0000899243-21-017202.txt : 20210428 0000899243-21-017202.hdr.sgml : 20210428 20210428174459 ACCESSION NUMBER: 0000899243-21-017202 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210426 FILED AS OF DATE: 20210428 DATE AS OF CHANGE: 20210428 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: 21865910 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 2021-04-26 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 2021-04-26 4 S 0 17200 147.40 D 78397 D Class A Common Stock 194037 I By Pension Trust Class A Common Stock 13072 I By IGSB IVP III, LLC Class A Common Stock 9805 I By IGSB Cardinal Core BV, LLC Class A Common Stock 8478 I By Private Foundation These Class A Shares were sold on behalf of the Reporting Person pursuant to a 10(b)5-1 Plan previously adopted by the Reporting Person. The Reporting Person is sole trustee of the pension trust and, in that capacity, possesses sole voting and sole dispositive power over these Class A Shares; however, the Reporting Person does not have and disclaims any pecuniary interest in these Class A Shares. These Class A Shares are owned by IGSB IVP III, LLC, a private investment fund managed by the Investment Group of Santa Barbara LLC ("IGSB"). The Reporting Person is one of the members of IGSB and all decisions regarding the voting and disposition of these Shares require the approval of all of those members. As a result, the Reporting Person may be deemed to share voting and dispositive power over these Shares with IGSB and its other members. However, the Reporting Person disclaims beneficial ownership over these Shares, except to the extent of any pecuniary interest he may have therein. The Reporting Person is the managing member of IGSB Cardinal Core BV, LLC and, in that capacity, possesses sole voting and sole dispositive power over these Class A Shares. However, he disclaims beneficial ownership in these Class A Shares, except to the extent of any pecuniary interest he may have therein. These Class A Shares are owned by a private foundation, of which the Reporting Person is the president and one of five-members of its board of directors. The Reporting Person does not have any pecuniary interest in these Class A Shares. He also disclaims beneficial ownership of these Shares because decisions with respect to the voting and disposition of these Class A Shares are subject to the oversight of, and the approval of not less than three of, the foundation's five member board of directors. Maurice J. Duca, By: /s/ Kimberly Shea, Attorney-in-Fact for Maurice J. Duca 2021-04-28