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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-21853
NORTHERN LIGHTS VARIABLE TRUST
(Exact name of registrant as specified in charter)
225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246
(Address of principal executive offices) (Zip code)
Stephanie Shearer
Gemini Fund Services, LLC
80 Arkay Drive
Hauppauge, New York 11788
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 490-2300
Date of fiscal year end: December 31st
Date of reporting period: July 1, 2020 - June 30, 2021
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of
1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD: (see attached table)
Appended hereto as Exhibit A is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2013 with respect to which the Registrant was entitled to vote:
(a) The name of the issuer of the portfolio security;
(b) The exchange ticker symbol of the portfolio security;
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d) The shareholder meeting date;
(e) A brief identification of the matter voted on;
(f) Whether the matter was proposed by the issuer or by a security holder;
(g) Whether the Registrant cast its vote on the matter;
(h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i) Whether the Registrant cast its vote for or against management.
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - BTS TACTICAL FIXED INCOME VIT FUND | | | | Item 1, Exhibit 2 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | | | | | | | | | | |
| 2 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| 3 | | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - PROBABILITIES VIT FUND | | | | | | Item 1, Exhibit 6 |
| Investment Company Act file number: 811-21853 | | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | | | | | | | | | | |
| 2 | There were no proxy votes to report during the Reporting Period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS AGGRESSIVE GROWTH ETF PORTFOLIO | | | | Item 1, Exhibit 7 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS BALANCED ETF PORTFOLIO | | | | Item 1, Exhibit 8 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS GROWTH ETF PORTFOLIO | | | | Item 1, Exhibit 9 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS CONSERVATIVE ETF PORTFOLIO | | | | Item 1, Exhibit 10 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS MANAGED RISK BALANCED ETF PORTFOLIO | | | | Item 1, Exhibit 11 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS MANAGED RISK FLEX ETF PORTFOLIO | | | | Item 1, Exhibit 12 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS MANAGED RISK GROWTH ETF PORTFOLIO | | | | Item 1, Exhibit 13 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS MANAGED RISK MODERATE GROWTH ETF PORTFOLIO | | | | Item 1, Exhibit 14 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - TOPS MODERATE GROWTH ETF PORTFOLIO | | | | Item 1, Exhibit 15 |
| Investment Company Act file number: 811-21853 | | | | | | | |
| Reporting Period: July 1, 2020 through June 30, 2021 | | | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| 1 | There were no Proxies voted during the reporting period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS VARIABLE TRUST - 7TWELVE BALANCED PORTFOLIO | | | | Item 1, Exhibit 16 | |
| Investment Company Act file number: 811-21853 | | | | | | | |
| | | | | | | | | | |
| | | | | | | | | | |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| | Wisdom Tree Cont Comm Ind | GCC | 97718W108 | 10/15/2020 resched to 11/24/20 | Reorg | MGMT | Mirror Voted | Y | FOR |
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) NORTHERN LIGHTS VARIABLE TRUST
By (Signature and Title)* /s/ Kevin Wolf
Kevin Wolf, President
Date: August 13, 2021
* Print the name and title of each signing officer under his or her signature.
