0000938333-15-000005.txt : 20151008
0000938333-15-000005.hdr.sgml : 20151008
20151008213719
ACCESSION NUMBER: 0000938333-15-000005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151006
FILED AS OF DATE: 20151008
DATE AS OF CHANGE: 20151008
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37468
FILM NUMBER: 151151881
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37468
FILM NUMBER: 151151882
MAIL ADDRESS:
STREET 1: PO BOX 5609
CITY: SANTA BARBARA
STATE: CA
ZIP: 93150
4
1
wf-form4_144435462951219.xml
FORM 4
X0306
4
2015-10-06
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
Class B Common Stock
0.0
2015-10-06
4
P
0
242424
16.50
A
Class A Common Stock
242424.0
993627
I
By IGSB Internal Venture Fund III
The shares of Class B Common Stock do not have an expiration date. 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 by the Reporting Person will convert automatically, on a one share-for-one share basis, into shares of Class A Common Stock, except for (i) any transfers to any person that is, and prior to June 30, 2015 was, a member of the Reporting Person, and (ii) any transfer to a "qualified recipient" as defined in the Company's Amended and Restated Certificate of Incorporation.
All of the 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.
These shares of Class B Common Stock are owned by IGSB Internal Venture Fund 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 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 his pecuniary interest he may have therein.
Maurice J. Duca
By: /s/ Kimberly Shea, attorney-in-fact for Maurice J. Duca
2015-10-08
Investment Group of Santa Barbara, LLC, A California limited liability company
By: Timothy K. Bliss, Member & Vice President
By: /s/ Kimberly Shea, attorney-in-fact for Timothy K. Bliss, Member and Vice President
2015-10-08