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