EXHIBIT 5
AGREEMENT RELATIVE TO THE
FILING OF SCHEDULE 13D
This AGREEMENT RELATIVE TO THE FILING OF SCHEDULE 13D (this "Agreement"),
dated as of the 21st day of April, 2003, is hereby made and entered into by and
among Antares Capital Fund III Limited Partnership, a Delaware limited
partnership (the "LP"), Antares Capital Partners III, L.L.C., a Florida limited
liability company (the "LLC"), Xxxxxxxx X. Xxxxxx, an individual and Class A
Member of the LLC ("Kislak"), and Xxxxxxx X. Xxxxxxx, an individual and Class A
Member of the LLC ("Xxxxxxx"). The LP, the LLC, Kislak and Xxxxxxx are each
individually referred to throughout this Agreement as a "Party" and collectively
as the "Parties."
WITNESSETH:
WHEREAS, each of the Parties are persons required, pursuant to Rule 13d-1
under the Securities Exchange Act of 1934, as amended, to file a statement of
beneficial ownership containing the information required by Schedule 13D
thereunder with respect to the following issuer:
Summit Brokerage Services, Inc.
Cusip No. 86601N-10-1
WHEREAS, the Parties are each individually eligible to use Schedule
13D; and
WHEREAS, each of the Parties is responsible for the timely filing of
said Schedule 13D and any amendments thereto, and for the completeness and
accuracy of the information concerning itself, but not of the information
concerning any other Party, unless it knows or has reason to believe that the
information concerning any other Party is inaccurate; and
WHEREAS, a Schedule 13D has been prepared (the "Schedule") identifying
all the Parties and containing the required information with regard to each
Party, indicating that such statement is filed on behalf of each of the Parties,
and including, as an exhibit thereto, this Agreement; and
WHEREAS, each of the Parties desires to file the Schedule on behalf of
each of them.
NOW, THEREFORE, in consideration of the foregoing premises and the
mutual agreements and covenants set forth herein, the Parties agree that the
Schedule shall be: (i) executed by Kislak in his individual capacity, and on
behalf of the LP by Kislak acting as a Class A Member of the LLC which shall in
turn be acting as the sole general partner of the LP, and on behalf of the LLC
by Kislak as a Class A Member thereof, and by Xxxxxxx in his individual
capacity; and (ii) filed with the appropriate persons, agencies and exchanges,
on behalf of each of the Parties.
[SIGNATURES LOCATED ON THE NEXT PAGE.]
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of
the day, month and year first above written.
Antares Capital Fund III Limited Partnership
By: Antares Capital Partners III, L.L.C.,
its General Partner
By: /s/ Xxxxxxxx X. Xxxxxx
-----------------------------------------
(Signature)
Xxxxxxxx X. Xxxxxx, Class A Member
-----------------------------------
(Name and Title)
Antares Capital Partners III, L.L.C.
By: /s/ Xxxxxxxx X. Xxxxxx
-----------------------------------------
(Signature)
Xxxxxxxx X. Xxxxxx, Class A Member
-----------------------------------
(Name and Title)
/s/ Xxxxxxxx X. Xxxxxx
--------------------------------------------
(Signature)
Xxxxxxxx X. Xxxxxx, individually
--------------------------------------------
(Name and Title)
/s/ Xxxxxxx X. Xxxxxxx
--------------------------------------------
(Signature)
Xxxxxxx X. Xxxxxxx, individually
--------------------------------------------
(Name and Title)
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