3 1 g74272tme3.txt VFINANCE, INC. /TIMOTHY E. MAHONEY FORM 3 -------- FORM 3 -------- U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ------------------------------------------------------------------------------------------------------------------------------------ |1. Name and Address of Reporting Person* |2. Date of Event Requiring |4. Issuer Name and Ticker or Trading Symbol | | | Statement | | |Mahoney Timothy E. | (Month/Day/Year) | | |------------------------------------------| | vFinance, Inc. (VFIN) | | (Last) (First) (Middle) | 11/8/99 |-----------------------------------------------------------| |c/o vFinance, Inc. | |5. Relationship of Reporting | 6. If Amendment, Date | |3010 North Military Trail, Suite 300 |---------------------------| Person to Issuer | of Original | |------------------------------------------|3. IRS Identification | (Check all applicable) | (Month/Day/Year) | | (Street) | Number of Reporting | | | | | Person, if an Entity |[X] Director [X] 10% Owner | | | | (Voluntary) | | | | | |[X] Officer [ ] Other (specify| | | | | (give below) |-------------------------| | | | title below) | 7. Individual or Joint/ | | | | Chairman and Chief Operating | Group Filing (Check | |Boca Raton Florida 33431 | | Officer | applicable line) | |--------------------------------------------------------------------------------------------------------| | | (City) (State) (Zip) | [X] Form Filed by | | | One Reporting | | | Person | | | [ ] Form Filed by | | | More Than One | | | Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security | 2. Amount of Securities | 3. Ownership Form: | 4. Nature of Indirect | | (Instr. 4) | Beneficially Owned | Direct (D) or | Beneficial | | | (Instr. 4) | Indirect (I) | Ownership (Instr. 4) | | | | (Instr. 5) | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | ----------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one Reporting Person, see Instruction 5(b)(v). (Print or Type Responses) (Over)

FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------------------ | 1. Title of Derivative Security |2. Date |3. Title and Amount of |4. Conver- | 5. Owner- |6. Nature of Indirect| | (Instr. 4) | Exercisable and | Securities Underlying | sion or | ship | Beneficial Owner- | | | Expiration Date | Derivative Securities | Exercise | Form of | ship (Instr. 5) | | | (Month/Day/Year) | (Instr. 4) | Price of | Deriva- | | | | | | Deriva- | tive | | | | | | tive | Security:| | | | | | Security | Direct | | | |--------------------|--------------------------| | (D) or | | | | Date | Expira- | | Amount or | | Indirect | | | | Exercis-| tion | Title | Number of | | (I) | | | | able | Date | | Shares | | (Instr. | | | | | | | | | 5) | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: ------------------------- /s/ Timothy E. Mahoney 2/14/2002 ** Intentional misstatements or omissions of facts constitute Federal Criminal --------------------------------- ---------- Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date Timothy E. Mahoney Note. File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained Page 2 in this form are not required to respond unless the form displays a currently valid OMB Number.