-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, H/85CwzpCwxJTkbPqEFIFrJJzp5FervUHWAS29xX6X9Q7cHFt0x1UcfnInBl4op8 oUX6hk6bMQp5ovm3DshZAw== 0000903423-99-000422.txt : 19991101 0000903423-99-000422.hdr.sgml : 19991101 ACCESSION NUMBER: 0000903423-99-000422 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991021 FILED AS OF DATE: 19991029 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CADE INDUSTRIES INC CENTRAL INDEX KEY: 0000356211 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] IRS NUMBER: 391371038 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-12808 FILM NUMBER: 99737681 BUSINESS ADDRESS: STREET 1: 2365 WOODLAKE DRIVE STREET 2: SUITE 120 CITY: OKEMOS STATE: MI ZIP: 48864 BUSINESS PHONE: 5173471333 MAIL ADDRESS: STREET 1: 2365 WOODLAKE DRIVE STREET 2: SUITE 120 CITY: OKEMOS STATE: MI ZIP: 48864 COMPANY DATA: COMPANY CONFORMED NAME: UNITED TECHNOLOGIES CORP /DE/ CENTRAL INDEX KEY: 0000101829 STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT ENGINES & ENGINE PARTS [3724] OWNER IRS NUMBER: 060570975 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: UNITED TECHNOLOGIES BLDG STREET 2: ONE FINANCIAL PLZ CITY: HARTFORD STATE: CT ZIP: 06101 BUSINESS PHONE: 2037287000 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES MICROELECTRONICS CENTER DATE OF NAME CHANGE: 19850825 FORMER COMPANY: FORMER CONFORMED NAME: UNITED TECHNOLOGIES CORP DATE OF NAME CHANGE: 19841205 3 1 FORM 3 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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* Sphere Corporation United Technologies Building One Financial Plaza Hartford, Connecticut 06101 2. Date of Event Requiring Statement (Month/Day/Year) 10/21/99 3. IRS or Social Security Number of Reporting Person, if an Entity (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Cade Industries, Inc. (CADE) 5. Relationship of Reporting Person to Issuer (Check all applicable) |_| Director |X| 10% Owner |_| Officer (give title below) |_| Other (specify below) 6. If Amendment, Date of Original(Month/Day/Year) 7. Individual or Joint/Group Filing (Check applicable line) |_| Form filed by One Reporting Person |X| Form filed by More than One Reporting Person * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v).
Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (D) or Indirect (Instr. 5) (I) (Instr. 5) Common Stock, par value $.001 per share 6,088,723 D(1)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) FORM 3 (continued)
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of 2. Date Exercisable and 3. Title and Amount 4. Conversion or 5. Ownership Form of 6. Nature of Derivative Expiration Date of Securities Exercise Derivative Indirect Security (Month/Day/Year) Underlying Derivative Price of Security: Direct Beneficial (Instr. 4) Security (Instr. 4) Derivative (D) or Indirect (I) Ownership Security (Instr. 5) (Instr. 5) Date Expiration Amount or Exercisable Date Title Number of Shares
Explanation of Responses: (1) These securities are owned solely by Sphere Corporation, which is a member of a group with United Technologies Corporation for the purpose of Section 13(d) of the Exchange Act. ** 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 SPHERE CORPORATION By: /s/ Ari Bousbib --------------- Name: Ari Bousbib Title: President and Director Date: October 29, 1999 Joint Filer Information ----------------------- Name: United Technologies Corporation Address: United Technologies Building One Financial Plaza Hartford, Connecticut 06101 Designated Filer: Sphere Corporation Issuer and Ticker Symbol: Cade Industries, Inc. (CADE) Date of Event Requiring Statement: 10/21/99 Signature: UNITED TECHNOLOGIES CORPORATION By: /s/ Jay L. Haberland ------------------------------- Name: Jay L. Haberland Title: Vice President, Controller Date: October 29, 1999
-----END PRIVACY-ENHANCED MESSAGE-----