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).
<PAGE>
<TABLE>
<CAPTION>
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)
<S> <C> <C> <C>
</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
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FORM 3 (continued)
<TABLE>
<CAPTION>
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
<S> <C> <C> <C> <C> <C>
</TABLE>
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
<PAGE>
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
