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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- 23066
Northern Lights Fund Trust IV
________________________________________________________________________
(Exact name of registrant as specified in charter)
225 Pictoria Drive, Suite 450
Cincinnati, OH 45246
________________________________________________________________________
(Address of principal executive offices) (Zip code)
The Corporation Trust Company
1209 Orange Street
Wilmington, DE 19801
________________________________________________________________________
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 470-2600
Date of fiscal year end: May 31
Date of reporting period: July 1, 2023 - March 1, 2024
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibit 1 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 period ended March 1, 2024 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: Northing Lights Fund Trust IV - Sterling Capital Diverse Multi-Manager Active ETF | Item 1, Exhibit 1 | |||||||
Investment Company Act file number: 811-23066 | ||||||||
Reporting Period: July 1, 2023 through March 1, 2024 | ||||||||
IssuerName | Ticker | Cusip | Meeting Date | Matter Identification | Proposal Type | Voted (Y/N) | Fund Vote | For/Against Management |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 1 Elect Jaime Ardila | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 2 Elect Martin Brudermüller | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 3 Elect Alan Jope | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 4 Elect Nancy McKinstry | Mgmt | Y | Against | Against |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 5 Elect Beth E. Mooney | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 6 Elect Gilles Pélisson | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 7 Elect Paula A. Price | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 8 Elect Venkata Renduchintala | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 9 Elect Arun Sarin | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 10 Elect Julie Sweet | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 11 Elect Tracey T. Travis | Mgmt | Y | Against | Against |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 12 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 13 Amendment to the 2010 Share Incentive Plan | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 14 Amendment to the 2010 Employee Stock Purchase Plan | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 15 Appointment of Auditor and Authority to Set Fees | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 16 Authority to Issue Shares | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 17 Authority to Issue Shares w/o Preemptive Rights | Mgmt | Y | For | For |
Accenture plc | ACN | G1151C101 | 1/31/2024 | 18 Authorize the Price Range at which the Company can Re-allot Treasury Shares | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.1 Elect Anthony M. Jabbour | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.2 Elect Catherine L. Burke | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.3 Elect David K. Hunt | Mgmt | Y | Withhold | Against |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.4 Elect Joseph M. Otting | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.5 Elect Ganesh B. Rao | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.6 Elect John D. Rood | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 1.7 Elect Nancy L. Shanik | Mgmt | Y | For | For |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 2 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
Black Knight, Inc. | BKI | 09215C105 | 7/12/2023 | 3 Ratification of Auditor | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 1 Elect Leslie A. Brun | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 2 Elect Pamela L. Carter | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 3 Elect Richard J. Daly | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 4 Elect Robert N. Duelks | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 5 Elect Melvin L. Flowers | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 6 Elect Timothy C. Gokey | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 7 Elect Brett A. Keller | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 8 Elect Maura A. Markus | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 9 Elect Eileen K. Murray | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 10 Elect Annette L. Nazareth | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 11 Elect Amit K. Zavery | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 12 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 13 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Broadridge Financial Solutions, Inc. | BR | 11133T103 | 11/9/2023 | 14 Ratification of Auditor | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 1 Elect Michael J. Barber | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 2 Elect Steven K. Barg | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 3 Elect J. Martin Carroll | Mgmt | Y | Against | Against |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 4 Elect Rolf A. Classon | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 5 Elect Frank A. D'Amelio | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 6 Elect John J. Greisch | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 7 Elect Gregory T. Lucier | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 8 Elect Alessandro Maselli | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 9 Elect Donald E. Morel, Jr. | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 10 Elect Stephanie S. Okey | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 11 Elect Michelle R. Ryan | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 12 Elect Jack L. Stahl | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 13 Ratification of Auditor | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 14 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Catalent Inc. | CTLT | 148806102 | 1/25/2024 | 15 Amendment to the 2018 Omnibus Incentive Plan | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 1 Elect Anil Arora | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 2 Elect Thomas K. Brown | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 3 Elect Emanuel Chirico | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 4 Elect Sean M. Connolly | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 5 Elect George Dowdie | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 6 Elect Fransisco Fraga | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 7 Elect Fran Horowitz | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 8 Elect Richard H. Lenny | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 9 Elect Melissa B. Lora | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 10 Elect Ruth Ann Marshall | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 11 Elect Denise A. Paulonis | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 12 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 13 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 14 Approval of the 2023 Stock Plan | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 15 Ratification of Auditor | Mgmt | Y | For | For |
Conagra Brands, Inc. | CAG | 205887102 | 9/14/2023 | 16 Shareholder Proposal Regarding Right to Call Special Meeting | ShrHoldr | Y | For | Against |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 1 Elect Donald R. Horton | Mgmt | Y | Against | Against |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 2 Elect Barbara K. Allen | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 3 Elect Brad S. Anderson | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 4 Elect David V. Auld | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 5 Elect Michael R. Buchanan | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 6 Elect Benjamin S. Carson, Sr. | Mgmt | Y | Against | Against |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 7 Elect Maribess L. Miller | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 8 Elect Paul J. Romanowski | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 9 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 10 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 11 Approval of the 2024 Stock Incentive Plan | Mgmt | Y | For | For |
D.R. Horton Inc. | DHI | 23331A109 | 1/17/2024 | 12 Ratification of Auditor | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.1 Elect Margaret Shan Atkins | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.2 Elect Ricardo Cardenas | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.3 Elect Juliana L. Chugg | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.4 Elect James P. Fogarty | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.5 Elect Cynthia T. Jamison | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.6 Elect Nana Mensah | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.7 Elect William S. Simon | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.8 Elect Charles M. Sonsteby | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 1.9 Elect Timothy J. Wilmott | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 2 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 3 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 4 Ratification of Auditor | Mgmt | Y | For | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 5 Shareholder Proposal Regarding GHG Targets and Alignment with the Paris Agreement | ShrHoldr | Y | Against | For |
Darden Restaurants, Inc. | DRI | 237194105 | 9/20/2023 | 6 Shareholder Proposal Regarding Report On Risks From State Policies Restricting Reproductive Health Care | ShrHoldr | Y | Against | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 1 Elect Mark A. Blinn | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 2 Elect Leticia Gonçalves Lourenco | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 3 Elect James M. McKelvey | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 4 Elect James S. Turley | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 5 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 6 Repeal of Classified Board | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 7 Approval of the 2024 Equity Incentive Plan | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 8 Ratification of Auditor | Mgmt | Y | For | For |
Emerson Electric Co. | EMR | 291011104 | 2/6/2024 | 9 Shareholder Proposal Regarding Simple Majority Vote | ShrHoldr | Y | For | Against |
Houlihan Lokey, Inc. | HLI | 441593100 | 9/20/2023 | 1 Elect Irwin N. Gold | Mgmt | Y | For | For |
Houlihan Lokey, Inc. | HLI | 441593100 | 9/20/2023 | 2 Elect Cyrus D. Walker | Mgmt | Y | Withhold | Against |
Houlihan Lokey, Inc. | HLI | 441593100 | 9/20/2023 | 3 Elect Gillian B. Zucker | Mgmt | Y | For | For |
Houlihan Lokey, Inc. | HLI | 441593100 | 9/20/2023 | 4 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
Houlihan Lokey, Inc. | HLI | 441593100 | 9/20/2023 | 5 Ratification of Auditor | Mgmt | Y | For | For |
Houlihan Lokey, Inc. | HLI | 441593100 | 9/20/2023 | 6 Amendment Regarding Officer Exculpation | Mgmt | Y | Against | Against |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 1 Elect Eve Burton | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 2 Elect Scott D. Cook | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 3 Elect Richard L. Dalzell | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 4 Elect Sasan Goodarzi | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 5 Elect Deborah Liu | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 6 Elect Tekedra Mawakana | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 7 Elect Suzanne Nora Johnson | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 8 Elect Ryan Roslansky | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 9 Elect Thomas J. Szkutak | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 10 Elect Raul Vazquez | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 11 Elect Eric Yuan | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 12 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 13 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 14 Ratification of Auditor | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 15 Amendment to the 2005 Equity Incentive Plan | Mgmt | Y | For | For |
Intuit Inc | INTU | 461202103 | 1/18/2024 | 16 Shareholder Proposal Regarding Report on Portfolio Risk in Employee Retirement Options | ShrHoldr | Y | Against | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 1 Elect Sohail U. Ahmed | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 2 Elect Timothy M. Archer | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 3 Elect Eric K. Brandt | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 4 Elect Michael R. Cannon | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 5 Elect John M. Dineen | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 6 Elect Ho Kyu Kang | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 7 Elect Bethany J. Mayer | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 8 Elect Jyoti K. Mehra | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 9 Elect Abhijit Y. Talwalkar | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 10 Elect Rick Lih-Shyng TSAI | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 11 Elect Leslie F. Varon | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 12 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 13 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Lam Research Corp. | LRCX | 512807108 | 11/7/2023 | 14 Ratification of Auditor | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 1 Elect Penelope Herscher | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 2 Elect Harold L. Covert | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 3 Elect Pamela Fletcher | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 4 Elect Isaac H. Harris | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 5 Elect Julia S. Johnson | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 6 Elect Brian J. Lillie | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 7 Elect Alan S. Lowe | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 8 Elect Ian S. Small | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 9 Elect Janet S. Wong | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 10 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 11 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 12 Amendment to the 2015 Equity Incentive Plan | Mgmt | Y | For | For |
Lumentum Holdings Inc. | LITE | 55024U109 | 11/17/2023 | 13 Ratification of Auditor | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 1 Elect Reid G. Hoffman | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 2 Elect Hugh F. Johnston | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 3 Elect Teri L. List | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 4 Elect Catherine MacGregor | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 5 Elect Mark Mason | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 6 Elect Satya Nadella | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 7 Elect Sandra E. Peterson | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 8 Elect Penny S. Pritzker | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 9 Elect Carlos A. Rodriguez | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 10 Elect Charles W. Scharf | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 11 Elect John W. Stanton | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 12 Elect Emma N. Walmsley | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 13 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 14 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 15 Ratification of Auditor | Mgmt | Y | Against | Against |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 16 Shareholder Proposal Regarding Report on Median Compensation and Benefits Related to Reproductive and Gender Dysphoria Care | ShrHoldr | Y | Against | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 17 Shareholder Proposal Regarding EEO Policy Risk Report | ShrHoldr | Y | Against | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 18 Shareholder Proposal Regarding Report on Government Takedown Requests | ShrHoldr | Y | Against | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 19 Shareholder Proposal Regarding Risks of Developing Military Weapons | ShrHoldr | Y | For | Against |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 20 Shareholder Proposal Regarding Report on Climate Risk In Employee Retirement Options | ShrHoldr | Y | Against | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 21 Shareholder Proposal Regarding Report on Tax Transparency | ShrHoldr | Y | For | Against |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 22 Shareholder Proposal Regarding Report on Siting in Countries of Significant Human Rights Concern | ShrHoldr | Y | Against | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 23 Shareholder Proposal Regarding Third-Party Political Expenditures Reporting | ShrHoldr | Y | Against | For |
Microsoft Corporation | MSFT | 594918104 | 12/7/2023 | 24 Shareholder Proposal Regarding Report on AI Misinformation and Disinformation | ShrHoldr | Y | Against | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.1 Elect Awo Ablo | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.2 Elect Jeffrey S. Berg | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.3 Elect Michael J. Boskin | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.4 Elect Safra A. Catz | Mgmt | Y | Withhold | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.5 Elect Bruce R. Chizen | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.6 Elect George H. Conrades | Mgmt | Y | Withhold | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.7 Elect Lawrence J. Ellison | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.8 Elect Rona Fairhead | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.9 Elect Jeffrey O. Henley | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.10 Elect Renee J. James | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.11 Elect Charles W. Moorman | Mgmt | Y | Withhold | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.12 Elect Leon E. Panetta | Mgmt | Y | Withhold | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.13 Elect William G. Parrett | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.14 Elect Naomi O. Seligman | Mgmt | Y | Withhold | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 1.15 Elect Vishal Sikka | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 2 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 3 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 4 Amendment to the 2020 Equity Incentive Plan | Mgmt | Y | Against | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 5 Ratification of Auditor | Mgmt | Y | For | For |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 6 Shareholder Proposal Regarding Median Gender and Racial Pay Equity Report | ShrHoldr | Y | For | Against |
Oracle Corp. | ORCL | 68389X105 | 11/15/2023 | 7 Shareholder Proposal Regarding Independent Chair | ShrHoldr | Y | For | Against |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 1 Elect B. Marc Allen | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 2 Elect Brett Biggs | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 3 Elect Sheila Bonini | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 4 Elect Angela F. Braly | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 5 Elect Amy L. Chang | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 6 Elect Joseph Jimenez | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 7 Elect Christopher Kempczinski | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 8 Elect Debra L. Lee | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 9 Elect Terry J. Lundgren | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 10 Elect Christine M. McCarthy | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 11 Elect Jon R. Moeller | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 12 Elect Robert J. Portman | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 13 Elect Rajesh Subramaniam | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 14 Elect Patricia A. Woertz | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 15 Ratification of Auditor | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 16 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 17 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 18 Shareholder Proposal Regarding Civil Rights Audit | ShrHoldr | Y | Against | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 19 Shareholder Proposal Regarding Report on Business with China | ShrHoldr | Y | Against | For |
Procter & Gamble Co. | PG | 742718109 | 10/10/2023 | 20 Shareholder Proposal Regarding Shareholder Approval of Advance Notice Provisions | ShrHoldr | Y | For | Against |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 1 Elect Thomas N. Kelly, Jr. | Mgmt | Y | For | For |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 2 Elect Brian E. Sandoval | Mgmt | Y | For | For |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 3 Elect Peter E. Shumlin | Mgmt | Y | For | For |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 4 Elect John R. Vines | Mgmt | Y | Against | Against |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 5 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 6 Ratification of Auditor | Mgmt | Y | For | For |
Scotts Miracle-Gro Company | SMG | 810186106 | 1/22/2024 | 7 Amendment to the Long-Term Incentive Plan | Mgmt | Y | For | For |
Snowflake Inc. | SNOW | 833445109 | 7/5/2023 | 1 Elect Teresa Briggs | Mgmt | Y | For | For |
Snowflake Inc. | SNOW | 833445109 | 7/5/2023 | 2 Elect Jeremy Burton | Mgmt | Y | For | For |
Snowflake Inc. | SNOW | 833445109 | 7/5/2023 | 3 Elect Mark D. McLaughlin | Mgmt | Y | For | For |
Snowflake Inc. | SNOW | 833445109 | 7/5/2023 | 4 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
Snowflake Inc. | SNOW | 833445109 | 7/5/2023 | 5 Ratification of Auditor | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 1 Elect Daniel J. Brutto | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 2 Elect Francesca DeBiase | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 3 Elect Ali Dibadj | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 4 Elect Larry C. Glasscock | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 5 Elect Jill M. Golder | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 6 Elect Bradley M. Halverson | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 7 Elect John M. Hinshaw | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 8 Elect Kevin P. Hourican | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 9 Elect Alison Kenney Paul | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 10 Elect Edward D. Shirley | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 11 Elect Sheila G. Talton | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 12 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 13 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 14 Ratification of Auditor | Mgmt | Y | For | For |
Sysco Corp. | SYY | 871829107 | 11/17/2023 | 15 Shareholder Proposal Regarding Gestation Crates | ShrHoldr | Y | Against | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 1 Elect Lloyd A. Carney | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 2 Elect Kermit R. Crawford | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 3 Elect Francisco Javier Fernández Carbajal | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 4 Elect Ramon L. Laguarta | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 5 Elect Teri L. List | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 6 Elect John F. Lundgren | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 7 Elect Ryan McInerney | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 8 Elect Denise M. Morrison | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 9 Elect Pamela Murphy | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 10 Elect Linda J. Rendle | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 11 Elect Maynard G. Webb, Jr. | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 12 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 13 Ratification of Auditor | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 14 Exchange Offer Amendments | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 15 Right to Adjourn Meeting | Mgmt | Y | For | For |
Visa Inc | V | 92826C839 | 1/23/2024 | 16 Shareholder Proposal Regarding Severance Approval Policy | ShrHoldr | Y | Against | For |
VMware, Inc. | VMW | 928563402 | 7/13/2023 | 1 Elect Anthony J. Bates | Mgmt | Y | Against | Against |
VMware, Inc. | VMW | 928563402 | 7/13/2023 | 2 Elect Michael Dell | Mgmt | Y | For | For |
VMware, Inc. | VMW | 928563402 | 7/13/2023 | 3 Elect Egon P. Durban | Mgmt | Y | For | For |
VMware, Inc. | VMW | 928563402 | 7/13/2023 | 4 Advisory Vote on Executive Compensation | Mgmt | Y | Against | Against |
VMware, Inc. | VMW | 928563402 | 7/13/2023 | 5 Frequency of Advisory Vote on Executive Compensation | Mgmt | Y | 1 Year | For |
VMware, Inc. | VMW | 928563402 | 7/13/2023 | 6 Ratification of Auditor | Mgmt | Y | For | For |
Woodward Inc | WWD | 980745103 | 1/24/2024 | 1 Elect Charles P. Blankenship, Jr. | Mgmt | Y | For | For |
Woodward Inc | WWD | 980745103 | 1/24/2024 | 2 Elect John D. Cohn | Mgmt | Y | For | For |
Woodward Inc | WWD | 980745103 | 1/24/2024 | 3 Elect Daniel G. Korte | Mgmt | Y | For | For |
Woodward Inc | WWD | 980745103 | 1/24/2024 | 4 Advisory Vote on Executive Compensation | Mgmt | Y | For | For |
Woodward Inc | WWD | 980745103 | 1/24/2024 | 5 Ratification of Auditor | Mgmt | Y | For | For |
SIGNATURES
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 Fund Trust IV | |
By (Signature and Title) | /s/ Jennifer Farrell | |
Secretary of the Trust | ||
Date: March 14, 2024 |