December 22, 1999) at least because both references describe
`complimentary solutions to similar problems/challenges faced by users and
`designers of trading interfaces. For example, both Patterson and Belden
`discuss the communication problems/challenges associated with trading. Ex.
`B, 4:54-5:43; Ex. C, 3:20-42. Further, both references describe computer-
`implemented solutions in the form of graphical user interfaces and electronic
`communications systems to overcome these problems/challenges. Ex. B,
`6:44-8:12; Ex. C, 5:51-6:33.” (-00046 Ex. 1033, ¶¶ 41-44; see also -00047 Ex.
`1033, ¶¶ 41-44 and -00048 Ex. 1033, ¶¶ 41-44.)
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`Petitioners’ Motions To Exclude Should Be
`Granted
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`Bases for Exclusion
`Exhibit Description
`2026
`Bernard Donefer Deposition Transcript F.R.E. 401 and 402 - not cited in Patent
`Owner’s Response
`F.R.E. 403 - confusion, no probative value,
`and unduly prejudicial
`F.R.E. 802 - hearsay offered to prove the
`truth of the matter asserted
`Nazaar Molokhia Declaration ¶¶ 59-95 F.R.E. 702 - conclusions of law on the
`question of obviousness
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`2027
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