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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)
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
Date of reporting period: July 1, 2019 - June 30, 2020
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibits 6 through 7 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, 2020 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 - Low Beta Tactical 500 Fund | | | | | | Item 1, Exhibit 6 |
| Investment Company Act file number: 811-23066 | | | | | | | |
| Reporting Period: July 1, 2019 through June 30, 2020 | | | | | | | | | |
| | | | | | | | | | | |
| 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 (Y/N) | (h) Fund Vote | (i) For/Against Management Recommendation |
| 1 | The Low Beta Tactical 500 Fund did not receive any proxies to vote for the time period. | | | | | | | | | |
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Sage ESG Intermediate Credit ETF | | | | | | | Item 1, Exhibit 7 |
| Investment Company Act file number: 811-23066 | | | | | | | | | |
| Reporting Period: July 1, 2019 through June 30, 2020 | | | | | | | | | |
| | | | | | | | | | | |
| 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 (Y/N) | (h) Fund Vote | (i) For/Against Management Recommendation |
| 1 | No proxies received. | | | | | | | | | |
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: July 23, 2020
