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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

4221 North 203rd Street, Suite 100

Elkhorn, NE 68022-3474

(Name and address of agent for service)

 

Registrant's telephone number, including area code: (631) 470-2600

 

Date of fiscal year end: November 30

 

Date of reporting period: July 1, 2019 – November 22, 2019

 

ITEM 1. PROXY VOTING RECORD:

 

 

Appended hereto as Exhibit 1 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 November 22, 2019 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 - Measured Risk Strategy Fund           Item 1, Exhibit 1
Investment Company Act file number: 811-23066              
Reporting Period: July 1, 2019 through November 22, 2019              
                     
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 Measured Risk Strategy Fund did not receive any proxies to vote for the time period.                   

 

 

 

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: February 11, 2020

 

 

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