0000899243-15-000542.txt : 20150706 0000899243-15-000542.hdr.sgml : 20150703 20150706183731 ACCESSION NUMBER: 0000899243-15-000542 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150625 FILED AS OF DATE: 20150706 DATE AS OF CHANGE: 20150706 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPFOLIO INC CENTRAL INDEX KEY: 0001433195 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 50 CASTILIAN DRIVE CITY: GOLETA STATE: CA ZIP: 93117 BUSINESS PHONE: 8053646093 MAIL ADDRESS: STREET 1: 50 CASTILIAN DRIVE CITY: GOLETA STATE: CA ZIP: 93117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Investment Group of Santa Barbara, LLC CENTRAL INDEX KEY: 0001645662 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37468 FILM NUMBER: 15974663 BUSINESS ADDRESS: STREET 1: 1485 EAST VALLEY ROAD, SUITE H CITY: SANTA BARBARA STATE: CA ZIP: 93108 BUSINESS PHONE: 805-690-6116 MAIL ADDRESS: STREET 1: P.O. BOX 5609 CITY: SANTA BARBARA STATE: CA ZIP: 93150 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DUCA MAURICE J CENTRAL INDEX KEY: 0000938333 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-37468 FILM NUMBER: 15974664 MAIL ADDRESS: STREET 1: PO BOX 5609 CITY: SANTA BARBARA STATE: CA ZIP: 93150 4/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2015-06-25 2015-06-29 0 0001433195 APPFOLIO INC APPF 0000938333 DUCA MAURICE J C/O IGSB, INC. 1485 E VALLEY ROAD, SUITE H SANTA BARBARA CA 93108 0 0 1 0 0001645662 Investment Group of Santa Barbara, LLC C/O IGSB, INC. 1485 E VALLEY ROAD, SUITE H SANTA BARBARA CA 93108 0 0 1 0 Series B-3 Convertible Preferred Stock 2015-06-25 4 C 0 50088 0.00 D Class B Common Stock 12522 0 I By Dragoneer Global Fund LP Class B Common Stock 2015-06-25 4 C 0 12522 0.00 A Class A Common Stock 12522 12522 I By Dragoneer Global Fund LP Series B-3 Convertible Preferred Stock 2015-06-25 4 C 0 22772 0.00 D Class B Common Stock 5693 0 I By Dragoneer Opportunities Fund LP Class B Common Stock 2015-06-25 4 C 0 5693 0.00 A Class A Common Stock 5693 5693 I By Dragoneer Opportunities Fund LP Each share of Convertible Preferred Stock, irrespective of its Series, automatically converted into 0.25 of a share of Class B Common Stock prior to the consummation of the initial public offering (the "IPO") of AppFolio, Inc. (the "Company"). The Class B Common Stock has not been registered, and it is not expected that the Class B Common Stock will be registered in the future, under the Securities Exchange Act of 1934, as amended. Each share of Class B Common Stock is convertible, at any time at the option of the holder, into one share of Class A Common Stock. In addition, shares of Class B Common Stock that are transferred after the consummation of the Company's IPO will convert automatically, on a one share-for-one share basis, into shares of Class A Common Stock, except for (i) any transfers, by a partnership or limited liability company that was a registered holder of shares of Class B Common Stock prior to the consummation of the IPO, made to anyone who was a partner or member of any such partnership or limited liability company prior to the consummation of the IPO, and (ii) any transfer to a "qualified recipient" as defined in the Company's amended and restated certificate of incorporation. All outstanding shares of Class B Common Stock will convert automatically into shares of Class A Common Stock, on a one share-for-one share basis, on the date when the number of the Company's outstanding shares of Class B Common Stock represents less than 10% of the sum of its outstanding shares of Class A Common Stock and Class B Common Stock. Mr. Duca does not possess or share voting or dispositive power over any of these Shares and disclaims beneficial ownership of all of these Shares, except to the extent of his pecuniary interest therein. Mr. Duca does not possess or share voting or dispositive power over any of these Shares and disclaims beneficial ownership of all of these Shares, except to the extent of his pecuniary interest therein. Form 2 of 2. Investment Group of Santa Barbara, LLC, By: /s/ Kimberly Shea, attorney-in-fact for Timothhy K. Bliss, Member and Vice President 2015-07-06 /s/ Kimberly Shea, attorney-in-fact for Maurice J. Duca 2015-07-06