IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF TEXAS TYLER DIVISION ALPHA FINANCIAL TECHNOLOGIES,

LLC Plaintiff, v. MOUNT LUCAS MANAGEMENT, LP Defendant. COMPLAINT AND JURY DEMAND Plaintiff Alpha Financial Technologies, LLC files this Complaint for infringement of U.S. Patent Nos. 6,856,971, 7,848,985 and 7,860,779 (hereinafter the AFT Patents), copies of which are attached hereto as Exhibits A, B and C, respectfully, under 35 U.S.C. 271, and in support thereof would respectfully show the Court the following. The Parties 1. Plaintiff Alpha Financial Technologies, LLC (hereinafter AFT) is a limited

Civil Action No. ____________ Jury Trial Demanded

liability company organized under the laws of the State of Nevada, having a principal place of business at 1139 South Main Street, Grapevine, Texas 76051. 2. Defendant Mount Lucas Management, LP (hereinafter MLM) is a limited

partnership organized under the laws of the State of Delaware, with a principal place of business at 405 South State Street, Newtown, Pennsylvania 18940. On information and belief, as set forth in Paragraph 4 below, MLM has committed and continues to commit, tortious acts of patent infringement of the AFT Patents within and outside of Texas and within the Eastern District of Texas.

Jurisdiction and Venue 3. This is an action for patent infringement arising under the patent laws of the

United States, 35 U.S.C. 271 et seq., specifically 271 and 281-285. This Court has exclusive subject matter jurisdiction over this case for patent infringement under 28 U.S.C. 1331 and 1338(a). 4. This Court has personal jurisdiction over MLM. MLM has conducted and does

conduct business within the State of Texas. On information and belief, MLM, directly or through subsidiaries, business units or intermediaries, offers for sale, uses, distributes, sells, advertises, and markets its MLM Index Fund (U.S. Securities and Exchange Commission Central Index Key: 0001075058) (the MLM Index Fund), and each of its series, including specifically the Leveraged Series (I.R.S. Employer Identification Number: 22-3722683) (the Leveraged Series), in the United States, the State of Texas, and the Eastern District of Texas. On information and belief, MLM has voluntarily sold the infringing MLM Index Fund, including specifically the Leveraged Series, in this District, directly to customers in this District or through intermediaries, with the expectation that the infringing products will be used and sold to customers in this District. On information and belief, these infringing products have been and continue to be purchased by consumers in the Eastern District of Texas. On information and belief, MLM has committed acts of infringement within the State of Texas and, more particularly, within the Eastern District of Texas. 5. and 1400(b). COUNT I Patent Infringement 6. AFT refers to and incorporates herein the allegations of Paragraphs 1-5 above. 2 Venue is proper in the Eastern District of Texas under 28 U.S.C. 1391(b), (c)

7.

United States Patent No. 6,856,971 (the 971 Patent), entitled Unitary

Investment Having Interrelated Assets was duly and legally issued by the United States Patent and Trademark Office on February 15, 2005. The 971 Patent relates to, among other things, a unitary investment instrument. AFT is the assignee of all rights, title, and interest in and to the 971 Patent and possesses all rights of recovery under the 971 Patent. 8. United States Patent No. 7,848,985 (the 985 Patent), entitled Multi-Asset

Participation Structured Note and Swap Combination was duly and legally issued by the United States Patent and Trademark Office on December 7, 2010. The 985 Patent relates to, among other things, a computerized investment product. AFT is the assignee of all rights, title, and interest in and to the 985 Patent and possesses all rights of recovery under the 985 Patent. 9. United States Patent No. 7,860,779 (the 779 Patent), entitled Unitary

Investment Having Interrelated Assets was duly and legally issued by the United States Patent and Trademark Office on December 28, 2010. The 779 Patent relates to, among other things, a computer implemented investment system. AFT is the assignee of all rights, title, and interest in and to the 779 Patent and possesses all rights of recovery under the 779 Patent. 10. 287. 11. Upon information and belief, MLM is infringing the AFT Patents under 35 U.S.C. AFT has complied with applicable statutory provisions, including 35 U.S.C.

271 by performing, without authority, one or more of the following acts: (a) making, using, offering for sale, and selling within the United States and this District its MLM Index Fund, including specifically the Leveraged Series, that practices the inventions of the AFT Patents; (b) contributing to the infringement of the AFT Patents by others in the United States and this

District; and/or (c) inducing others to infringe the AFT Patents within the United States and this District. 12. On information and belief, the infringement by MLM has been deliberate, willful

and wanton and with full knowledge of the AFT Patents. 13. MLMs infringement of the AFT Patents has caused injury to AFT and will

continue to cause irreparable injury to AFT until MLM is enjoined by this Court from infringing the AFT Patents. Prayer for Relief WHEREFORE, AFT respectfully prays for the following relief: A. A judgment that MLM has directly infringed the AFT Patents, contributorily

infringed the AFT Patents and induced infringement of the AFT Patents; B. An injunction preventing MLM and its officers, directors, agents, servants,

employees, attorneys, licensees, successors and assigns, and those in active concert or participation with any of them, from directly infringing, contributorily infringing, and inducing the infringement of the AFT Patents; C. A judgment and order requiring MLM to pay AFT damages under 35 U.S.C.

284, including supplemental damages for any continuing post-verdict infringement up until entry of the final judgment, with an accounting, as needed, and treble damages for willful infringement as provided under 35 U.S.C. 284; D. A judgment and order requiring MLM to pay AFT pre-judgment and post-

judgment interest on the damages awarded; E. A judgment and order requiring MLM to pay AFT the costs of this action

(including all disbursements) and attorneys fees as provided by 35 U.S.C. 285; and

F.

Such other and further relief as the Court deems just and equitable. Jury Demand

AFT hereby demands a trial by jury pursuant to Rule 38 of the Federal Rules of Civil Procedure on any and all issues so triable. Dated: May 1, 2012 Respectfully submitted, SIDLEY AUSTIN LLP /s/ Charles S. Cotropia Texas Bar No. 04858600 ccotropia@sidley.com Steve Malin Texas Bar No. 12859750 SIDLEY AUSTIN LLP 717 North Harwood, Suite 3400 Dallas, Texas 75201 (214) 981-3300 (214) 981-3400 Fax ATTORNEYS FOR PLAINTIFF ALPHA FINANCIAL TECHNOLOGIES, LLC

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