Patents by Inventor Charles A. Baker

Charles A. Baker has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).

  • Publication number: 20110137825
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to rack actual NAV of an actively managed traded fund.
    Type: Application
    Filed: February 16, 2011
    Publication date: June 9, 2011
    Applicant: NYSE AMEX LLC
    Inventors: Clifford J. WEBER, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Terry Norman
  • Patent number: 7917429
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to rack actual NAV of an actively managed traded fund.
    Type: Grant
    Filed: October 11, 2010
    Date of Patent: March 29, 2011
    Assignee: NYSE AMEX LLC
    Inventors: Clifford J. Weber, Carol Alexander, Charles A. Baker, Jason J MacQueen, Gary L. Gastineau, Terry Norman
  • Publication number: 20110029455
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to rack actual NAV of an actively managed traded fund.
    Type: Application
    Filed: October 11, 2010
    Publication date: February 3, 2011
    Applicant: NYSE AMEX LLC
    Inventors: Clifford J. WEBER, Carol ALEXANDER, Charles A. BAKER, Jason MACQUEEN, Gary L. GASTINEAU, Terry NORMAN
  • Patent number: 7822678
    Abstract: The invention provides systems and methods for intra-day trading of actively managed exchange traded funds (AMETFs). The invention provides creation and redemption structures for AMETF shares that allow arbitrage, intra-day value estimations for AMETF shares, and hedging portfolios for hedging risks associated with trading AMETF shares, all without requiring disclosure of the specific assets underlying the AMETF.
    Type: Grant
    Filed: August 25, 2008
    Date of Patent: October 26, 2010
    Assignee: NYSE Amex LLC
    Inventors: Clifford J. Weber, Carol Alexander, Jason MacQueen, Charles A. Baker, Gary L. Gastineau, Terry Norman
  • Patent number: 7814001
    Abstract: A process for creating a modeling portfolio to model an actively managed exchange traded fund portfolio. The modeling portfolio comprises a first portfolio of securities and a supplemental portfolio of securities. The modeling portfolio does not reveal the actively managed exchange traded fund portfolio.
    Type: Grant
    Filed: August 10, 2009
    Date of Patent: October 12, 2010
    Assignee: NYSE Amex LLC
    Inventors: Clifford J. Weber, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Tony Norman
  • Publication number: 20090313178
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to track actual NAV of an actively managed traded fund.
    Type: Application
    Filed: August 10, 2009
    Publication date: December 17, 2009
    Applicant: NYSE ALTERNEXT US LLC
    Inventors: Clifford J. Weber, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Terry Norman
  • Publication number: 20090291816
    Abstract: Several implementations of a fan folding mechanism for folding flaps of a case into a fan fold arrangement are disclosed and described. In one implementation, the fan folding mechanism comprises four shoes, arranged to allow one shoe to contact a flap on each of four sides of the case. A finger, carried by each of the four shoes is configured for movement between a retracted position and an extended position, such that in the retracted position, each finger is in contact with a leading corner of a different flap of the case and the flaps are in an open position and in the extended position, each finger is in contact with the same leading corner of the same flap, and the flap is in the closed position. Four suction cups, each configured for releasable attachment to a trailing corner of a flap, may inhibit contention between flaps.
    Type: Application
    Filed: August 4, 2009
    Publication date: November 26, 2009
    Applicant: Frito-Lay North America, Inc.
    Inventors: Wayne Al Gebhardt, Derick Charles Baker, Christopher Carl Eickstadt, Douglas Alan Boozer, Troy Scott
  • Patent number: 7598922
    Abstract: An articulated boom comprises a support arm with a plurality of hingedly-connected joints. The arm is adapted and arranged to carry an antenna reflector so that in use, the reflector can move between a first stowed position in which the reflector is in folded condition and a second deployed position in which the reflector is in deployed condition. A spacecraft incorporates into one or more of its sides a plurality of such articulated booms. The support arms of the booms can be advantageously positioned at the circumference of the associated reflectors when in a stowed position, so as to allow the reflectors to be neatly stacked together within a space defined by the launch vehicle fairing.
    Type: Grant
    Filed: April 1, 2005
    Date of Patent: October 6, 2009
    Assignee: Astrium Limited
    Inventors: Raymond John Brooks, Trevor Charles Baker
  • Patent number: 7585265
    Abstract: Several implementations of a fan folding mechanism for folding flaps of a case into a fan fold arrangement are disclosed and described. In one implementation, the fan folding mechanism comprises four shoes, arranged to allow one shoe to contact a flap on each of four sides of the case. A finger, carried by each of the four shoes is configured for movement between a retracted position and an extended position, such that in the retracted position, each finger is in contact with a leading corner of a different flap of the case and the flaps are in an open position and in the extended position, each finger is in contact with the same leading corner of the same flap, and the flap is in the closed position. Four suction cups, each configured for releasable attachment to a trailing corner of a flap, may inhibit contention between flaps.
    Type: Grant
    Filed: May 15, 2007
    Date of Patent: September 8, 2009
    Assignee: Frito-Lay North America, Inc.
    Inventors: Wayne Al Gebhardt, Derick Charles Baker, Christopher Carl Eickstadt, Douglas Alan Boozer, Troy Scott
  • Patent number: 7574399
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to track actual NAV of an actively managed traded fund.
    Type: Grant
    Filed: October 12, 2007
    Date of Patent: August 11, 2009
    Assignee: NYSE Alternext US LLC
    Inventors: Clifford J. Weber, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Terry Norman
  • Patent number: 7571130
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to track actual NAV of an actively managed traded fund.
    Type: Grant
    Filed: June 17, 2002
    Date of Patent: August 4, 2009
    Assignee: NYSE Alternext US LLC
    Inventors: Clifford Weber, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Terry Norman
  • Patent number: 7526445
    Abstract: A method of determining an estimate of the market value of a traded unit of a financial instrument, and apparatus for carrying out the method, said instrument comprising a fund of individually priced securities and the exact composition of said fund being withheld from the market, said method comprising selecting a plurality of mutually independent risk factors, each risk factor being representative of market behaviour estimated to be significant to the price behaviour of the traded unit, obtaining information from a third party holding information regarding the composition of said fund regarding the actual significance of said risk factors to the value of said traded unit, and calculating a value for said traded unit on the basis of said significances.
    Type: Grant
    Filed: November 20, 2007
    Date of Patent: April 28, 2009
    Assignee: Nyse Alternext US LLC
    Inventors: Jason MacQueen, Gary L. Gastineau, Terry Norman, Clifford J. Weber, Carol Alexander, Charles A. Baker
  • Publication number: 20090043713
    Abstract: The invention provides systems and methods for checking portfolios used to model the behavior of actively managed funds to facilitate intra-day trading of actively managed exchange traded funds (AMETFs) without revealing the fund assets. The invention also provides exchange traded notes based on an underlying actively managed fund without revealing the fund assets.
    Type: Application
    Filed: October 21, 2008
    Publication date: February 12, 2009
    Inventors: Clifford J. Weber, Scott Ebner, Charles A. Baker, Bonnie Arculli
  • Publication number: 20080313100
    Abstract: The invention provides systems and methods for intra-day trading of actively managed exchange traded funds (AMETFs). The invention provides creation and redemption structures for AMETF shares that allow arbitrage, intra-day value estimations for AMETF shares, and hedging portfolios for hedging risks associated with trading AMETF shares, all without requiring disclosure of the specific assets underlying the AMETF.
    Type: Application
    Filed: August 25, 2008
    Publication date: December 18, 2008
    Inventors: Clifford J. Weber, Carol Alexander, Jason Macqueen, Charles A. Baker, Gary L. Gastineau, Terry Norman
  • Publication number: 20080177676
    Abstract: A method of determining an estimate of the market value of a traded unit of a financial instrument, and apparatus for carrying out the method, said instrument comprising a fund of individually priced securities and the exact composition of said fund being withheld from the market, said method comprising selecting a plurality of mutually independent risk factors, each risk factor being representative of market behaviour estimated to be significant to the price behaviour of the traded unit, obtaining information from a third party holding information regarding the composition of said fund regarding the actual significance of said risk factors to the value of said traded unit, and calculating a value for said traded unit on the basis of said significances.
    Type: Application
    Filed: February 25, 2008
    Publication date: July 24, 2008
    Applicant: The American Stock Exchange, LLC.
    Inventors: Clifford J. Weber, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Terry Norman
  • Publication number: 20080110797
    Abstract: Formulated lubricating oils meeting 0W and 5W low temperature CCS and MRV performance specification and exhibiting a Noack volatility of about 15 wt % or less are prepared from a mixture of base stocks/base oils of similar kinematic viscosity grade range produced by different final wax processing routes and omitting or reducing the amount of viscosity modifiers and pour point depressants.
    Type: Application
    Filed: October 12, 2007
    Publication date: May 15, 2008
    Inventors: Kim Fyfe, Charles Baker, James Gleeson, Lisa Yeh
  • Publication number: 20080097618
    Abstract: The invention is a medical implantable device which is coated by the method according to the invention. The surface of the substrate used for the implantable device, in the raw condition, following a cleaning regime and physiochemical pretreatments, is coated using a biomimetic process in a supersaturated calcium phosphate solution (SCPS) to obtain the desired coating coverage and morphology maintaining a ratio of calcium to phosphorus pH, as well as solution temperature plays a major role in yielding precipitation of the proper phase of CaP so that composition, morphologies, crystal structures, and solubility characteristics are optimal for the deposition process. The biomimetic coating adds the attribute of osteoconductivity to the implant device. To maximize bone growth, the implant must also induce bone growth, or possess the attribute of osteoinductivity. This attribute is acquired by the use of therapeutic agents, i.e. bone morphogenic proteins (BMP), growth factors, stem cells, etc.
    Type: Application
    Filed: April 2, 2007
    Publication date: April 24, 2008
    Inventors: Kevin Charles Baker, Jaroslaw Wieslaw Drelich
  • Publication number: 20080091585
    Abstract: A method of determining an estimate of the market value of a traded unit of a financial instrument, and apparatus for carrying out the method, said instrument comprising a fund of individually priced securities and the exact composition of said fund being withheld from the market, said method comprising selecting a plurality of mutually independent risk factors, each risk factor being representative of market behaviour estimated to be significant to the price behaviour of the traded unit, obtaining information from a third party holding information regarding the composition of said fund regarding the actual significance of said risk factors to the value of said traded unit, and calculating a value for said traded unit on the basis of said significances.
    Type: Application
    Filed: November 20, 2007
    Publication date: April 17, 2008
    Inventors: Jason MacQueen, Gary Gastineau, Terry Norman, Clifford Weber, Carol Alexander, Charles Baker
  • Publication number: 20080040258
    Abstract: A system for pricing and/or determining a basket of financial instruments for hedging investment risk in actively managed traded funds is described. The system uses a trusted computer system and includes a computer storage medium storing a computer program product. The product determines a basket of hedging instruments by applying statistical or economic based factor analysis to estimate the NAV or provide a hedging basket to track actual NAV of an actively managed traded fund.
    Type: Application
    Filed: October 12, 2007
    Publication date: February 14, 2008
    Inventors: Clifford WEBER, Carol ALEXANDER, Charles BAKER, Jason MACQUEEN, Gary GASTINEAU, Terry NORMAN
  • Patent number: 7305362
    Abstract: A method of determining an estimate of the market value of a traded unit of a financial instrument, and apparatus for carrying out the method, said instrument comprising a fund of individually priced securities and the exact composition of said fund being withheld from the market, said method comprising selecting a plurality of mutually independent risk factors, each risk factor being representative of market behavior estimated to be significant to the price behavior of the traded unit, obtaining information from a third party holding information regarding the composition of said fund regarding the actual significance of said risk factors to the value of said traded unit, and calculating a value for said traded unit on the basis of said significances.
    Type: Grant
    Filed: April 16, 2002
    Date of Patent: December 4, 2007
    Assignee: American Stock Exchange, LLC
    Inventors: Clifford J. Weber, Carol Alexander, Charles A. Baker, Jason MacQueen, Gary L. Gastineau, Terry Norman