0001580642-23-006385.txt : 20231129 0001580642-23-006385.hdr.sgml : 20231129 20231129160440 ACCESSION NUMBER: 0001580642-23-006385 CONFORMED SUBMISSION TYPE: 8-A12B PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20231129 DATE AS OF CHANGE: 20231129 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: 231452176 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 nsi_8a12b.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 NASDAQ, 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 National Security Emerging Markets Index ETF, a series of Northern Lights Fund Trust IV (the "Trust"), is incorporated herein by reference to Post-Effective Amendment No. 329 to the Registrant’s registration statement on Form N-1A, filed with the Securities and Exchange Commission on September 18, 2023. Any form of supplement to the registration statement that is subsequently filed is hereby also incorporated by reference herein.

The series of the Trust to which this filing relates and its I.R.S. Employer Identification Number are as follows:

   
Series Name EIN
National Security Emerging Markets Index ETF 922356245

 

 

ITEM 2.

EXHIBITS.

 

1.The Registrant's Trust Instrument is included as an exhibit to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-204808; 811-23066), as filed with the Securities and Exchange Commission on July 30, 2019.  

 

2.The Registrant’s Amended Agreement and Declaration of Trust is included as an exhibit to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-204808; 811-23066), as filed with the Securities and Exchange Commission on March 24, 2020.

 

3.The Registrant’s Certificate of Trust is included as an exhibit to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-204808; 811-23066), as filed with the Securities and Exchange Commission on June 8, 2015.

 

4.The Registrant's Revised By-Laws are included as an exhibit to the Registrant’s Registration Statement on Form N-1A (File Nos. 333-204808; 811-23066), as filed with the Securities and Exchange Commission on December 7, 2021.
 
 

 

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: November 29, 2023

 

NORTHERN LIGHTS FUND TRUST IV

By: /s/ Jennifer Farrell

 

Name: Jennifer Farrell

 

Title: Secretary