Annual Report of Proxy Voting Record for Management Investment Companies (n-px)
11 Février 2020 - 5:51PM
Edgar (US Regulatory)
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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
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Item 1, Exhibit 1
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Investment Company Act file number: 811-23066
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Reporting Period: July 1, 2019 through November 22, 2019
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FORM N-PX - PROXY VOTING RECORD REQUIREMENTS
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(a) Issuer's Name
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(b) Exchange Ticker Symbol
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(c)"CUSIP" #
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(d) Shareholder Meeting Date
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(e) Matter Identification
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(f) Proposal Type
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(g) Voted (Y/N)
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(h) Fund Vote
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(i) For/Against Management Recommendation
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1
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The Measured Risk Strategy Fund did not receive any proxies to vote for the time period.
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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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