Securities Registration (section 12(b)) (8-a12b)
31 Dicembre 2019 - 7:13PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
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Northern Lights Fund Trust IV
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(Exact name of registrant as specified in its charter)
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Delaware
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See Below
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(State of incorporation or organization)
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(I.R.S. Employer Identification No.)
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225 Pictoria Drive, Suite 450, Cincinnati, OH
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45246
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(Address of Principal Executive Offices)
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(Zip Code)
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Securities to be registered pursuant to Section
12(b) of the Act:
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Title of each class
to be so registered
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Name of the exchange on which
each class is to be registered
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Shares of beneficial interest, no par value per share
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NYSE Arca Inc.
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If
this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant
to General Instruction A.(c), check the following box. ☒
If
this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant
to General Instruction A.(d), check the following box. ☐
Securities Act registration statement file number to which
this form relates: 333-204808.
Securities to be registered pursuant to Section 12(g) of
the Act: Not applicable
INFORMATION REQUIRED IN REGISTRATION
STATEMENT
ITEM 1.
DESCRIPTION OF REGISTRANT’S
SECURITIES TO BE REGISTERED.
A description of the shares
of beneficial interest, no par value, of the Sage Intermediate Credit ETF, a series of Northern Lights Fund Trust IV (the "Trust")
to be registered hereunder are set forth in the Registrant’s Registration Statement on Form N-1A, as amended (File Nos. 333-204808;
811-23066) as filed with the Securities and Exchange Commission, which description is incorporated herein by reference.
The series of the Trust
to which this filing relates and its I.R.S. Employer Identification Number is as follows:
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Series Name
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EIN
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Sage ESG Intermediate Credit ETF
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82-2771035
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ITEM 2.
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1.
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The Trust's Trust Instrument is included as exhibit (a)(i) to the Trust’s Registration Statement on Form N-1A (File Nos.
333-204808; 811-23066), as filed with the Securities and Exchange Commission on August 14, 2015; and as filed as amended with the
Securities and Exchange Commission on July 30, 2019.
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2.
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The Trust's By-Laws are included as Exhibit (b) to the Trust’s Registration Statement on Form N-1A (File Nos. 333-204808;
811-23066), as filed with the Securities and Exchange Commission on August 14, 2015.
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SIGNATURE
Pursuant to the
requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this Registration Statement to
be signed on its behalf by the undersigned, thereto duly authorized.
Date: December 31, 2019
NORTHERN LIGHTS FUND TRUST IV
By: /s/ Jennifer Farrell
Name: Jennifer Farrell
Title: Secretary
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