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Form N-PX Northern Lights Fund For: Jun 30

August 11, 2022 11:23 AM EDT

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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: 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        

 

   
Page 1 of 3 20-Jul-2022

 

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        

 

   
Page 2 of 3 20-Jul-2022

 

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

 

 



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