Trading Technologies International, Inc. v. CQG et.al

Filing 1231

MOTION by Counter Claimants CQG, Inc., CQG, Inc., CQG, Inc., CQGT, LLC, CQGT, LLC, CQGT, LLC, Defendants CQG, Inc., CQGT, LLC for judgment as a Matter of Law Under Federal Rule of Civil Procedure 50(B) (Attachments: # 1 Exhibit Index of Exhibits, # 2 Exhibit 1, # 3 Exhibit 4, # 4 Exhibit 7)(Wytsma, Laura)

EXHIBIT 4

UNITED STATES DISTRICT COURT
NORTHERN DISTRICT OF ILLINOIS
EASTERN DIVISION
Trading Technologies International, Inc.,
Plaintiff,
v.
CQGT, LLC and CQG, Inc.
Defendants.

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Civil Action No. 05-4811
Judge Sharon Johnson Coleman
Magistrate Sidney I. Schenkier

TRADING TECHNOLOGIES’ THIRD SUPPLEMENTAL
INITIAL DISCLOSURE STATEMENT
Plaintiff, Trading Technologies International, Inc. ("TT”), by and through its undersigned
attorneys, provides the following supplemental initial disclosure statement to CQGT, LLC and
CQG, Inc. (collectively “Defendants”) pursuant to Federal Rule of Civil Procedure 26(a) and
under Local Patent Rule 1.7. This disclosure is directed to the specific claims and defenses that
have been asserted in the pleadings at the present time. This disclosure is also provided based
upon information that is reasonably available to TT at the present time, as TT’s investigation,
research, and analysis of the facts and issues in this case are ongoing. Therefore, TT reserves the
right to amend, modify, supplement or update this disclosure, particularly pursuant to Federal
Rule of Civil Procedure 26(e)(1).
TT’s disclosures are made without waiving, in any way, the right to object on any basis
permitted by law to the use of any such information for any purpose, in whole or in part, in any
subsequent proceeding in this action or any action; and, the right to object on any basis permitted
by law to any other discovery request or proceeding involved in or relating to the subject matter

of these disclosures. All of the following disclosures are made subject to the above objections
and qualifications.
A protective order protecting the parties’ confidential information (see Fed. R. Civ. P.
26(c)) was entered on August 7, 2006 (Case No. 05-4811, Dkt. 96). Accordingly, TT produces
confidential information related to this Initial Disclosure pursuant to this governing protective
order.
TT objects to producing and will not produce any documents or things protected by the
attorney-client privilege or attorney work product doctrine. Both parties agreed to an exchange
of privilege logs by July 31, 2012.

I.

PLAINTIFF TRADING TECHNOLOGIES’ CLAIMS

A.

Individuals Likely to Have Discoverable Information
TT identifies the following persons as likely to have discoverable information of the type

designated after their names. These individuals, who are currently employed by TT or were
previously employees of TT, should be contacted through TT’s counsel, McDonnell Boehnen
Hulbert & Berghoff LLP, 300 South Wacker Drive, Chicago, Illinois 60606, [phone].
•

Harris Brumfield
Chairman of the Board, Trading Technologies
Subject matter of the patents-in-suit; validity/non-obviousness; functionality of alleged prior
art; TT’s commercial products; sales and marketing; trading on the floor of an exchange;
electronic trading and systems and user interfaces in relation thereto; and Independent
Software Vendors (“ISVs”) and their offerings

•

Jens-Uwe Schluetter
Former Sales Manager, Trading Technologies
Subject matter of the patents-in-suit

2

•

Tim Geannopulos
Formerly employed by Trading Technologies as Executive Vice President Global Sales
TT’s commercial products; sales and marketing; the electronic trading industry; nonobviousness, Defendants’ marketing and/or sales of their products; and damage to TT

•

Brian Fox
Regional Sales Manager, Trading Technologies
TT’s commercial products; sales and marketing; the electronic trading industry; nonobviousness, Defendants’ marketing and/or sales of their products; damage to TT; and, the
30(b)(6) topics addressed by Mr. Geannopulos.

•

Robbie McDonnell
Executive Vice President, Global Sales, Trading Technologies
TT’s commercial products; sales and marketing; the electronic trading industry; nonobviousness, Defendants’ marketing and/or sales of their products; damage to TT; and, the
30(b)(6) topics addressed by Mr. Geannopulos.

•

Farley Owens
Executive Vice President, Trading Technologies
Subject matter of the patents-in-suit; TT’s commercial products; the electronic trading
industry; and the Defendants’ products

•

Gary Kemp
Formerly employed by Trading Technologies
Validity/non-obviousness; functionality of the alleged prior art; subject matter of the patentsin-suit; commercial success of invention; and copying of invention

•

Roger Mills
Vice President and Controller, Trading Technologies
TT’s sales and licensing; finance and accounting

•

Steven F. Borsand
Executive Vice President, Intellectual Property, Trading Technologies
Prior art considered by the United States Patent and Trademark Office during prosecution of
the patents-in-suit; marking; licensing and settlements; willful infringement

•

Michael Burns
Executive Vice President, Business Development, Trading Technologies
Infringement; willful infringement

•

Leo Murphy
University Program Manager at TT
Alleged prior art

3

•

Doug Duquette
Former CTO of TT
Represented by MBHB
Alleged prior art

•

Serene Hamzawi
Partner at Sousou Partners, former employee at TT
Alleged prior art, TT’s commercial success
In addition to those persons employed or formerly employed by Trading Technologies,

other persons may have discoverable information relating to the subject matter of the litigation.
Those persons include:
•

Timothy Mather
Chief Executive Officer of CQG
Infringement of the patents-in-suit; damages

•

Josef Schroeter
President of CQG
Infringement of the patents-in-suit; damages

•

Joseph Koehnen
Former Manager of CQG’s Chicago sales office
Infringement of the patents-in-suit; damages

•

Yuriy Shterk
Head of software development for CQG
Infringement of the patents-in-suit

•

Rod Giffen
Chief Operating Officer of CQG
Infringement of the patents-in-suit; damages

•

Ernie Popke
Former Software Developer for CQG
Infringement of the patents-in-suit

•

Matt Storz
Former Software Developer for CQG
Infringement of patents-in-suit

•

Jeff Marcus
Former Senior Software Developer for CQG
Infringement of patents-in-suit
4

•

Maxime Momaiv
Software Developer for CQG
Infringement of patents-in-suit

•

John Negomir
Former Lead Software Developer for CQG
Infringement of patents-in-suit

•

Ed Anderson
Past President of CQG
Infringement of patents-in-suit; damages

•

Rick Cantwell
Past Head of Product Development for CQG
Infringement of patents-in-suit; damages

•

Jonathan Jaynes
Former User Experience Designer for CQG
Infringement of patents-in-suit; damages

•

Justin Smith
Former User Experience Designer for CQG
Infringement of patents-in-suit; damages

•

Marcus Kwan
Vice President of Product Strategy & Design for CQG
Infringement of patents-in-suit; damages

•

Stephen Francis
Former User Experience Designer for CQG
Infringement of patents-in-suit; damages

•

Kristi Medley
Controller for CQG
Infringement of patents-in-suit; Damages

•

Brian Vancil
Contracts Manager for CQG
Infringement of patents-in-suit; damages

•

Michael Glista
Vice President of Continuum for CQG
Infringement of patents-in-suit; damages; alleged prior art

5

•

James Miclot
Past Product Specialist for CQG
Infringement of patents-in-suit

•

Sheila Spampinato
Release Manager for CQG
Infringement of patents-in-suit; damages

•

Steven Luebbering
Chief Financial Officer for CQG
Infringement of patents-in-suit; damages

•

Ralph Ristau
RTG Deutschland GmbH
Represented by MBHB
Alleged prior art

•

John Taylor
Represented by MBHB
Alleged prior art

•

Chuck Mackie
Alleged prior art

•

Charlie Berwis
Alleged prior art

•

Mike Donohue
Independent trader; former employee at TransMarket
Alleged prior art

•

Anna Pesman
Managing Director at Algodeal
Alleged prior art

•

Jonathan Markowitz
Managing Partner at Kottke Associates LLC
Alleged prior art

•

Luke Goodwillie
Former trader at Kottke Associates LLC
Use of CQG software; instructions regarding how to operate the CQG software; subject
matter of his declaration

6

•

Jay Prince
Former CQG employee
Use of CQG software

•

Jason Virgil
Former CQG employee
Use of CQG software; instructions regarding how to operate the CQG software

•

Any persons identified in Defendants’ disclosures pursuant to Fed. R. Civ. P. 26(a)(1) or in
any supplement thereto.
At this point, it is not clear to TT whether or not these individuals truly have discoverable

information. As discovery progresses, TT reserves the right to add these individuals as
warranted. Also, TT reserves the right to add certain, yet undetermined employees of CQG, Inc.
Other parties with discoverable information include representatives of those parties that
have been involved in litigation with TT regarding the patents-in-suit, where such litigation
resulted in a settlement and entry of a consent judgment. These parties include:
Rosenthal Collins Group, LLC
Represented by:
Bingham McCutchen LLP
1900 University Avenue
East Palo Also, CA 94303
Patsystems PLC, Patsystems (NA) LLC
Represented by Kent Genin, Brinks Hofer, 455 North Cityfront Plaza Drive, Chicago
Penson Futures (formerly Goldenberg, Hehmeyer & Co.)
Tammy Botsford, VP and Deputy General Counsel
600 West Chicago Ave., Suite 775
Chicago, IL 60610
Kingstree Trading, LLC
Represented by Michael Barry
Drinker, Biddle & Reath
191 N. Wacker Dr., Ste. 3700
Chicago, IL 60651

7

Ninja Trader, LLC
Ray Deux
1236 Clarkson Street
Denver, CO 80218
RTS Realtime Systems, Inc., RTS Realtime Systems AG
Represented by:
Thomas W. Ritchie
Jones Day
77 W. Wacker Dr.
Chicago, IL 60601
Rolfe & Nolan Systems, Inc., Rolfe and Nolan Systems, Ltd.
Represented by:
James White
Husch Blackwell
Chicago, IL
Strategy Runner, Ltd.
Anna Becker
156 North Jefferson, Suite 301
Chicago, IL 60661
FFastFill PLC, FFastFill Inc., Future Dynamics Inc., FFastTrade LLC, FFastFill Europe
Ltd., FFastFill FD Ltd.
Nigel Hartnell
1-3 Norton Folgate
London E1 6DB, United Kingdom
Transmarket Group, LLC
Represented by Michael Barry
Drinker, Biddle & Reath
191 N. Wacker Dr., Ste. 3700
Chicago, IL 60601
Man Financial, Inc.
General Counsel
717 Fifth Avenue, 9th Floor
New York, NY 10022
NYFIX, Inc.
General Counsel
100 Wall Street, 26th Floor
New York, NY 10005

8

Orc Software, Inc., and Orc Software AB
Legal Department
Birger Jarlsgatan 32a
114 32 Stockholm
Sweden
REFCO Group Ltd., LLC
John Dischner
One World Financial Center
200 Liberty Sreet
New York, NY 10281
Peregrine Financial Group, Inc.
Rebecca J. Wing, General Counsel
190 S. LaSalle Street, 7th Floor
Chicago, IL 60603
TradeMaven, LLC
Jeff Ganis, Managing Partner
141 W. Jackson Blvd., Suite 1080
Chicago, IL 60604
Cunningham Commodities, LLC, Cunningham Trading Systems, LLC.
General Counsel
114 W. Jackson Blvd., Suite 211A
Chicago, IL 60604
TT also has license agreements under the patents-in-suit with:
Trade Exchange Network Limited
John Delaney
Last known address:
10 B Park West Business Park
Becket Way
Dublin 12
Ireland
Direct Trading Institutional L.P.
William Cronin
600 E. Las Colinas Blvd., Suite 2222
Irving, Texas 75039

9

Marex
Shique Ismal, Counsel
Chichester House
278/282 High Holborn
London WC 1V7HA, United Kingdom
Advantage Futures LLC
Joseph M. Guinan, Jr.
30 South Wacker Drive, Suite 2020
Chicago, IL 60606
In addition, TT has asserted the patents-in-suit against eSpeed Inc., ITSEcco Holdings
Limited and Ecco LLC, in this District in a matter that is identified as Civil Action No. 04-C5312, in which the patents-in-suit here were found valid over numerous alleged prior art
references. The eSpeed case also included a determination of infringement and the Court found
the patents-in-suit enforceable. The eSpeed case was affirmed on appeal to the Court of Appeals
for the Federal Circuit.
While TT believes it is premature to identify rebuttal witnesses, and expressly reserves
the right to modify or supplement its disclosure of rebuttal witnesses, TT is making an effort to
identify potential rebuttal witnesses relating to damages, novelty and non-obviousness. Again,
TT reserves the right to modify and/or supplement this list as Defendants’ prior art allegations
become more focused. As such, TT discloses that it may rely on one or more of the following
potential rebuttal witnesses:
TT may rely upon one or more of the declarants, affiants, or others who have signed a
declaration or affidavit or given a testimonial on the subject matter of the information contained
in each declaration.
David Anthony
Represented by MBHB
Validity/non-obviousness; damages

10

Pace Beattie
RBS Greenwich Capital, Senior Vice President Systematic Trading
550 W. Jackson Blvd
Chicago, IL 60661
Validity/non-obviousness; damages
Thomas Burns
Last known address:
Traditum Group, LLC
141 W. Jackson Blvd.
Chicago, IL 60604
Validity/non-obviousness; damages
Ray Cahnman
TransMarket Group LLC, Chairman
550 W. Jackson Blvd., Suite 1300
Chicago, IL 60661
Validity/non-obviousness; damages
David Clark
Last known address:
141 W. Jackson Blvd.
Chicago, IL 60604
Validity/non-obviousness; damages
Daniel Durkin
Sidley Austin LLP
One South Dearborn, Suite 900
Chicago, IL 60603
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader;
damages
David Ellis
DE Trading, and International Trading Group LLC
2700 Patriot Blvd, #350
Glenview, IL 60026
Validity/non-obviousness; damages

11

David Feltes
CME Group
Watling House
33 Cannon Street
London EC4M 5SB, United Kingdom
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2, GlobexTrader and/or
Eurex/DTB; damages
Steve Gancer
Last known address:
141 W. Jackson Blvd.
Chicago, IL 60604
Validity/non-obviousness; damages
Brian Gelber
Gelber Group LLC
141 W. Jackson Blvd., 21st Floor
Chicago, IL 60604
Validity/non-obviousness; damages
Joel Glickman
Joel Glickman Commodities
1889 Sunnyside Ave.
Highland Park, IL
Validity/non-obviousness; damages
Tom Grisafi
Indiana Grain Company, LLC, CEO
360 Indiana Ave., Suite A
Valparaiso, IN 46383
Validity/non-obviousness; damages
Stephen Janho
Edgewood Bible Church
1720 Meridian Avenue East
Edgewood, WA 98371
Validity/non-obviousness; damages
Paul R. T. Johnson, Jr.
LSU Trading
[e-mail]
312-498-7041
Validity/non-obviousness; damages

12

Scott Johnston
Tower Research Capital (Formerly employed by CME Group)
Represented by:
Adducci, Dorf, Lehner, Mitchell & Blankenship
150 N. Michigan Ave., Suite 2130
Chicago, IL 60601
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader;
damages
Corbin E. Kidd
DV Trading (Division of RCG), IT Director
Represented by RCG’s counsel
Wolin & Rosen, Ltd.
55 West Monroe Street, Suite 3600
Chicago, IL 60603
Validity/non-obviousness; damages
Patrick Leone
Last known address:
326 E Burlington St.
Riverside, IL 60546
Validity/non-obviousness; damages
Dieter Marlovics
Gelber Group LLC, CIO
141 W. Jackson Blvd., 21st Floor
Chicago, IL 60604
Validity/non-obviousness; damages
David Martin
Represented by MBHB
Validity/non-obviousness; damages
Charles McElveen
Founder, Kingstree Trading
Gardner Carton & Douglas
191 N. Wacker Drive, Suite 3700
Chicago, IL 60606
Infringement of the patents-in-suit; damages

13

Pablo Melgarejo
Last known address:
Kingstree Trading LLC
1165 N. Clark St., #700
Chicago, IL 60610
Validity/non-obviousness; damages
Mark Mendelson
Last known address:
60 Hemlock Ln
Highland Park, IL 60035
Validity/non-obviousness; damages
Doug Monieson
Last known address:
30 S. Wacker Drive
Chicago, IL 60606
Validity/non-obviousness; damages
Rob Moore
Marquette Partners, Founder
801 West Adams, Suite 500
Chicago, IL 60607
Validity/non-obviousness; damages
Peter Moricz
Contact information unknown
Validity/non-obviousness; damages
Mark Oryhon
9100 Westheimer Rd.
Houston, TX 77063
Validity/non-obviousness; damages
Arthur Parker
Morgan Stanley Smith Barney
600 Main Street
Hilton Head Island, SC 29926
Validity/non-obviousness; damages
Chuck Ryan
Contact information unknown
Validity/non-obviousness; damages

14

Lawrence Schulman
Cheiron Trading LLC, Owner
161 N. Clark Street, Suite 1350
Chicago, IL 60601
Validity/non-obviousness; damages
Russel A. Warner
Represented by MBHB
Validity/non-obviousness; damages
James Zellinger
Advantage Futures LLC
Represented by MBHB
Validity/non-obviousness; damages
Additionally, TT is involved in several other related lawsuits in which TT has charged other
parties with infringement of the ‘304 and ‘132 patents. These actions include:
1) Trading Technologies International, Inc. v. GL Consultants, et al., 05 C 4120;
2) Trading Technologies International, Inc. v. FuturePath Trading, LLC, 05 C 5164;
3) Trading Technologies International, Inc. v. IBG LLC, et al., 10 C 882 (Now consolidated
as 10 C 715);
4) Trading Technologies International, Inc. v. thinkorswim Group, Inc., et al., 10 C 883
(Now consolidated as 10 C 715);
5) Trading Technologies International, Inc. v. TradeStation Securities, Inc., et al., 10 C 884
(Now consolidated as 10 C 715); and
6) Trading Technologies International, Inc. v. Open E Cry, LLC et al., 10 C 885 (Now
consolidated as 10 C 715).
Documents produced in the related lawsuits (the litigations listed above and the litigation
against eSpeed) and witnesses called at trial and for depositions may also provide relevant
evidence in this case. TT reserves the right to rely on any such evidence/witness. These
individuals include:
Brian Adams
Employed by RCG
Wolin & Rosen, Ltd.

15

55 West Monroe Street, Suite 3600
Chicago, IL 60603
Infringement of the patents-in-suit
Brad Alcini
Employed by Trading Technologies
Infringement of the patents-in-suit
Scott Arnold
Believed to be employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit
William Bautz
Employed by NYSE
NYSE Group
11 Wall Street
New York, NY 10005
Validity/non-obviousness
James M. Birney
Employed by Rolfe & Nolan Systems
Welsh & Katz, Ltd.
120 South Riverside Plaza, 22nd Floor
Chicago, IL 60606
Infringement of the patents-in-suit; settlement negotiations
Steven Brucato
Cactus Technologies
800 W 5th Ave, #101i
Naperville, IL 60563-4948
Infringement of the patents-in-suit; validity/non-obviousness
Michael Burns
President, Exchange Connectivity
VP of R&D, Trading Technologies
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader

16

Philip Carre
Currently employed by GL
Validity/non-obviousness; existence, availability, and/or functionality of alleged prior art,
including the alleged “TradePad”/”Trading Pad,” GLOBEX/GLOBEX2 and/or GlobexTrader
Michael Cartier
Employed by Marex Financial
Represented by Defendants
Faegre & Benson LLP
3200 Wells Fargo Center
1700 Lincoln Street
Denver, CO 80203
Validity/non-obviousness; existence, availability, and/or functionality of alleged prior art,
including the alleged “TradePad”/”Trading Pad,” GLOBEX/GLOBEX2 and/or GlobexTrader
Jonathan Cowan
Employed by eSpeed International
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; functionality and development of eSpeed screens, including Futures
View screen that was found to infringe the patents-in-suit
James Davies
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; functionality and development of eSpeed screens, including Futures
View screen that was found to infringe the patents-in-suit
Raymond Deux
NinjaTrader
1236 Clarkson Street
Denver, CO 80218
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit

17

Robert Dezmelyk
Represented by eSpeed
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit
Cristina Dobson
Employed at the Chicago Mercantile Exchange
Represented by:
Skadden, Arps, Slate, Meagher & Flom LLP
333 West Wacker Drive
Chicago, IL 60606
Valitidy/non-obviousness; existence, availability, and/or functionality of alleged prior art,
including the alleged “TradePad”/”Trading Pad,” GLOBEX/GLOBEX2 and/or
GlobexTrader
Malcolm Donaldson
Represented by SunGard
Valitidy/non-obviousness; existence, availability, and/or functionality of alleged prior art,
including the alleged “TradePad”/”Trading Pad,” GLOBEX/GLOBEX2 and/or
GlobexTrader
Bernard Donefer
Represented by eSpeed
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit
Monika Miller
Trading Technologies, VP of Patents
Inequitable conduct
Daniel Durkin
Represented by:
Sidley Austin LLP
One South Dearborn, Suite 900
Chicago, IL 60603
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior
art, including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or
GlobexTrader

18

Daniel Eccleston
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; functionality and development of eSpeed screens, including Futures
View screen that was found to infringe the patents-in-suit
William Ellis
Represented by MBHB
Inequitable conduct
David Feltes
Marquette Partners
801 West Adams, Suite 500
Chicago, IL 60607
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior
art, including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2, GlobexTrader
and/or Eurex/DTB
Richard Ferraro
Represented by Defendants
Faegre & Benson
1700 Lincoln Street
Denver, CO 80203
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention of
the patents-in-suit
Kevin Foley
President, eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit
Steffen Gemuenden
Employed by RTS Realtime Systems, AG
Bryce Downey, LLC
200 N. LaSalle Street, Suite 2700
Chicago, IL 60601
Infringement of the patents-in-suit

19

Nicholas Godici
Represented by eSpeed
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit
Brien Grey
Represented by MBHB, formerly employed by eSpeed
Infringement of the patents-in-suit; existence of, availability of, and/or functionality of
alleged prior art, including the eSpeed technology
Ian Grieves
Employed by eSpeed
Represented by: Winston
& Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; functionality and development of eSpeed screens, including Futures
View screen that was found to infringe the patents-in-suit
Andrew Griffin
Represented by MBHB
Infringement of the patents-in-suit
Thomas Grisafi
Represented by MBHB
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention of
the patents-in-suit
Laurent Havard
Currently employed by GL Trade
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader
Per Hjartoy
Represented by SunGard
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit
Mark Holder
Represented by MBHB
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit

20

Jean-Cedric Jollant
Formerly employed by GL Trade
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior
art, including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or
GlobexTrader
Atsushi Kawashima
Employed by Tokyo Stock Exchange
Represented by:
Morrison Foerster
AIG Building, 11th Floor
1-3 Marunouchi 1-Chome
Chiyoda-Ku, Tokyo 100-0005, Japan
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art
Kevin Kirby
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Validity/non-obviousness; functionality and development of eSpeed screens, including Futures
View screen that was found to infringe the patents-in-suit
Robert Klinger
Represented by:
Jackson Walker, LLP
100 Congress Ave., Suite 1100
Austin, TX 78701
Inequitable conduct
William Lupien
Believed to be represented by SunGard
Validity/non-obviousness; knowledge regarding the state of the art at the time of the invention
of the patents-in-suit
Howard Lutnick
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit; functionality and development of eSpeed screens, including
Futures View screen that was found to infringe the patents-in-suit

21

Paul MacGregor
Employed by Euronext LIFFE
Represented by:
Clifford Chance
31 West 52nd Street
New York, NY 10019
Validity/non-obviousness; functionality of alleged prior art, including the LIFFE
software/systems
Christopher Malo
Former employee of Cargill Investor Services; former employee of the CBOT
Sun Trading LLC
100 S. Wacker Drive, Suite 300
Chicago, IL 60606
Validity/non-obviousness; functionality of alleged prior art, including the LIFFE
software/systems
William McNeil
Employed by Harrison Trading
Represented by:
Hefter, Swibel, Levin & Carroll, LLP
321 N. Clark Street, Suite 3300
Chicago, IL 60601
Infringement of the patents-in-suit; existence of, availability of, and/or functionality of
alleged prior art, including the Ecco technology
Michael Ryan
Executive VP and General Counsel, Trading Technologies
Represented by MBHB
Infringement of the patents-in-suit
Paul Saltzman
Represented by eSpeed
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit
Ankur Shah
Formerly employed by Foley & Lardner, LLP
Represented by:
Foley & Lardner, LLP
3000 K. Street, Northwestern, Suite 500
Washington, D.C. 20007
Validity/non-obviousness; subject matter of the patents-in-suit; inequitable conduct

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James Shannon
Employed by Rho Trading Securities
Represented by eSpeed
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit; existence of, availability of, and/or functionality of alleged
prior art, including the Ecco technology
Josephine Sheng
Employed by GL Trade
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader
Raymond Sims
Represented by MBHB
Damages
Daniel Slottje
Represented by eSpeed
Law Offices of Gary A. Rosen, P.C.
1831 Chestnut Street, Suite 802
Philadelphia, PA 19103
Damages
Bruno Spada
Chief Technical Officer, GL Trade Americas
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader
James Stedman
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit; functionality and development of eSpeed screens, including
Futures View screen that was found to infringe the patents-in-suit

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Lon Steger
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit; functionality and development of eSpeed screens, including
Futures View screen that was found to infringe the patents-in-suit
Joseph Swanson
Employed by Cantor Fitzgerald
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
eSpeed finances
Simon Tam
Formerly employed by Trading Technologies
Represented by MBHB
Subject matter of the patents in suit; TT software development
Marcel Tchitchiama
Employed by GL Trade Ltd.
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader
Patrick Troy
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
eSpeed finances
James Vaughn
Represented by eSpeed
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Forensic data collection

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Amy Watson
Formerly employed by the Chicago Mercantile Exchange
Represented by GL Trade
Validity/non-obviousness; existence of, availability of, and/or functionality of alleged prior art,
including the alleged “TradePad”/ “TradingPad,” GLOBEX/GLOBEX2 and/or GlobexTrader
Tina Yarovsky
Employed by Trading Technologies
Represented by MBHB
Validity/non-obviousness
Hanbi Ye
Employed by eSpeed
Represented by:
Winston & Strawn LLP
35 West Wacker Drive
Chicago, IL 60601
Infringement of the patents-in-suit; functionality and development of eSpeed screens, including
Futures View screen that was found to infringe the patents-in-suit
Furthermore, TT believes there may be additional persons and/or entities currently or
formerly affiliated with the Defendants who are likely to have discoverable evidence. However,
TT believes that the Defendants are better situated to determine the content and extent of
additional entities and/or person’s knowledge, as well as their current contact information.

B.

Documents and Things in TT’s Possession, Custody, or Control
A description by category and location of all documents, data compilations, and tangible

things in the possession, custody, or control of TT that are relevant to disputed facts alleged with
particularity is provided below:
1.

Copies of the patents-in-suit, copies of the prosecution history of the patents-in-

suit, references cited in relation to the patents-in-suit, re-examination documents, and other
papers related to the prosecution of the patents-in-suit. These documents are in the possession of

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TT and/or its counsel, and copies of the patents-in-suit and the file histories have already been
provided to the Defendants.
2.

Documents relating to the development of the invention underlying the patents-in-

suit. These documents are in the possession of TT and/or its counsel and have already been
provided to the Defendants.
3.

Documents relating to the Defendants’ infringement of the patents-in-suit.

Such

documents are primarily in the possession, custody, and control of the Defendants, and/or their
customers, users and licensees and have been requested from the Defendants.
4.

Copies of settlement agreements, consent judgments and licenses related to the

patents-in-suit. These documents are in the possession of TT and/or its counsel and have already
been provided to the Defendants.
5.
and losses.

Financial documents related to TT’s sales and licensing, revenue, profitability,
These documents are in the possession of TT and/or its counsel and have already

been provided to the Defendants.
6.

Certain documents filed or produced in discovery in the related lawsuits. These

documents are in the possession of TT and/or its counsel and will be provided if requested during
discovery to the extent they are not publicly available from the Court’s files. Production of
certain documents may require the permission of other parties.
7.

Documents relating to electronic trading, advantages associated with the

invention, and responses and/or reactions to TT’s introduction of its commercial version of the
invention. These documents are in the possession of TT and/or its counsel and have already been
provided to the Defendants.
8.

Declarations, affidavits and other testimonials relating to the patents-in-suit.

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Plaintiffs reserve the right to disclose additional documents, or categories of documents,
as they are identified, located and/or become reasonably available.

C.

Computation of Categories of Damages
TT’s computation of damages is illustrated in the Updated Supplemental Expert Report

of Raymond S. Sims dated September 30, 2014.

TT will pursue damages adequate to

compensate for the infringement, based on a reasonable royalty method, inclusive of treble
damages for willfulness; an assessment of costs that is inclusive of reasonable attorneys’ fees and
pre-judgment interest; and any other relief this Court deems to be just and proper (including
permanent injunction). TT notes that the computation of damages is expected to be the subject
of expert opinion in this matter and, therefore, TT fully reserves its right to supplement any of
the responses made in this Initial Disclosure or to otherwise amend this Initial Disclosure as
proceedings in this matter mature.

D.

Insurance Agreements to Satisfy Any Judgment
Not applicable as to the complaint.

TT reserves the right to supplement these initial disclosures through, among other means,
subsequent interrogatory responses, document production, and responses to requests for
admission.

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Respectfully submitted,
Date: December 19, 2014

By:

s/ S. Richard Carden
Leif R. Sigmond, Jr. (ID No. 6204980)
([e-mail])
Matthew J. Sampson (ID No. 6207606)
([e-mail])
Michael D. Gannon (ID No. 6206940)
([e-mail])
S. Richard Carden (ID No. 6269504)
([e-mail])
Jennifer M. Kurcz (ID No. 6279893)
([e-mail])
McDonnell Boehnen Hulbert & Berghoff LLP
300 South Wacker Drive
Chicago, Illinois 60606
Tel.: [phone]
Fax: [phone]
Steven F. Borsand (ID No. 6206597)
([e-mail])
Trading Technologies International, Inc.
222 South Riverside
Suite 1100
Chicago, IL 60606
Tel: [phone]
Fax: [phone]
Attorneys for Plaintiff,
TRADING TECHNOLOGIES
INTERNATIONAL, INC.

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CERTIFICATE OF SERVICE
The undersigned hereby certifies that a copy of the foregoing TRADING
TECHNOLOGIES’ THIRD SUPPLEMENTAL INITIAL DISCLOSURE STATEMENT was
served on Defendants via Email and via First Class U.S. Mail on December 19, 2014, to the
following address:
Adam Kelly
Loeb & Loeb LLP
321 North Clark Street
Suite 2300
Chicago, IL 60654
[e-mail]

s/ S. Richard Carden

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