0001580642-19-005760.txt : 20191231 0001580642-19-005760.hdr.sgml : 20191231 20191231131209 ACCESSION NUMBER: 0001580642-19-005760 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20191231 DATE AS OF CHANGE: 20191231 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Northern Lights Fund Trust IV CENTRAL INDEX KEY: 0001644419 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0916 FILING VALUES: FORM TYPE: 8-A12B SEC ACT: 1934 Act SEC FILE NUMBER: 001-37991 FILM NUMBER: 191318926 BUSINESS ADDRESS: STREET 1: 225 PICTORIA DRIVE STREET 2: SUITE 450 CITY: CINCINNATI STATE: OH ZIP: 45246 BUSINESS PHONE: 402-895-1600 MAIL ADDRESS: STREET 1: 17605 WRIGHT STREET STREET 2: SUITE 200 CITY: OMAHA STATE: NE ZIP: 68154-1150 8-A12B 1 sage8a12b.htm 8-A12B

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

Northern Lights Fund Trust IV

(Exact name of registrant as specified in its charter)


Delaware	See Below
(State of incorporation or organization)	(I.R.S. Employer Identification No.)


225 Pictoria Drive, Suite 450, Cincinnati, OH	45246
(Address of Principal Executive Offices)	(Zip Code)

Securities to be registered pursuant to Section 12(b) of the Act:

Title of each class

to be so registered

Name of the exchange on which

each class is to be registered

Shares of beneficial interest, no par value per share

NYSE Arca Inc.

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:


Series Name	EIN
Sage ESG Intermediate Credit ETF	82-2771035

ITEM 2.

EXHIBITS.

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.

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.

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