Appeal No. 2002-0811 Page 2
Application No. 09/182,466
determining the composition of a narrower based stock index by accessing said
database;
creating an acceptable stock list by at least
a) eliminating from said index list stocks having earnings below a
predetermined earnings indicator,
b) eliminating from said index list stocks which are part of said narrower
based index,
c) eliminating from said index list stocks which are in a predetermined
economic sector, and
d) placing the remaining stocks into a list of acceptable stocks; and
sorting the acceptable list of stocks by dividend yield and placing into said
portfolio, until a predetermined number of stocks are reached, a stock having the
highest dividend yield of said remaining list, so long as the number of stocks in said
portfolio from the same economic sector does not exceed a predetermined number.
The following reference is relied upon by the examiner:
O’Shaughnessy 5,978,778 Nov. 2, 1999
(filed Dec. 20, 1997)
Claims 1 through 30 stand rejected under 35 U.S.C. § 103. As evidence of
obviousness, the examiner relies upon O’Shaughnessy alone.
Rather than repeat the positions of the appellants and the examiner, reference is
made to the Supplemental Brief filed on September 4, 2001 and the Reply Brief, as well
as the Answer.
OPINION
Because we have concluded the examiner has not set forth a prima facie case of
obviousness, the rejection of all claims on appeal under 35 U.S.C. § 103 must be
reversed. In the following discussion we will set forth essentially three reasons that
provide the basis for this reversal.
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