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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: March 31
Date of reporting period: July 1, 2022- June 30, 2023
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibits 34 through 35 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, 2023 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 - USA Mutuals All Seasons Fund | Item 1, Exhibit 34 |
| Investment Company Act file number: 811-23066 | |
| Reporting Period: July 1, 2022 through June 30, 2023 | |
| 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
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 | No proxies voted. The Fund did not receive any proxies for the period July 1, 2022 to June 30, 2023. |
| | |
| A. | Company Name - Company Name as it appeared on the ballot (e.g., Microsoft) |
| 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 - USA Mutuals Vice Global Fund | Item 1, Exhibit 35 |
| Investment Company Act file number: 811-23066 | |
| Reporting Period: July 1, 2022 through June 30, 2023 | |
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-10319
Reporting Period: 07/01/2022 - 06/30/2023
USA Mutuals
| ALTRIA GROUP, INC. |
| Ticker: | MO | Security ID: | 02209S103 |
| Meeting Date: | MAY 18, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 27, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Ian L.T. Clarke | For | For | Management | |
| 1b | Elect Director Marjorie M. Connelly | For | For | Management | |
| 1c | Elect Director R. Matt Davis | For | For | Management | |
| 1d | Elect Director William F. Gifford, Jr. | For | For | Management | |
| 1e | Elect Director Jacinto J. Hernandez | For | For | Management | |
| 1f | Elect Director Debra J. Kelly-Ennis | For | For | Management | |
| 1g | Elect Director Kathryn B. McQuade | For | For | Management | |
| 1h | Elect Director George Munoz | For | For | Management | |
| 1i | Elect Director Nabil Y. Sakkab | For | For | Management | |
| 1j | Elect Director Virginia E. Shanks | For | For | Management | |
| 1k | Elect Director Ellen R. Strahlman | For | For | Management | |
| 1l | Elect Director M. Max Yzaguirre | For | For | Management | |
| 2 | Ratify PricewaterhouseCoopers LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| 4 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 5 | Report on Congruency of Political Spending with Company Values and Priorities | Against | Against | Shareholder | |
| 6 | Report on Third-Party Civil Rights Audit | Against | For | Shareholder | |
| BAE SYSTEMS PLC |
| Ticker: | BA | Security ID: | G06940103 |
| Meeting Date: | MAY 04, 2023 | Meeting Type: | Annual |
| Record Date: | MAY 02, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2 | Approve Remuneration Policy | For | For | Management | |
| 3 | Approve Remuneration Report | For | For | Management | |
| 4 | Approve Final Dividend | For | For | Management | |
| 5 | Re-elect Nicholas Anderson as Director | For | For | Management | |
| 6 | Re-elect Thomas Arseneault as Director | For | For | Management | |
| 7 | Re-elect Crystal Ashby as Director | For | For | Management | |
| 8 | Re-elect Dame Elizabeth Corley as Director | For | For | Management | |
| 9 | Re-elect Bradley Greve as Director | For | For | Management | |
| 10 | Re-elect Jane Griffiths as Director | For | For | Management | |
| 11 | Re-elect Christopher Grigg as Director | For | For | Management | |
| 12 | Re-elect Ewan Kirk as Director | For | For | Management | |
| 13 | Re-elect Stephen Pearce as Director | For | For | Management | |
| 14 | Re-elect Nicole Piasecki as Director | For | For | Management | |
| 15 | Re-elect Charles Woodburn as Director | For | For | Management | |
| 16 | Elect Cressida Hogg as Director | For | For | Management | |
| 17 | Elect Lord Sedwill as Director | For | For | Management | |
| 18 | Reappoint Deloitte LLP as Auditors | For | For | Management | |
| 19 | Authorise the Audit Committee to Fix Remuneration of Auditors | For | For | Management | |
| 20 | Authorise UK Political Donations and Expenditure | For | For | Management | |
| 21 | Approve Long-Term Incentive Plan | For | For | Management | |
| 22 | Authorise Issue of Equity | For | For | Management | |
| 23 | Authorise Issue of Equity without Pre-emptive Rights | For | For | Management | |
| 24 | Authorise Market Purchase of Ordinary Shares | For | For | Management | |
| 25 | Authorise the Company to Call General Meeting with Two Weeks’ Notice | For | For | Management | |
| BRITISH AMERICAN TOBACCO PLC |
| Ticker: | BATS | Security ID: | 110448107 |
| Meeting Date: | APR 19, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 07, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2 | Approve Remuneration Report | For | For | Management | |
| 3 | Reappoint KPMG LLP as Auditors | For | For | Management | |
| 4 | Authorise Audit Committee to Fix Remuneration of Auditors | For | For | Management | |
| 5 | Re-elect Luc Jobin as Director | For | For | Management | |
| 6 | Re-elect Jack Bowles as Director | For | For | Management | |
| 7 | Re-elect Tadeu Marroco as Director | For | For | Management | |
| 8 | Re-elect Kandy Anand as Director | For | For | Management | |
| 9 | Re-elect Sue Farr as Director | For | For | Management | |
| 10 | Re-elect Karen Guerra as Director | For | For | Management | |
| 11 | Re-elect Holly Keller Koeppel as Director | For | For | Management | |
| 12 | Re-elect Dimitri Panayotopoulos as Director | For | For | Management | |
| 13 | Re-elect Darrell Thomas as Director | For | For | Management | |
| 14 | Elect Veronique Laury as Director | For | For | Management | |
| 15 | Authorise UK Political Donations and Expenditure | For | For | Management | |
| 16 | Authorise Issue of Equity | For | For | Management | |
| 17 | Authorise Issue of Equity without Pre-emptive Rights | For | For | Management | |
| 18 | Authorise Market Purchase of Ordinary Shares | For | For | Management | |
| 19 | Authorise the Company to Call General Meeting with Two Weeks’ Notice | For | For | Management | |
| 20 | Adopt New Articles of Association | For | For | Management | |
| CANOPY GROWTH CORPORATION |
| Ticker: | WEED | Security ID: | 138035100 |
| Meeting Date: | SEP 15, 2022 | Meeting Type: | Annual/Special |
| Record Date: | JUL 22, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1A | Elect Director Judy A. Schmeling | For | For | Management | |
| 1B | Elect Director David Klein | For | For | Management | |
| 1C | Elect Director Garth Hankinson | For | For | Management | |
| 1D | Elect Director Robert L. Hanson | For | For | Management | |
| 1E | Elect Director David Lazzarato | For | For | Management | |
| 1F | Elect Director James A. Sabia | For | For | Management | |
| 1G | Elect Director Theresa Yanofsky | For | For | Management | |
| 2 | Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management | |
| 3 | Amend Employee Stock Purchase Plan | For | For | Management | |
| 4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| CARLSBERG A/S |
| Ticker: | CARL.B | Security ID: | K36628137 |
| Meeting Date: | MAR 13, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 06, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Receive Report of Board | None | None | Management | |
| 2 | Accept Financial Statements and Statutory Reports; Approve Discharge of Management and Board | For | For | Management | |
| 3 | Approve Allocation of Income and Dividends of DKK 27 Per Share | For | For | Management | |
| 4 | Approve Remuneration Report (Advisory Vote) | For | For | Management | |
| 5.A | Amend Remuneration Policy | For | For | Management | |
| 5.B | Approve Remuneration of Directors in the Amount of DKK 2.05 Million for Chairman, DKK 910,000 for Vice Chair and DKK 455,000 for Other Directors; Approve Remuneration for Committee Work | For | For | Management | |
| 5.C | Approve DKK 90 Million Reduction in Share Capital via Share Cancellation | For | For | Management | |
| 5.D | Report on Efforts and Risks Related to Human Rights | Against | Against | Shareholder | |
| 6.a | Reelect Henrik Poulsen as New Director | For | For | Management | |
| 6.b | Reelect Majken Schultz as New Director | For | For | Management | |
| 6.c | Reelect Mikael Aro as Director | For | For | Management | |
| 6.d | Reelect Magdi Batato as Director | For | For | Management | |
| 6.e | Reelect Lilian Fossum Biner as Director | For | For | Management | |
| 6.f | Reelect Richard Burrows as Director | For | For | Management | |
| 6.g | Reelect Punita Lal as Director | For | For | Management | |
| 6.h | Reelect Soren-Peter Fuchs Olesen as Director | For | For | Management | |
| 7 | Ratify PricewaterhouseCoopers as Auditors | For | For | Management | |
| 8 | Authorize Editorial Changes to Adopted Resolutions in Connection with Registration with Danish Authorities | For | For | Management | |
| CONSTELLATION BRANDS, INC. |
| Ticker: | STZ | Security ID: | 21036P108 |
| Meeting Date: | JUL 19, 2022 | Meeting Type: | Annual |
| Record Date: | MAY 20, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Jennifer M. Daniels | For | For | Management | |
| 1.2 | Elect Director Jeremy S. G. Fowden | For | Withhold | Management | |
| 1.3 | Elect Director Jose Manuel Madero Garza | For | For | Management | |
| 1.4 | Elect Director Daniel J. McCarthy | For | For | Management | |
| 2 | Ratify KPMG LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| CONSTELLATION BRANDS, INC. |
| Ticker: | STZ | Security ID: | 21036P108 |
| Meeting Date: | NOV 09, 2022 | Meeting Type: | Special |
| Record Date: | SEP 20, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Amend Charter | For | For | Management | |
| 2 | Adjourn Meeting | For | For | Management | |
| CRONOS GROUP INC. |
| Ticker: | CRON | Security ID: | 22717L101 |
| Meeting Date: | JUN 22, 2023 | Meeting Type: | Annual |
| Record Date: | APR 27, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Jason Adler | For | Withhold | Management | |
| 1b | Elect Director Kendrick Ashton, Jr. | For | Withhold | Management | |
| 1c | Elect Director Kamran Khan | For | For | Management | |
| 1d | Elect Director Dominik Meier | For | For | Management | |
| 1e | Elect Director Michael Gorenstein | For | Withhold | Management | |
| 1f | Elect Director Elizabeth Seegar | For | For | Management | |
| 1g | Elect Director James Rudyk | For | Withhold | Management | |
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | |
| 3 | Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management | |
| DIAGEO PLC |
| Ticker: | DGE | Security ID: | 25243Q205 |
| Meeting Date: | OCT 06, 2022 | Meeting Type: | Annual |
| Record Date: | AUG 19, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2 | Approve Remuneration Report | For | For | Management | |
| 3 | Approve Final Dividend | For | For | Management | |
| 4 | Elect Karen Blackett as Director | For | For | Management | |
| 5 | Re-elect Melissa Bethell as Director | For | For | Management | |
| 6 | Re-elect Lavanya Chandrashekar as Director | For | For | Management | |
| 7 | Re-elect Valerie Chapoulaud-Floquet as Director | For | For | Management | |
| 8 | Re-elect Javier Ferran as Director | For | For | Management | |
| 9 | Re-elect Susan Kilsby as Director | For | For | Management | |
| 10 | Re-elect Sir John Manzoni as Director | For | For | Management | |
| 11 | Re-elect Lady Mendelsohn as Director | For | For | Management | |
| 12 | Re-elect Ivan Menezes as Director | For | For | Management | |
| 13 | Re-elect Alan Stewart as Director | For | For | Management | |
| 14 | Re-elect Ireena Vittal as Director | For | For | Management | |
| 15 | Reappoint PricewaterhouseCoopers LLP as Auditors | For | For | Management | |
| 16 | Authorise the Audit Committee to Fix Remuneration of Auditors | For | For | Management | |
| 17 | Authorise UK Political Donations and Expenditure | For | For | Management | |
| 18 | Amend Irish Share Ownership Plan | For | For | Management | |
| 19 | Authorise Issue of Equity | For | For | Management | |
| 20 | Authorise Issue of Equity without Pre-emptive Rights | For | For | Management | |
| 21 | Authorise Market Purchase of Ordinary Shares | For | For | Management | |
| 22 | Authorise the Company to Call General Meeting with Two Weeks’ Notice | For | For | Management | |
| DRAFTKINGS, INC. |
| Ticker: | DKNG | Security ID: | 26142V105 |
| Meeting Date: | MAY 15, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 16, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Jason D. Robins | For | Withhold | Management | |
| 1.2 | Elect Director Harry Evans Sloan | For | For | Management | |
| 1.3 | Elect Director Matthew Kalish | For | For | Management | |
| 1.4 | Elect Director Paul Liberman | For | For | Management | |
| 1.5 | Elect Director Woodrow H. Levin | For | Withhold | Management | |
| 1.6 | Elect Director Jocelyn Moore | For | Withhold | Management | |
| 1.7 | Elect Director Ryan R. Moore | For | For | Management | |
| 1.8 | Elect Director Valerie Mosley | For | Withhold | Management | |
| 1.9 | Elect Director Steven J. Murray | For | For | Management | |
| 1.10 | Elect Director Marni M. Walden | For | Withhold | Management | |
| 2 | Ratify BDO USA, LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | |
| EVOLUTION AB |
| Ticker: | EVO | Security ID: | W3287P115 |
| Meeting Date: | APR 04, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 27, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Open Meeting | None | None | Management | |
| 2 | Elect Chairman of Meeting | For | For | Management | |
| 3 | Prepare and Approve List of Shareholders | For | For | Management | |
| 4 | Approve Agenda of Meeting | For | For | Management | |
| 5 | Designate Inspector(s) of Minutes of Meeting | For | For | Management | |
| 6 | Acknowledge Proper Convening of Meeting | For | For | Management | |
| 7.a | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 7.b | Approve Allocation of Income and Dividends of EUR 2.00 Per Share | For | For | Management | |
| 7.c1 | Approve Discharge of Jens von Bahr | For | For | Management | |
| 7.c2 | Approve Discharge of Fredrik Osterberg | For | For | Management | |
| 7.c3 | Approve Discharge of Ian Livingstone | For | For | Management | |
| 7.c4 | Approve Discharge of Joel Citron | For | For | Management | |
| 7.c5 | Approve Discharge of Jonas Engwall | For | For | Management | |
| 7.c6 | Approve Discharge of Mimi Drake | For | For | Management | |
| 7.c7 | Approve Discharge of Sandra Urie | For | For | Management | |
| 7.c8 | Approve Discharge of Martin Carlesund | For | For | Management | |
| 8 | Determine Number of Members (7) and Deputy Members (0) of Board | For | For | Management | |
| 9 | Approve Remuneration of Directors in the Amount of EUR 400,000 to Chairman and EUR 100,000 for Other Directors | For | Against | Management | |
| 10.1 | Reelect Jens von Bahr (Chair) as Director | For | For | Management | |
| 10.2 | Reelect Fredrik Osterberg as Director | For | For | Management | |
| 10.3 | Reelect Ian Livingstone as Director | For | Against | Management | |
| 10.4 | Reelect Joel Citron as Director | For | For | Management | |
| 10.5 | Reelect Jonas Engwall as Director | For | Against | Management | |
| 10.6 | Reelect Mimi Drake as Director | For | For | Management | |
| 10.7 | Reelect Sandra Urie as Director | For | For | Management | |
| 11 | Approve Remuneration of Auditors | For | For | Management | |
| 12 | Ratify PricewaterhouseCoopers as Auditors | For | For | Management | |
| 13 | Approve Nomination Committee Procedures | For | For | Management | |
| 14 | Approve Remuneration Report | For | For | Management | |
| 15 | Authorize Share Repurchase Program | For | For | Management | |
| 16 | Authorize Reissuance of Repurchased Shares | For | For | Management | |
| 17 | Approve Creation of Pool of Capital without Preemptive Rights | For | For | Management | |
| 18 | Authorize the Board to Repurchase Warrants from Participants in Warrants Plan 2021/2024 | For | For | Management | |
| 19 | Approve Transaction with Big Time Gaming Pty Ltd | For | For | Management | |
| 20 | Close Meeting | None | None | Management | |
| EVOLUTION AB |
| Ticker: | EVO | Security ID: | W3287P115 |
| Meeting Date: | JUN 16, 2023 | Meeting Type: | Extraordinary Shareholders |
| Record Date: | JUN 08, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Open Meeting | None | None | Management | |
| 2 | Elect Chairman of Meeting | For | For | Management | |
| 3 | Prepare and Approve List of Shareholders | For | For | Management | |
| 4 | Approve Agenda of Meeting | For | For | Management | |
| 5 | Designate Inspector(s) of Minutes of Meeting | For | For | Management | |
| 6 | Acknowledge Proper Convening of Meeting | For | For | Management | |
| 7 | Approve Performance Share Plan for Key Employees | For | For | Management | |
| 8 | Close Meeting | None | None | Management | |
| GALAXY ENTERTAINMENT GROUP LIMITED |
| Ticker: | 27 | Security ID: | Y2679D118 |
| Meeting Date: | MAY 22, 2023 | Meeting Type: | Annual |
| Record Date: | MAY 15, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2 | Elect Joseph Chee Ying Keung as Director | For | For | Management | |
| 3 | Elect William Yip Shue Lam as Director | For | For | Management | |
| 4 | Elect Patrick Wong Lung Tak as Director | For | For | Management | |
| 5 | Authorize Board to Fix Remuneration of Directors | For | For | Management | |
| 6 | Approve PricewaterhouseCoopers as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management | |
| 7.1 | Authorize Repurchase of Issued Share Capital | For | For | Management | |
| 7.2 | Approve Issuance of Equity or Equity-Linked Securities without | For | Against | Management | |
| 7.3 | Preemptive Rights Authorize Reissuance of Repurchased | For | Against | Management | |
| 8 | Adopt New Share Award Scheme and New Share Option Scheme and the Mandate Limit Shall Not Exceed 10% of Issued Shares | For | Against | Management | |
| 9 | Approve Service Provider Sub-limit | For | Against | Management | |
| 10 | Approve Suspension of 2021 Share Award Scheme and Termination of 2021 Share Option Scheme Shares | For | For | Management | |
| GAMING AND LEISURE PROPERTIES, INC. |
| Ticker: | GLPI | Security ID: | 36467J108 |
| Meeting Date: | JUN 15, 2023 | Meeting Type: | Annual |
| Record Date: | APR 11, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Peter M. Carlino | For | For | Management | |
| 1.2 | Elect Director JoAnne A. Epps | For | For | Management | |
| 1.3 | Elect Director Carol ‘Lili’ Lynton | For | For | Management | |
| 1.4 | Elect Director Joseph W. Marshall, III | For | For | Management | |
| 1.5 | Elect Director James B. Perry | For | For | Management | |
| 1.6 | Elect Director Barry F. Schwartz | For | For | Management | |
| 1.7 | Elect Director Earl C. Shanks | For | For | Management | |
| 1.8 | Elect Director E. Scott Urdang | For | For | Management | |
| 2 | Ratify Deloitte & Touche LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| 4 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| HEINEKEN NV |
| Ticker: | HEIA | Security ID: | N39427211 |
| Meeting Date: | APR 20, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 23, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.a | Receive Report of Executive Board (Non-Voting) | None | None | Management | |
| 1.b | Approve Remuneration Report | For | For | Management | |
| 1.c | Adopt Financial Statements | For | For | Management | |
| 1.d | Receive Explanation on Company’s Dividend Policy | None | None | Management | |
| 1.e | Approve Dividends | For | For | Management | |
| 1.f | Approve Discharge of Executive Directors | For | For | Management | |
| 1.g | Approve Discharge of Supervisory Board | For | For | Management | |
| 2.a | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | For | For | Management | |
| 2.b | Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital | For | For | Management | |
| 2.c | Authorize Board to Exclude Preemptive Rights from Share Issuances | For | For | Management | |
| 3.a | Reelect M.R. de Carvalho to Supervisory Board | For | For | Management | |
| 3.b | Reelect R.L. Ripley to Supervisory Board | For | For | Management | |
| 3.c | Elect B. Pardo to Supervisory Board | For | For | Management | |
| 3.d | Elect L.J. Hijmans van den Bergh to Supervisory Board | For | For | Management | |
| 4 | Ratify Deloitte Accountants B.V. as Auditors | For | For | Management | |
| LAS VEGAS SANDS CORP. |
| Ticker: | LVS | Security ID: | 517834107 |
| Meeting Date: | MAY 11, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 13, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Robert G. Goldstein | For | Withhold | Management | |
| 1.2 | Elect Director Patrick Dumont | For | Withhold | Management | |
| 1.3 | Elect Director Irwin Chafetz | For | Withhold | Management | |
| 1.4 | Elect Director Micheline Chau | For | Withhold | Management | |
| 1.5 | Elect Director Charles D. Forman | For | Withhold | Management | |
| 1.6 | Elect Director Nora M. Jordan | For | Withhold | Management | |
| 1.7 | Elect Director Lewis Kramer | For | Withhold | Management | |
| 1.8 | Elect Director David F. Levi | For | Withhold | Management | |
| 2 | Ratify Deloitte & Touche LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | |
| 4 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 5 | Disclose Board Skills and Diversity Matrix | Against | For | Shareholder | |
| MELCO INTERNATIONAL DEVELOPMENT LIMITED |
| Ticker: | 200 | Security ID: | Y59683188 |
| Meeting Date: | JUN 23, 2023 | Meeting Type: | Annual |
| Record Date: | JUN 16, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2a1 | Elect Evan Andrew Winkler as Director | For | For | Management | |
| 2a2 | Elect Chung Yuk Man, Clarence as Director | For | For | Management | |
| 2a3 | Elect Karuna Evelyne Shinsho as Director | For | For | Management | |
| 2b | Authorize Board to Fix Remuneration of Directors | For | For | Management | |
| 3 | Approve Ernst & Young as Auditor and Authorize Board to Fix Their Remuneration | For | For | Management | |
| 4 | Authorize Repurchase of Issued Share Capital | For | For | Management | |
| 5.1 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | For | Against | Management | |
| 5.2 | Authorize Reissuance of Repurchased Shares | For | Against | Management | |
| MIND MEDICINE (MINDMED) INC. |
| Ticker: | MNMD | Security ID: | 60255C885 |
| Meeting Date: | JUN 21, 2023 | Meeting Type: | Proxy Contest |
| Record Date: | APR 20, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| | Management Universal Proxy (White
Proxy Card) | | | | |
| # | Proposal | Diss Rec | Vote Cast | Sponsor | |
| | From the Combined List of Management & Dissident Nominees - Elect 6 Directors | | | | |
| 1.1 | Elect Management Nominee Director Robert Barrow | For | For | Management | |
| 1.2 | Elect Management Nominee Director Suzanne Bruhn | For | For | Management | |
| 1.3 | Elect Management Nominee Director Roger Crystal | For | For | Management | |
| 1.4 | Elect Management Nominee Director David Gryska | For | For | Management | |
| 1.5 | Elect Management Nominee Director Andreas Krebs | For | For | Management | |
| 1.6 | Elect Management Nominee Director Carol A. Vallone | For | For | Management | |
| 1.7 | Elect Dissident Nominee Director Farzin Farzaneh | Withhold | Withhold | Shareholder | |
| 1.8 | Elect Dissident Nominee Director Scott Freeman | Withhold | Withhold | Shareholder | |
| 1.9 | Elect Dissident Nominee Director Vivek Jain | Withhold | Withhold | Shareholder | |
| 1.10 | Elect Dissident Nominee Director Alexander J. Wodka | Withhold | Withhold | Shareholder | |
| 2 | Ratify KPMG LLP as Auditors | For | For | Management | |
| # | Proposal | Diss Rec | Vote Cast | Sponsor | |
| | Dissident Universal Proxy (Blue Proxy Card) | | | | |
| # | Proposal | Diss Rec | Vote Cast | Sponsor | |
| | From the Combined List of Management & Dissident Nominees - Elect 6 Directors | | | | |
| | FCM NOMINEES | | | | |
| 1.1 | Elect Opposition Nominee Director Farzin Farzaneh | For | Did Not Vote | Shareholder | |
| 1.2 | Elect Opposition Nominee Director Scott Freeman | For | Did Not Vote | Shareholder | |
| 1.3 | Elect Opposition Nominee Director Vivek Jain | For | Did Not Vote | Shareholder | |
| 1.4 | Elect Opposition Nominee Director Alexander J. Wodka | For | Did Not Vote | Shareholder | |
| | COMPANY NOMINEES UNOPPOSED BY FCM | | | | |
| 1.1 | Elect Management Nominee Director Suzanne Bruhn | For | Did Not Vote | Management | |
| 1.2 | Elect Management Nominee Director David Gryska | For | Did Not Vote | Management | |
| | COMPANY NOMINEES OPPOSED BY FCM | | | | |
| 1.1 | Elect Management Nominee Director Robert Barrow | Withhold | Did Not Vote | Management | |
| 1.2 | Elect Management Nominee Director Roger Crystal | Withhold | Did Not Vote | Management | |
| 1.3 | Elect Management Nominee Director Andreas Krebs | Withhold | Did Not Vote | Management | |
| 1.4 | Elect Management Nominee Director Carol A. Vallone | Withhold | Did Not Vote | Management | |
| 2 | Ratify KPMG LLP as Auditors | None | Did Not Vote | Management | |
| MOLSON COORS BEVERAGE COMPANY |
| Ticker: | TAP | Security ID: | 60871R209 |
| Meeting Date: | MAY 17, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 24, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Roger G. Eaton | For | For | Management | |
| 1.2 | Elect Director Charles M. Herington | For | For | Management | |
| 1.3 | Elect Director H. Sanford Riley | For | For | Management | |
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| NORTHROP GRUMMAN CORPORATION |
| Ticker: | NOC | Security ID: | 666807102 |
| Meeting Date: | MAY 17, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 21, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Kathy J. Warden | For | For | Management | |
| 1.2 | Elect Director David P. Abney | For | For | Management | |
| 1.3 | Elect Director Marianne C. Brown | For | For | Management | |
| 1.4 | Elect Director Ann M. Fudge | For | For | Management | |
| 1.5 | Elect Director Madeleine A. Kleiner | For | For | Management | |
| 1.6 | Elect Director Arvind Krishna | For | For | Management | |
| 1.7 | Elect Director Graham N. Robinson | For | For | Management | |
| 1.8 | Elect Director Kimberly A. Ross | For | For | Management | |
| 1.9 | Elect Director Gary Roughead | For | For | Management | |
| 1.10 | Elect Director Thomas M. Schoewe | For | For | Management | |
| 1.11 | Elect Director James S. Turley | For | For | Management | |
| 1.12 | Elect Director Mark A. Welsh, III | For | For | Management | |
| 1.13 | Elect Director Mary A. Winston | For | For | Management | |
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| 3 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 4 | Ratify Deloitte & Touche LLP as Auditors | For | For | Management | |
| 5 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | For | For | Management | |
| 6 | Report on Congruency of Political Spending with Company Stated Values on Human Rights | Against | For | Shareholder | |
| 7 | Require Independent Board Chair | Against | Against | Shareholder | |
| PENN ENTERTAINMENT, INC. |
| Ticker: | PENN | Security ID: | 707569109 |
| Meeting Date: | JUN 06, 2023 | Meeting Type: | Annual |
| Record Date: | APR 10, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1.1 | Elect Director Vimla Black-Gupta | For | For | Management | |
| 1.2 | Elect Director Marla Kaplowitz | For | For | Management | |
| 1.3 | Elect Director Jane Scaccetti | For | For | Management | |
| 1.4 | Elect Director Jay A. Snowden | For | For | Management | |
| 2 | Ratify Deloitte & Touche, LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| 4 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 5 | Amend Omnibus Stock Plan | For | Against | Management | |
| PERNOD RICARD SA |
| Ticker: | RI | Security ID: | F72027109 |
| Meeting Date: | NOV 10, 2022 | Meeting Type: | Annual |
| Record Date: | NOV 08, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Approve Financial Statements and Statutory Reports | For | For | Management | |
| 2 | Approve Consolidated Financial Statements and Statutory Reports | For | For | Management | |
| 3 | Approve Allocation of Income and Dividends of EUR 4.12 per Share | For | For | Management | |
| 4 | Reelect Patricia Barbizet as Director | For | For | Management | |
| 5 | Reelect Ian Gallienne as Director | For | For | Management | |
| 6 | Renew Appointment of KPMG SA as Auditor | For | For | Management | |
| 7 | Acknowledge End of Mandate of Salustro Reydel as Alternate Auditor and Decision Not to Replace and Renew | For | For | Management | |
| 8 | Approve Compensation of Alexandre Ricard, Chairman and CEO | For | For | Management | |
| 9 | Approve Remuneration Policy of Alexandre Ricard, Chairman and CEO | For | For | Management | |
| 10 | Approve Compensation Report of Corporate Officers | For | For | Management | |
| 11 | Approve Remuneration Policy of Corporate Officers | For | For | Management | |
| 12 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | For | For | Management | |
| 13 | Approve Auditors’ Special Report on Related-Party Transactions | For | For | Management | |
| 14 | Authorize Filing of Required Documents/Other Formalities | For | For | Management | |
| PHILIP MORRIS INTERNATIONAL INC. |
| Ticker: | PM | Security ID: | 718172109 |
| Meeting Date: | MAY 03, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 10, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Brant Bonin Bough | For | For | Management | |
| 1b | Elect Director Andre Calantzopoulos | For | For | Management | |
| 1c | Elect Director Michel Combes | For | For | Management | |
| 1d | Elect Director Juan Jose Daboub | For | For | Management | |
| 1e | Elect Director Werner Geissler | For | For | Management | |
| 1f | Elect Director Lisa A. Hook | For | For | Management | |
| 1g | Elect Director Jun Makihara | For | For | Management | |
| 1h | Elect Director Kalpana Morparia | For | For | Management | |
| 1i | Elect Director Jacek Olczak | For | For | Management | |
| 1j | Elect Director Robert B. Polet | For | For | Management | |
| 1k | Elect Director Dessislava Temperley | For | For | Management | |
| 1l | Elect Director Shlomo Yanai | For | For | Management | |
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | |
| 3 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 4 | Ratify PricewaterhouseCoopers SA as Auditors | For | For | Management | |
| 5 | Disclose Nicotine Level Information, and Reduce Nicotine Levels in Tobacco Products | Against | Against | Shareholder | |
| RAYTHEON TECHNOLOGIES CORPORATION |
| Ticker: | RTX | Security ID: | 755130000 |
| Meeting Date: | MAY 02, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 07, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Tracy A. Atkinson | For | For | Management | |
| 1b | Elect Director Leanne G. Caret | For | For | Management | |
| 1c | Elect Director Bernard A. Harris, Jr. | For | For | Management | |
| 1d | Elect Director Gregory J. Hayes | For | For | Management | |
| 1e | Elect Director George R. Oliver | For | For | Management | |
| 1f | Elect Director Robert K. (Kelly) Ortberg | For | For | Management | |
| 1g | Elect Director Dinesh C. Paliwal | For | For | Management | |
| 1h | Elect Director Ellen M. Pawlikowski | For | For | Management | |
| 1i | Elect Director Denise L. Ramos | For | For | Management | |
| 1j | Elect Director Fredric G. Reynolds | For | For | Management | |
| 1k | Elect Director Brian C. Rogers | For | For | Management | |
| 1l | Elect Director James A. Winnefeld, Jr. | For | For | Management | |
| 1m | Elect Director Robert O. Work | For | For | Management | |
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| 3 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 4 | Ratify PricewaterhouseCoopers LLP as Auditors | For | For | Management | |
| 5 | Eliminate Supermajority Vote Requirement | For | For | Management | |
| 6 | Amend Certificate of Incorporation to Eliminate Personal Liability of Officers for Monetary Damages For Breach of Fiduciary Duty as an Officer | For | For | Management | |
| 7 | Require Independent Board Chair | Against | For | Shareholder | |
| 8 | Report on Efforts to Reduce GHG Emissions in Alignment with Paris Agreement Goal | Against | For | Shareholder | |
| SANDS CHINA LTD. |
| Ticker: | 1928 | Security ID: | G7800X107 |
| Meeting Date: | MAY 19, 2023 | Meeting Type: | Annual |
| Record Date: | MAY 08, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2a | Elect Robert Glen Goldstein as Director | For | For | Management | |
| 2b | Elect Charles Daniel Forman as Director | For | For | Management | |
| 2c | Elect Kenneth Patrick Chung as Director | For | For | Management | |
| 2d | Authorize Board to Fix Remuneration of Directors | For | For | Management | |
| 3 | Approve Deloitte Touche Tohmatsu as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management | |
| 4 | Authorize Repurchase of Issued Share Capital | For | For | Management | |
| 5 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | For | Against | Management | |
| 6 | Authorize Reissuance of Repurchased Shares | For | Against | Management | |
| 7 | Approve Amendments to the Memorandum and Articles of Association | For | For | Management | |
| THE DUCKHORN PORTFOLIO, INC. |
| Ticker: | NAPA | Security ID: | 26414D106 |
| Meeting Date: | JAN 20, 2023 | Meeting Type: | Annual |
| Record Date: | NOV 21, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Melanie Cox | For | Against | Management | |
| 1b | Elect Director Adriel Lares | For | Against | Management | |
| 1c | Elect Director James O’Hara | For | Against | Management | |
| 2 | Ratify PricewaterhouseCoopers LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote on Say on Pay Frequency | Three Years | One Year | Management | |
| 4 | Amend Restated Certificate of Incorporation to Limit the Liability of Certain Officers | For | For | Management | |
| THE GEO GROUP, INC. |
| Ticker: | GEO | Security ID: | 36162J106 |
| Meeting Date: | APR 28, 2023 | Meeting Type: | Annual |
| Record Date: | MAR 07, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Thomas C. Bartzokis | For | For | Management | |
| 1b | Elect Director Jack Brewer | For | For | Management | |
| 1c | Elect Director Jose Gordo | For | For | Management | |
| 1d | Elect Director Scott M. Kernan | For | For | Management | |
| 1e | Elect Director Lindsay L. Koren | For | For | Management | |
| 1f | Elect Director Terry Mayotte | For | Against | Management | |
| 1g | Elect Director Andrew N. Shapiro | For | Against | Management | |
| 1h | Elect Director Julie Myers Wood | For | For | Management | |
| 1i | Elect Director George C. Zoley | For | For | Management | |
| 2 | Ratify Grant Thornton LLP as Auditors | For | For | Management | |
| 3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | Against | Management | |
| 4 | Advisory Vote on Say on Pay Frequency | One Year | One Year | Management | |
| 5 | Report on Third-Party Civil Rights Audit | Against | Against | Shareholder | |
| VISTA OUTDOOR INC. |
| Ticker: | VSTO | Security ID: | 928377100 |
| Meeting Date: | JUL 26, 2022 | Meeting Type: | Annual |
| Record Date: | JUN 02, 2022 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1a | Elect Director Michael Callahan | For | For | Management | |
| 1b | Elect Director Christopher T. Metz | For | For | Management | |
| 1c | Elect Director Gerard Gibbons | For | For | Management | |
| 1d | Elect Director Mark A. Gottfredson | For | For | Management | |
| 1e | Elect Director Bruce E. Grooms | For | For | Management | |
| 1f | Elect Director Tig H. Krekel | For | For | Management | |
| 1g | Elect Director Gary L. McArthur | For | For | Management | |
| 1h | Elect Director Frances P. Philip | For | For | Management | |
| 1i | Elect Director Michael D. Robinson | For | For | Management | |
| 1j | Elect Director Robert M. Tarola | For | For | Management | |
| 1k | Elect Director Lynn M. Utter | For | For | Management | |
| 2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | For | For | Management | |
| 3 | Ratify Deloitte & Touche LLP as Auditors | For | For | Management | |
| WYNN MACAU LIMITED |
| Ticker: | 1128 | Security ID: | G98149100 |
| Meeting Date: | MAY 25, 2023 | Meeting Type: | Annual |
| Record Date: | MAY 19, 2023 | | |
| # | Proposal | Mgt Rec | Vote Cast | Sponsor | |
| 1 | Accept Financial Statements and Statutory Reports | For | For | Management | |
| 2a | Elect Frederic Jean-Luc Luvisutto as Director | For | For | Management | |
| 2b | Elect Ellen F. Whittemore as Director | For | For | Management | |
| 2c | Elect Bruce Rockowitz as Director | For | For | Management | |
| 2d | Elect Nicholas Sallnow-Smith as Director | For | For | Management | |
| 3 | Authorize Board to Fix Remuneration of Directors | For | For | Management | |
| 4 | Approve Ernst & Young as Auditors and Authorize Board to Fix Their Remuneration | For | For | Management | |
| 5 | Authorize Repurchase of Issued Share Capital | For | For | Management | |
| 6 | Approve Issuance of Equity or Equity-Linked Securities without Preemptive Rights | For | Against | Management | |
| 7 | Authorize Reissuance of Repurchased Shares | For | Against | Management | |
| 8a | Adopt New Employee Ownership Scheme and Related Transactions | For | Against | Management | |
| 8b | Approve Scheme Mandate Limit Under the New Employee Ownership Scheme | For | Against | Management | |
| 8c | Approve Service Provider Sublimit Under the New Employee Ownership Scheme | For | Against | Management | |
| 8d | Approve the Termination of the Existing Employee Ownership Scheme | For | Against | Management | |
| 9a | Adopt New Share Option Scheme and Authorize Board to Grant Options and to Allot and Issue Shares in Relation to the New Share Option Scheme | For | Against | Management | |
| 9b | Approve Scheme Mandate Limit Under the New Share Option Scheme | For | Against | Management | |
| 9c | Approve Service Provider Sublimit Under the New Share Option Scheme | For | Against | Management | |
| 9d | Approve the Termination of the Existing Share Option Scheme | For | Against | Management | |
| 10 | Adopt Amended and Restated Memorandum and Articles of Association and Related Transactions | For | For | Management | |
---------- END NPX REPORT
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 23, 2023
