Securities_Offerings Securities Offerings

9/18/13 N.Y. St. Reg. Securities Offerings

NEW YORK STATE REGISTER

VOLUME XXXV, ISSUE 38

September 18, 2013

SECURITIES OFFERINGS

STATE NOTICES

 

Published pursuant to provisions of General Business Law [Art. 23-A, § 359-e(2)]

DEALERS; BROKERS

Asterias Biotherapeutis, Inc.230 Constitution Dr., Menlo Park, CA 94025State or country in which incorporated — DelawareCaltius Equity Partners Executive III, LP11766 Wilshire Blvd., Suite 850, Los Angeles, CA 90025Partnership — Caltius GPE III, LPEast Fayette Group, LLC1221 E. Genesee St., Suite 2, Syracuse, NY 13210State or country in which incorporated — New YorkFalconwood Fund, LP1120 Avenue of the Americas, 4th Fl., New York, NY 10036Partnership — Falconwood Advisors, LLCFL3UR, Inc.130 W. 25th St., Suite 2B, New York, NY 10001State or country in which incorporated — DelawareFrontfour Capital Partners LP35 Mason St., 4th Fl., Greenwich, CT 06830Partnership — Frontfour GP, LLCHappy Bancshares, Inc.701 S. Taylor St., Amarillo, TX 79101State or country in which incorporated — TexasHarbour Retail Partners Real Estate Fund I, L.P.35 Johnson Ferry Rd., Marietta, GA 30068Partnership — Harbour Retail Partners Real Estate Fund GP I, LLCHot Mama’s Foods, Inc.134 Avocado St., Springfield, MA 01104State or country in which incorporated — DelawareMordechai Yavneh1350 Ocean Pkwy., #6A, Brooklyn, NY 11230Navgen Capital Fund I, LLC35 Journal Sq., Suite 1101, Jersey City, NJ 07306Partnership — Vincent Ho, ManagerPFE Holdings, LLCTwo Greenwich Office Park, Greenwich, CT 06831State or country in which incorporated — Delaware limited liability companyPFM Diversified Opportunities Fund, L.P.Four Embarcadero Center, Suite 3500, San Francisco, CA 94111Partnership — Partner Asset Management DVO GP, LLC, general partnerPFM Healthcare Opportunities Fund, L.P.Four Embarcadero Center, Suite 3500, San Francisco, CA 94111Partnership — Partner Asset Management HCO GP, LLC, general partnerSBH Investments, LLC351 W. Hubbard St., Suite 312, Chicago, IL 60654TBF North Farms, LLC09548 County Rd. 215, Grand Junction, MI 49056State or country in which incorporated — MichiganTensile Capital Partners LPTwo Embarcadero Center, Suite 1660, San Francisco, CA 94111Partnership — Tensile Capital GP LLC