| | -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: July 31, 2024 Estimated average burden hours per response…4 --------------------------- |
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: February 28, October 31
Date of reporting period: July 1, 2021- June 30, 2022
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibits 26 through 30 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, 2022 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.
Investment Company Report
| Registrant: NORTHERN LIGHTS FUND TRUST IV - FMC Excelsior Focus Equity ETF | Item 1, Exhibit 26 |
| Investment Company Act file number: 811-23066 |
| Reporting Period: Fund Inception through June 30, 2022 |
| BROOKFIELD ASSET MANAGEMENT INC. | | |
| | | | |
| Security | 112585104 | Meeting Type | Annual |
| Ticker Symbol | BAM | Meeting Date | 10-Jun-2022 |
| | | Agenda | 935643761 - Management |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | |
| | | | | | | | |
| 1 | Election of Directors (Majority Voting) | Management | | | | |
| | 1 | M. Elyse Allan | | For | For | For | |
| | 2 | Angela F. Braly | | For | For | For | |
| | 3 | Janice Fukakusa | | For | For | For | |
| | 4 | Maureen Kempston Darkes | | For | For | For | |
| | 5 | Frank J. McKenna | | For | For | For | |
| | 6 | Hutham S. Olayan | | For | For | For | |
| | 7 | Seek Ngee Huat | | For | For | For | |
| | 8 | Diana L. Taylor | | For | For | For | |
| 2 | Ratify Appointment of Independent Auditors | Management | For | For | For | |
| 3 | 14A Executive Compensation | Management | For | For | For | |
| 4 | S/H Proposal - Corporate Governance | Shareholder | Against | Against | For | |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| | FMC EXCELSIOR | | STATE | | 0 | 20-Jul-2022 | |
| | FOCUS EQUITY ETF | | STREET BANK | | | | |
| | | | & TRUST CO | | | | |
Investment Company Report
| IAC/INTERACTIVECORP | | |
| | | | |
| Security | 44891N208 | Meeting Type | Annual |
| Ticker Symbol | IAC | Meeting Date | 23-Jun-2022 |
| | Agenda | 935645880 - Management |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management | |
| | | | | | | |
| 1a. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1b. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1c. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1d. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1e. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1f. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1g. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1h. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1i. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1j. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1k. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 1l. | Election of Directors (Majority Voting) | Management | For | For | For | |
| 2. | 14A Executive Compensation | Management | For | For | For | |
| 3. | Ratify Appointment of Independent Auditors | Management | For | For | For | |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| | FMC EXCELSIOR | | STATE | | 0 | 20-Jul-2022 | |
| | FOCUS EQUITY ETF | | STREET BANK | | | | |
| | | | & TRUST CO | | | | |
Investment Company Report
| BROOKFIELD ASSET MANAGEMENT REINSURANCE | | |
| | | | |
| Security | G16169107 | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | BAMR | Meeting Date | 24-Jun-2022 |
| ISIN | | Agenda | 935668232 - Management |
| Item | Proposal | | Proposed
by | Vote* | Management
Recommendation | For/Against
Management | |
| | | | | | | | |
| 1 | Election of Directors | Management | | | | |
| | 1 | William Cox | | | For | | |
| | 2 | Anne Schaumburg | | | For | | |
| | 3 | Soonyoung Chang | | | For | | |
| | 4 | Lars Rodert | | | For | | |
| 2 | Ratify Appointment of Independent Auditors | Management | | For | | |
| 3 | Approve Increase in Board Size | Management | | For | | |
| 4 | Miscellaneous Corporate Actions | Management | | For | | |
| 5 | Miscellaneous Corporate Actions | Management | | For | | |
| 6 | Miscellaneous Corporate Actions | Management | | For | | |
| 7 | Miscellaneous Corporate Actions | Management | | For | | |
| 8 | Miscellaneous Corporate Actions | Management | | For | | |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| | FMC EXCELSIOR | | STATE | | 0 | | |
| | FOCUS EQUITY ETF | | STREET BANK | | | | |
| | | | & TRUST CO | | | | |
| * | Not voted because ballot was not received in time. |
Page 3 of 3
| Registrant: NORTHERN LIGHTS FUND TRUST IV - R3 Global Dividend Growth ETF | | | | | Item 1, Exhibit 27 |
| Investment Company Act file number: 811-23066 | | | | | | | |
| Reporting Period: Fund Inception through June 30, 2022 | | | | | | | |
| | | | | | | | | | | |
| 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 voted March 30, 2022 through June 30, 2022 | | | | | | | |
| 2 | | | | | | | | | | |
| 3 | | | | | | | | | | |
| 4 | | | | | | | | | | |
| 5 | | | | | | | | | | |
| 6 | | | | | | | | | | |
| 7 | | | | | | | | | | |
| 8 | | | | | | | | | | |
| 9 | | | | | | | | | | |
| 10 | | | | | | | | | | |
| 11 | | | | | | | | | | |
| 12 | | | | | | | | | | |
| 13 | | | | | | | | | | |
| 14 | | | | | | | | | | |
| 15 | | | | | | | | | | |
| 16 | | | | | | | | | | |
| 17 | | | | | | | | | | |
| 18 | | | | | | | | | | |
| 19 | | | | | | | | | | |
| 20 | | | | | | | | | | |
| 21 | | | | | | | | | | |
| 22 | | | | | | | | | | |
| 23 | | | | | | | | | | |
| 24 | | | | | | | | | | |
| 25 | | | | | | | | | | |
| 26 | | | | | | | | | | |
| 27 | | | | | | | | | | |
| 28 | | | | | | | | | | |
| 29 | | | | | | | | | | |
| 30 | | | | | | | | | | |
| | | | | | | | | | | |
| | CONTENT KEY: | | | | | | | | |
| A. | Company Name - Company Name as it appeared on the ballot (e.g., Microsoft) | | | | | |
| B. | Ticker - e.g., MSFT | | | | | | | | |
| C. | Security ID (cusip, isin, sedol) - as it appears on the ballot (e.g., 2383130) | | | | | |
| D. | Meeting Type & Date - e.g., ANNUAL, SPECIAL; MM/DD/YYYY | | | | | | |
| E. | Agenda Item Number & Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election. |
| F. | Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD) | |
| G. | Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on. |
| H. | Fund Vote - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors | | | | |
| I. | Whether the registrant cast its vote for or against Management | | | | | | |
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Main BuyWrite Fund | | | | | | Item 1, Exhibit 28 |
| Investment Company Act file number: 811-23066 | | | | | | | |
| Reporting Period: July 1, 2021 through June 30, 2022 |
| | | | | | | | | | | |
| 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 voted. The Fund did not receice any proxies for the period July 1, 2021 to June 30, 2022. |
| 2 |
| 3 |
| 4 |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | | | | | | | | | | |
| | CONTENT KEY: | | | | | | | | |
| A. | Company Name - Company Name as it appeared on the ballot (e.g., Microsoft) | | | | | |
| B. | Ticker - e.g., MSFT | | | | | | | | |
| C. | Security ID (cusip, isin, sedol) - as it appears on the ballot (e.g., 2383130) | | | | | |
| D. | Meeting Type & Date - e.g., ANNUAL, SPECIAL; MM/DD/YYYY | | | | | | |
| E. | Agenda Item Number & Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election. |
| F. | Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD) | |
| G. | Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on. |
| H. | Fund Vote - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors | | | | |
| I. | Whether the registrant cast its vote for or against Management | | | | | | |
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Main Sector Rotation ETF | Item 1, Exhibit 29 |
| Investment Company Act file number: 811-23066 |
| Reporting Period: July 1, 2021 through June 30, 2022 |
Proxy Voting Record
Meeting Date Range: 01-Jul-2021 To 30-Jun-2022
Selected Groups
| THE SELECT SECTOR SPDR TRUST |
| Security: | 81369Y209 | | Meeting Type: | Special |
| Ticker: | XLV | | Meeting Date: | 29-Oct-2021 |
| ISIN | US81369Y2090 | | Vote Deadline Date: | 28-Oct-2021 |
| Agenda | 935496580 | Management | Total Ballot Shares: | 922677 |
| Last Vote Date: | 16-Sep-2021 | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Allison Grant Williams | | | 803250 | 0 | 0 | 0 |
| | 2 | Sheila Hartnett-Devlin | | | 803250 | 0 | 0 | 0 |
| | 3 | James Jessee | | | 803250 | 0 | 0 | 0 |
| | 4 | Teresa Polley | | | 803250 | 0 | 0 | 0 |
| | 5 | Ashley T. Rabun | | | 803250 | 0 | 0 | 0 |
| | 6 | James E. Ross | | | 803250 | 0 | 0 | 0 |
| | 7 | Rory Tobin | | | 803250 | 0 | 0 | 0 |
| Page 1 of 5 | Tuesday, July 26, 2022 |
Proxy Voting Record
| THE SELECT SECTOR SPDR TRUST |
| Security: | 81369Y407 | | Meeting Type: | Special |
| Ticker: | XLY | | Meeting Date: | 29-Oct-2021 |
| ISIN | US81369Y4070 | | Vote Deadline Date: | 28-Oct-2021 |
| Agenda | 935496580 | Management | Total Ballot Shares: | 68681 |
| Last Vote Date: | 16-Sep-2021 | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Allison Grant Williams | | | 29460 | 0 | 0 | 0 |
| | 2 | Sheila Hartnett-Devlin | | | 29460 | 0 | 0 | 0 |
| | 3 | James Jessee | | | 29460 | 0 | 0 | 0 |
| | 4 | Teresa Polley | | | 29460 | 0 | 0 | 0 |
| | 5 | Ashley T. Rabun | | | 29460 | 0 | 0 | 0 |
| | 6 | James E. Ross | | | 29460 | 0 | 0 | 0 |
| | 7 | Rory Tobin | | | 29460 | 0 | 0 | 0 |
| Page 2 of 5 | Tuesday, July 26, 2022 |
Proxy Voting Record
| THE SELECT SECTOR SPDR TRUST |
| Security: | 81369Y605 | | Meeting Type: | Special |
| Ticker: | XLF | | Meeting Date: | 29-Oct-2021 |
| ISIN | US81369Y6059 | | Vote Deadline Date: | 28-Oct-2021 |
| Agenda | 935496580 | Management | Total Ballot Shares: | 2133172 |
| Last Vote Date: | 16-Sep-2021 | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Allison Grant Williams | | | 1598250 | 0 | 0 | 0 |
| | 2 | Sheila Hartnett-Devlin | | | 1598250 | 0 | 0 | 0 |
| | 3 | James Jessee | | | 1598250 | 0 | 0 | 0 |
| | 4 | Teresa Polley | | | 1598250 | 0 | 0 | 0 |
| | 5 | Ashley T. Rabun | | | 1598250 | 0 | 0 | 0 |
| | 6 | James E. Ross | | | 1598250 | 0 | 0 | 0 |
| | 7 | Rory Tobin | | | 1598250 | 0 | 0 | 0 |
| Page 3 of 5 | Tuesday, July 26, 2022 |
Proxy Voting Record
| THE SELECT SECTOR SPDR TRUST |
| Security: | 81369Y803 | | Meeting Type: | Special |
| Ticker: | XLK | | Meeting Date: | 29-Oct-2021 |
| ISIN | US81369Y8030 | | Vote Deadline Date: | 28-Oct-2021 |
| Agenda | 935496580 | Management | Total Ballot Shares: | 550521 |
| Last Vote Date: | 16-Sep-2021 | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Allison Grant Williams | | | 483340 | 0 | 0 | 0 |
| | 2 | Sheila Hartnett-Devlin | | | 483340 | 0 | 0 | 0 |
| | 3 | James Jessee | | | 483340 | 0 | 0 | 0 |
| | 4 | Teresa Polley | | | 483340 | 0 | 0 | 0 |
| | 5 | Ashley T. Rabun | | | 483340 | 0 | 0 | 0 |
| | 6 | James E. Ross | | | 483340 | 0 | 0 | 0 |
| | 7 | Rory Tobin | | | 483340 | 0 | 0 | 0 |
| Page 4 of 5 | Tuesday, July 26, 2022 |
Proxy Voting Record
| SCHWAB FUNDS |
| Security: | 808524409 | | Meeting Type: | Special |
| Ticker: | SCHV | | Meeting Date: | 01-Jun-2022 |
| ISIN | US8085244098 | | Vote Deadline Date: | 31-May-2022 |
| Agenda | 935574675 | Management | Total Ballot Shares: | 584947 |
| Last Vote Date: | 29-Mar-2022 | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Walter W. Bettinger II | | | 458640 | 0 | 0 | 0 |
| | 2 | Richard A. Wurster | | | 458640 | 0 | 0 | 0 |
| | 3 | Robert W. Burns | | | 458640 | 0 | 0 | 0 |
| | 4 | Nancy F. Heller | | | 458640 | 0 | 0 | 0 |
| | 5 | David L. Mahoney | | | 458640 | 0 | 0 | 0 |
| | 6 | Jane P. Moncreiff | | | 458640 | 0 | 0 | 0 |
| | 7 | Kiran M. Patel | | | 458640 | 0 | 0 | 0 |
| | 8 | Kimberly S. Patmore | | | 458640 | 0 | 0 | 0 |
| | 9 | J. Derek Penn | | | 458640 | 0 | 0 | 0 |
| | 10 | Michael J. Beer | | | 458640 | 0 | 0 | 0 |
| Page 5 of 5 | Tuesday, July 26, 2022 |
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Main Thematic Innovation ETF | | | | | | Item 1, Exhibit 30 |
| Investment Company Act file number: 811-23066 | | | | | | | |
| Reporting Period: July 1, 2021 through June 30, 2022 |
| | | | | | | | | | | |
| 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 voted. The Fund did not recive any proxies for the period July 1, 2021 to June 30, 2022 |
| 2 |
| 3 |
| 4 |
| 5 | | | | | | | | | | |
| 6 | | | | | | | | | | |
| 7 | | | | | | | | | | |
| 8 | | | | | | | | | | |
| 9 | | | | | | | | | | |
| 10 | | | | | | | | | | |
| 11 | | | | | | | | | | |
| 12 | | | | | | | | | | |
| 13 | | | | | | | | | | |
| 14 | | | | | | | | | | |
| 15 | | | | | | | | | | |
| 16 | | | | | | | | | | |
| 17 | | | | | | | | | | |
| 18 | | | | | | | | | | |
| 19 | | | | | | | | | | |
| 20 | | | | | | | | | | |
| 21 | | | | | | | | | | |
| 22 | | | | | | | | | | |
| 23 | | | | | | | | | | |
| 24 | | | | | | | | | | |
| 25 | | | | | | | | | | |
| 26 | | | | | | | | | | |
| 27 | | | | | | | | | | |
| 28 | | | | | | | | | | |
| 29 | | | | | | | | | | |
| 30 | | | | | | | | | | |
| | | | | | | | | | | |
| | CONTENT KEY: | | | | | | | | |
| A. | Company Name - Company Name as it appeared on the ballot (e.g., Microsoft) | | | | | |
| B. | Ticker - e.g., MSFT | | | | | | | | |
| C. | Security ID (cusip, isin, sedol) - as it appears on the ballot (e.g., 2383130) | | | | | |
| D. | Meeting Type & Date - e.g., ANNUAL, SPECIAL; MM/DD/YYYY | | | | | | |
| E. | Agenda Item Number & Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election. |
| F. | Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD) | |
| G. | Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on. |
| H. | Fund Vote - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors | | | | |
| I. | Whether the registrant cast its vote for or against Management | | | | | | |
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: August 11, 2022
