UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
| Northern Lights Fund Trust III |
| (Exact name of registrant as specified in its charter) |
| Delaware | See Below |
| (State of incorporation or organization) | (I.R.S. Employer Identification No.) |
| 225 Pictoria Drive, Suite 450, Cincinnati, OH | 45246 |
| (Address of Principal Executive Offices) | (Zip Code) |
Securities to be registered pursuant to Section 12(b) of the Act:
Title of each class to be so registered | Name of the exchange on which each class is to be registered |
| Shares of beneficial interest, no par value per share | NYSE Arca, Inc. |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box.☒
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box.☐
Securities Act registration statement file number to which this form relates: 333-204808.
Securities to be registered pursuant to Section 12(g) of the Act:Not applicable
INFORMATION REQUIRED IN REGISTRATION STATEMENT
ITEM 1.
DESCRIPTION OF REGISTRANT’S SECURITIES TO BE REGISTERED.
A description of the shares of beneficial interest, no par value, of the HCM Defender 100 Index ETF and HCM Defender 500 Index ETF each a series of Northern Lights Fund Trust III (the "Trust") to be registered hereunder are set forth in the Registrant’s Registration Statement on Form N-1A, as amended (File Nos. 333-178833; 811-22655) as filed with the Securities and Exchange Commission, which description is incorporated herein by reference.
The series of the Trust to which this filing relates and each’s I.R.S. Employer Identification Number are as follows:
| Series Name | EIN |
| HCM Defender 100 Index ETF | 84-2819772 |
| HCM Defender 500 Index ETF | 84-2819876 |
ITEM 2.
| EXHIBITS. |
| 1. | The Trust's Amended Agreement and Declaration of Trust is included as exhibit (a)(i) to the Trust’s Registration Statement on Form N-1A (File Nos. 333-178833; 811-22655), as filed with the Securities and Exchange Commission on June 7, 2019. |
| 2. | The Trust's By-Laws are included as Exhibit (b) to the Trust’s Registration Statement on Form N-1A (File Nos. 333-178833; 811-22655), as filed with the Securities and Exchange Commission on August 19, 2013. |
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereto duly authorized.
Date: October 2, 2019
NORTHERN LIGHTS FUND TRUST III
By:_/s/ Eric Kane
Name: Eric Kane
Title: Secretary