0000899243-17-024523.txt : 20171019
0000899243-17-024523.hdr.sgml : 20171019
20171019191843
ACCESSION NUMBER: 0000899243-17-024523
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171017
FILED AS OF DATE: 20171019
DATE AS OF CHANGE: 20171019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DUCA MAURICE J
CENTRAL INDEX KEY: 0000938333
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37468
FILM NUMBER: 171145649
MAIL ADDRESS:
STREET 1: PO BOX 5609
CITY: SANTA BARBARA
STATE: CA
ZIP: 93150
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: APPFOLIO INC
CENTRAL INDEX KEY: 0001433195
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372]
IRS NUMBER: 260359894
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-10-17
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
Class A Common Stock
2017-10-17
4
J
0
13072
0.00
A
13072
I
By IGSB IVP III, LLC
Class A Common Stock
400000
I
By Duca Fund 12, LLC
Class A Common Stock
191830
I
By Pension Plan
Pro rata distribution of shares of Class A Common Stock ("Class A Shares") from two limited partnerships with respect to which, from a beneficial ownership standpoint, the reporting person may be deemed, in each case, to be an indirect limited partner. See Note (2) below.
These Class A Shares are owned by IGSB IVP III, LLC, a private investment fund managed by Investment Group of Santa Barbara LLC ("IGSB"). Mr. Duca is one of three members of IGSB and all decisions regarding the voting and disposition of these Shares require the unanimous approval of all three of IGSB's members. As a result, Mr. Duca may be deemed to share voting and dispositive power over these Shares with IGSB and its other two members. However, Mr. Duca disclaims beneficial ownership of these Shares, except to the extent of any pecuniary interest he may have therein.
These Class A Shares are held by a limited liability company, of which the Reporting Person is the sole manager. In that capacity, the Reporting Person possesses sole voting and dispositive power over all of these Shares, but disclaims beneficial ownership over these Shares except to the extent of his pecuniary interest therein.
These Class A Shares are owned by the Pension Plan of which the Reporting Person is the sole trustee. In that capacity he possesses sole voting and investment power over these Class A Shares. However, the Reporting Person does not have and he disclaims any pecuniary interest in these Class A Shares.
Maurice J. Duca, By: /s/ Kimberly Shea, Attorney-in-Fact for Maurice J. Duca
2017-10-19