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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)
17605 Wright Street, Suite 2
Omaha, NE 68130
________________________________________________________________________
(Address of principal executive offices) (Zip code)
Jennifer Farrell
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) 470-2600
Date of fiscal year end: May 31, August 31, November 30, December 31
Date of reporting period: July 1, 2017 - June 30, 2018
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibits 1 through 14 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, 2018 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 FUND TRUST IV - Anchor Tactical Credit Strategies Fund | Item 1, Exhibit 1 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | No proxies voted. The Fund did not receive any proxies for period July 1, 2017 to June 30, 2018. | |||||||||
| 2 | ||||||||||
| 3 | ||||||||||
| 4 | ||||||||||
| 5 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Anchor Tactical Credit Strategies Fund VP | Item 1, Exhibit 2 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through December 29, 2017 | ||||||||||
| 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 | No proxies voted. The Fund did not receive any proxies for period July 1, 2017 to December 29, 2017. | |||||||||
| 2 | ||||||||||
| 3 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Anchor Tactical Equity Strategies Fund | Item 1, Exhibit 3 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | No proxies voted. The Fund did not receive any proxies for period July 1, 2017 to June 30, 2018. | |||||||||
| 2 | ||||||||||
| 3 | ||||||||||
| 4 | ||||||||||
| 5 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Anchor Tactical Municipal Strategies Fund | Item 1, Exhibit 4 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | Nuveen | NAC | 67066Y105 | ANNUAL, 11/14/2017 | 1A | A Vote for Election of the following Nominees : | Directors | Y | For | For |
| 01 | David J Kundert | |||||||||
| 02 | John K Nelson | |||||||||
| 03 | Terence J Toth | |||||||||
| 04 | Robert L Young | |||||||||
| 2 | Nuveen | NZF | 67070X101 | ANNUAL, 12/19/2017 | 1 | A Vote for Election of the following Nominees : | Directors | Y | For | For |
| 3 | 01 | Bradford K. Gallagher | ||||||||
| 4 | 02 | William B Ogden | ||||||||
| 5 | 03 | Craig A Dawson | ||||||||
| 6 | 04 | John C Maney | ||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Anchor Tactical Real Estate Fund | Item 1, Exhibit 5 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | Vanguard | VNQ | 922908553 | SPECIAL, 8/16/2017 | 1 | Election of Trustees | Directors | Y | FOR | For |
| 2 | 01 | Mortimer J Buckley | ||||||||
| 3 | 02 | Emerson U Fullwood | ||||||||
| 4 | 03 | Amy Gutmann | ||||||||
| 5 | 04 | JoAnn Heffernan Heisen | ||||||||
| 6 | 05 | F. Joseph Loughrey | ||||||||
| 7 | 06 | Mark Loughridge | ||||||||
| 8 | 07 | Scott C Malpass | ||||||||
| 9 | 08 | F William Mcnabb III | ||||||||
| 10 | 09 | Deanna Mulligan | ||||||||
| 11 | 10 | Andre F Perold | ||||||||
| 12 | 11 | Sarah Bloom Raskin | ||||||||
| 13 | 12 | Peter F Volanakis | ||||||||
| 14 | 2 | Approve a manager of managers arrangement with third-party investment advisors. | Directors | Y | FOR | For | ||||
| 15 | 3 | Approve a manager of managers arrangement with wholly-owned subsidiaries of Vanguard | Directors | Y | FOR | For | ||||
| 16 | 4 | Change the investment objective of Vanguard REIT Index Fund and Vanguard Variable Insurance Fund - REIT Index Portfolio | Directors | Y | FOR | For | ||||
| 17 | 5 | Reclassify the diversification status of Vanguard REIT Index Fund to nondiversified | Directors | Y | FOR | For | ||||
| 18 | 7 | A shareholder proposal to "institute transparent procedures to avoid holding investments in companies that, in management's judgement, substantially contribute to genocide or crimes against humanity, the most egregious violations of human rights. Such procedures may include time-limited engagement with problem companies if management believes that their behavior can be changed" | Diretors | Y | FOR | Against | ||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Formula Folios Hedged Growth ETF | Item 1, Exhibit 6 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | The FormulaFolios Hedged Growth ETF did not receive any proxies to vote for the time period. | |||||||||
| 2 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - FormulaFolios Smart Growth ETF | Item 1, Exhibit 7 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | The FormulaFolios Smart Growth ETF did not receive any proxies to vote for the time period. | |||||||||
| 2 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - FormulaFolios Tactical Growth ETF | Item 1, Exhibit 8 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | The FormulaFolios Tactical Growth ETF did not receive any proxies to vote for the time period. | |||||||||
| 2 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - FormulaFolios Tactical Income ETF | Item 1, Exhibit 9 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | The FormulaFolios Tactical Income ETF did not receive any proxies to vote for the time period. | |||||||||
| 2 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - IQ-Striquer Fund | Item 1, Exhibit 10 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 | |||||||||
| 3 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Main BuyWrite Fund | Item 1, Exhibit 11 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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. | |||||||||
| 3 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Main Sector Rotation ETF | Item 1, Exhibit 12 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 FUND TRUST IV - Measured Risk Strategy Fund | Item 1, Exhibit 13 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 votes to report during the reporting period | |||||||||
| 2 | ||||||||||
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Sage ESG Intermediate Credit ETF | Item 1, Exhibit 14 | |||||||||
| Investment Company Act file number: 811-23066 | ||||||||||
| Reporting Period: July 1, 2017 through June 30, 2018 | ||||||||||
| 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 to report during the reporting period | |||||||||
| 2 | ||||||||||
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/ Wendy Wang
Wendy Wang
President of the Trust
Date: August 20, 2018
