4 1 g75441tme4.htm VFINANCE,INC. - FORM 4 TIMOTHY E MAHONEY e4
 

FORM 4

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549
         
o Check box if no
longer subject to
Section 16. Form 4
or Form 5 obligations
may continue. See
Instruction 1(b). 		  STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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*
 
 
 
 
 
  Mahoney                Timothy                    E. 		  2. Issuer Name and Ticker or Trading Symbol
 
 
 
         vFinance, Inc. (VFIN)
         		  6. Relationship of Reporting Person to Issuer (Check all applicable)
 
  x  Director               x 10% Owner
  x Officer (give      o Other (specify           title below)                 below)
Chairman and Chief Operating
Officer
  (Last)                 (First)                  (Middle)
 
 
 
 
 
                       vFinance, Inc.
3010 North Military Trail, Suite 300 		  3. IRS or Social Security Number of Reporting Person (Voluntary)
  		  4. Statement for Month/Year
 
  March 2002 		  7. Individual or Joint/Group Filing
(Check applicable line)
 
  x  Form filed by one Reporting Person
(Street)
 
 
Boca Raton              Florida              33431		     5. If Amendment,
Date of Original
(Month/Year)
  		o Form filed by more than one Reporting Person
       (City)                        (State)                        (Zip)      
 
Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
 
                   
  1. Title of Security
(Instr. 3) 		  2. Transaction
Date
(Month/Day/
Year) 		  3.  Transaction Code
(Instr. 8) 		  4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 		  5. Amount of
Securities
Beneficially Owned
at End of Month
(Instr. 3 and 4) 		  6. Ownership
Form:
Direct (D)
or
Indirect  (I)
(Instr.  4) 		  7. Nature
of Indirect
Beneficial
Ownership
(Instr.  4)
    Code V Amount (A) or
(D) 		Price      
  Common Stock
 
 		 3/7/02
 		 P   61,403
 		 A
 		 $0.285
 		 1,229,538  D
 
 		  
 
 
Common Stock
 
 		  
 		  
 		    
 		  
 		  
 		  2,175,000
 
 		  I
 
 		  (1)
 
 
 
 		  
 		  
 		  
 		  
 		  
 		  
 		  
 		  
 		  
 
 
 		  
 		  
 		  
 		  
 		  
 		  
 		  
 		  
 		  
 

Reminder:   Report on a separate line for each class of securities beneficially owned directly of indirectly.

* If the form is filed by more than one reporting person, see Instruction 49(b)(v)

(Print or Type Response)

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.

 

FORM 4 (continued)
Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
                             
 1. Title of
Derivative
Security

(Instr. 3)
 2. Conversion
or Exercise
Price of
Derivative
Security 		 3. Transac-
tion Date
(Month/
Day/Year) 		 4. Transac-
tion Code

(Instr. 8) 		 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4,
and 5) 		 6. Date Exercisable
and Expiration
Date
(Month/Day/ Year) 		 7. Title and
Amount of
Underlying
Securities

(Instr. 3 and 4) 		 8. Price of
Derivative
Security

(Instr. 5) 		 9. Number of
Derivative
Securities
Beneficially
Owned at
End of
Month

(Instr. 4) 		 10.  Ownership
Form of
Derivative
Security:
Direct (D)
or
Indirect (I)

(Instr. 4) 		 11. Nature of
Indirect
Beneficial
Ownership

(Instr. 4)
      Code V (A) (D)  Date
Exercis-
able 		Expira-
tion
Date 		Title Amount or
Number of
Shares		        
 
 
 
 
 
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 
 
 
 
 
 
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 
 
 
 
 
 
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 		  
 
 
 
  Explanation of Responses
(1) Held of record by Highlands Group Holdings, Inc., a corporation controlled by Mr. Mahoney.
     
         
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
   /s/  Timothy E. Mahoney   April 8, 2002
   See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).  
 
    *Signature of Reporting Person 
Timothy E. Mahoney		   Date
Note: File three copies of this form, one of which must be manually signed.
 
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.