Sec Form 13G Filing - Neff Thomas B filing for FIBROGEN INC (FGEN) - 2020-02-19

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

Names of Reporting Persons

Estate of Thomas B. Neff⁽¹⁾

Check the Appropriate Box if a Member of a Group (see instructions)

(a)  ☐        (b)  ☐

SEC USE ONLY

Citizenship or Place of Organization

United States

Number of Shares
Beneficially  Owned by

Each
Reporting Person With:

Sole Voting Power

0

Shared Voting Power

0

Sole Dispositive Power

0

Shared Dispositive Power

0

Aggregate Amount Beneficially Owned by Each Reporting Person

0

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (see instructions)  ☐

Percent of Class Represented by Amount in Row 9

0.0%

Type of Reporting Person (see instructions)

IN

In connection with the death of Thomas B. Neff, all shares previously reported were transferred to his wife. As of December 31, 2019, Thomas B. Neff no longer had any interest in FibroGen, Inc. shares, if any, held by Thomas B. Neff Family Partnership and BioGrowth Partners, L.P. Such shares represented less than 5% of the outstanding shares as of December 31, 2019.

Names of Reporting Persons

Thomas B. Neff Family Partnership⁽¹⁾

Check the Appropriate Box if a Member of a Group (see instructions)

(a)  ☐        (b)  ☐

SEC USE ONLY

Citizenship or Place of Organization

USA

Number of Shares
Beneficially  Owned by

Each
Reporting Person With:

Sole Voting Power

0

Shared Voting Power

0

Sole Dispositive Power

0

Shared Dispositive Power

0

Aggregate Amount Beneficially Owned by Each Reporting Person

0

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (see instructions)  ☐

Percent of Class Represented by Amount in Row 9

0.0%

Type of Reporting Person (see instructions)

OO

In connection with the death of Thomas B. Neff, all shares previously reported were transferred to his wife. As of December 31, 2019, Thomas B. Neff no longer had any interest in FibroGen, Inc. shares, if any, held by Thomas B. Neff Family Partnership and BioGrowth Partners, L.P. Such shares represented less than 5% of the outstanding shares as of December 31, 2019.

Names of Reporting Persons

BioGrowth Partners, L.P.⁽¹⁾

Check the Appropriate Box if a Member of a Group (see instructions)

(a)  ☐        (b)  ☐

SEC USE ONLY

Citizenship or Place of Organization

USA

Number of Shares
Beneficially  Owned by

Each
Reporting Person With:

Sole Voting Power

0

Shared Voting Power

0

Sole Dispositive Power

0

Shared Dispositive Power

0

Aggregate Amount Beneficially Owned by Each Reporting Person

0

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (see instructions)  ☐

Percent of Class Represented by Amount in Row 9

0.0%

Type of Reporting Person (see instructions)

OO

In connection with the death of Thomas B. Neff, all shares previously reported were transferred to his wife. As of December 31, 2019, Thomas B. Neff no longer had any interest in FibroGen, Inc. shares, if any, held by Thomas B. Neff Family Partnership and BioGrowth Partners, L.P. Such shares represented less than 5% of the outstanding shares as of December 31, 2019.

Name of Issuer: FibroGen, Inc.

Address of Issuer’s Principal Executive Offices: 409 Illinois St., San Francisco, CA 94158

Name of Person Filing:

Address of Principal Business Office or, if none, Residence: The address and principal business office of the Reporting Person is:

Citizenship:

US Citizen

California

Delaware

Title of Class of Securities: Common Stock

CUSIP Number: 31572Q808

If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the per son filing is a:

☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);

☐ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);

☐ Insurance company as defined in section 3(a)19) of the Act (15 U.S.C. 78c);

☐ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

☐ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

☐ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

☐ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

☐ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

☐ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

☐ A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);

☐ Group, in accordance with §240.13d–1(b)(1)(ii)(K).

Ownership

Amount Beneficially Owned:

Percent of Class:

Number of shares as to which the person has:

Sole power to vote or to direct the vote:

Shared power to vote or to direct the vote:

Sole power to dispose or to direct the disposition of:

Shared power to dispose or to direct the disposition of:

In connection with the death of Thomas B. Neff, all shares previously reported were transferred to his wife. As of December 31, 2019, Thomas B. Neff no longer had any interest in FibroGen, Inc. shares, if any, held by Thomas B. Neff Family Partnership and BioGrowth Partners, L.P. Such shares represented less than 5% of the outstanding shares as of December 31, 2019.

Ownership of 5 Percent or Less of a Class

Ownership of More than 5 Percent on Behalf of Another Person

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Identification and Classification of Members of the Group

Notice of Dissolution of a Group

Certification