0001752724-24-074695.txt : 20240328 0001752724-24-074695.hdr.sgml : 20240328 20240328162643 ACCESSION NUMBER: 0001752724-24-074695 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240131 FILED AS OF DATE: 20240328 DATE AS OF CHANGE: 20240328 PERIOD START: 20241031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Northern Lights Fund Trust IV CENTRAL INDEX KEY: 0001644419 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0916 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-23066 FILM NUMBER: 24799461 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 0001644419 S000058154 Main Sector Rotation ETF C000190408 Main Sector Rotation ETF SECT NPORT-P 1 primary_doc.xml NPORT-P false 0001644419 XXXXXXXX S000058154 C000190408 Northern Lights Fund Trust IV 811-23066 0001644419 549300UIBIHXQ3PDEC28 225 PICTORIA DRIVE SUITE 450 CINCINNATI 45246 631-470-2600 Main Sector Rotation ETF S000058154 549300E2O3NMC2HS0L02 2024-10-31 2024-01-31 N 1519880086.88 1942797.33 1517937289.55 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 14828078.04999999 N S&P 500 (TR) 500TR N/A N/A OIH US 06/21/24 C300 N/A -472.00000000 NC USD -1033680.00000000 -0.06809767485 Short DE CORP N/A N 2 INTERACTIVE BROKERS LLC 50OBSE5T5521O6SMZR28 Call Written VanEck ETF Trust VanEck ETF Trust VANECK OIL SERVICES ETF -472.00000000 300.00000000 USD 2024-06-21 XXXX 616272.47000000 N N N Select Sector Spdr Trust 5493008JJKIPMEX3CO91 TECHNOLOGY SELECT SECT SP 81369Y803 839250.00000000 NS USD 165902940.00000000 10.92949894189 Long EC RF US N 1 N N N Select Sector Spdr Trust 5493008JJKIPMEX3CO91 COMM SERV SELECT SECTOR S 81369Y852 2769435.00000000 NS USD 210144727.80000000 13.84409812228 Long EC RF US N 1 N N N Vanguard World Fds N/A VANGUARD ENERGY ETF 92204A306 691755.00000000 NS USD 80492611.80000000 5.302762660495 Long EC RF US N 1 N N N VanEck ETF Trust 549300ZLFKNTXC51ZN76 VANECK OIL SERVI 92189H607 48750.00000000 NS USD 14260350.00000000 0.939455806124 Long EC RF US N 1 N N Spdr Series Trust 5493004JVD6CQEEJSS37 SPDR S&P REGIONAL BANKING 78464A698 2437500.00000000 NS USD 121143750.00000000 7.980813886976 Long EC RF US N 1 N N iShare Trust 5493000860OXIC4B5K91 ISHARES EXPANDED TECH-SOF 464287515 175725.00000000 NS USD 73871275.50000000 4.866556478225 Long EC RF US N 1 N N BBH SWEEP VEHICLE 5493006KMX1VFTPYPW14 BBH SWEEP VEHICLE N/A 5480478.64000000 PA USD 5480478.64000000 0.361047763812 Long STIV US N 1 N N N Spdr Series Trust 5493004JVD6CQEEJSS37 SPDR BLOOMBERG 1 78468R663 100975.00000000 NS USD 9267485.50000000 0.610531512981 Long EC RF US N 1 N N iShare Trust 5493000860OXIC4B5K91 ISHARES CORE S&P SMALL-CA 464287804 692250.00000000 NS USD 71994000.00000000 4.742883681403 Long EC RF US N 1 N N N Select Sector Spdr Trust 5493008JJKIPMEX3CO91 HEALTH CARE SELECT SECTOR 81369Y209 545210.00000000 NS USD 76536579.80000000 5.042143725363 Long EC RF US N 1 N N N ARK ETF Trust 2549000Z0EWMH3U0CQ16 ARK GENOMIC REVOLUTION ET 00214Q302 2275000.00000000 NS USD 64701000.00000000 4.262429050621 Long EC RF US N 1 N N N/A N/A Fidelity Money Market Government Portfolio N/A 0.00000000 NS USD 0.00000000 0.000000 Long STIV US N N/A N N iShare Trust 5493000860OXIC4B5K91 ISHARES S&P MID-CAP 400 G 464287606 2834000.00000000 NS USD 223602600.00000000 14.73068759423 Long EC RF US N 1 N N N iShare Trust 5493000860OXIC4B5K91 ISHARES BIOTECHN 464287556 555750.00000000 NS USD 74681685.00000000 4.919945343864 Long EC RF US N 1 N N Invesco QQQ Trust 549300VY6FEJBCIMET58 INVESCO QQQ TRUST SERIES 46090E103 455000.00000000 NS USD 189721350.00000000 12.49862898198 Long EC RF US N 1 N N N VanEck ETF Trust 549300ZLFKNTXC51ZN76 VANECK SEMICONDU 92189F676 661980.00000000 NS USD 123042222.60000000 8.105883124886 Long EC RF US N 1 N N 2024-02-28 Northern Lights Fund Trust IV Sam Singh Sam Singh Treasurer XXXX NPORT-EX 2 main-etfs_nport.htm MAIN ETFS NPORT EX

 

MAIN SECTOR ROTATION ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 98.8%      
    EQUITY - 98.2%      
2,275,000   ARK Genomic Revolution ETF(a),(b)       $ 64,701,000
2,769,435   Communication Services Select Sector SPDR Fund(c)         210,144,728
545,210   Health Care Select Sector SPDR Fund         76,536,580
455,000   Invesco QQQ Trust Series 1         189,721,350
555,750   iShares Biotechnology ETF(b)         74,681,685
692,250   iShares Core S&P Small-Cap ETF         71,994,000
175,725   iShares Expanded Tech-Software Sector ETF(b)         73,871,275
2,834,000   iShares S&P Mid-Cap 400 Growth ETF(c)         223,602,600
2,437,500   SPDR S&P Regional Banking ETF(b)         121,143,750
839,250   Technology Select Sector SPDR Fund(c)         165,902,940
48,750   VanEck Oil Services ETF(b)         14,260,350
661,980   VanEck Semiconductor ETF(b)         123,042,222
691,755   Vanguard Energy ETF         80,492,612
             

1,490,095,092

    FIXED INCOME - 0.6%      
100,975   SPDR Bloomberg 1-3 Month T-Bill ETF(b)         9,267,486
             
 
               
    TOTAL EXCHANGE-TRADED FUNDS (Cost $1,226,436,184)    

  1,499,362,578

               
    SHORT-TERM INVESTMENTS — 21.0%      
    COLLATERAL FOR SECURITIES LOANED - 21.0%      
318,668,153   Fidelity Investments Money Market Government Portfolio, Institutional Class, 5.26% (Cost $318,668,153)(d),(e)       $ 318,668,153
             
 
    TOTAL INVESTMENTS – 119.8% (Cost $1,545,104,337)     $ 1,818,030,731
    CALL OPTIONS WRITTEN - (0.1)% (Proceeds - $1,649,952)     (1,033,680)
    LIABILITIES IN EXCESS OF OTHER ASSETS - (19.7)%    

(299,059,761)

    NET ASSETS - 100.0%        

$ 1,517,937,290

               
               
 
 

 

MAIN SECTOR ROTATION ETF
SCHEDULE OF INVESTMENTS (Unaudited) (Continued)
January 31, 2024
 
           
Contracts(f)              
    WRITTEN EQUITY OPTIONS - (0.1)%   Expiration Date Exercise Price Notional Value Fair Value
    CALL OPTIONS WRITTEN- (0.1)%      
472   VanEck Oil Services ETF   06/21/2024 $ 300 $ 13,806,944 $ 1,033,680
    TOTAL CALL OPTIONS WRITTEN (Proceeds - $1,649,952)  
 
           
               
 

 

 

 

ETF  - Exchange-Traded Fund
SPDR  - Standard & Poor's Depositary Receipt
 

 

 

(a) Non-income producing security.
(b) All or a portion of the security is on loan. The total fair value of the securities on loan as of January 31, 2024 was $301,212,361.
(c) All or a portion of the security is held as collateral for written options. As of January 31, 2024, the fair value of the securities held as collateral was $139,523,100.
(d) Rate disclosed is the seven day effective yield as of January 31, 2024.
(e) Security was purchased with cash received as collateral for securities on loan at January 31, 2024. Total collateral had a value of $318,668,153 at January 31, 2024.
(f) Each option contract allows the holder of the option to purchase or sell 100 shares of the underlying security.

 

 

 

 

 

 

 

 

 

 

 

 

 
 

 

MAIN THEMATIC INNOVATION ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 99.7%      
    EQUITY - 99.7%      
579,840   ARK Fintech Innovation ETF(a),(b)       $ 14,809,114
380,160   ARK Genomic Revolution ETF(a),(b)         10,811,750
910,080   Bitwise Crypto Industry Innovators ETF(b),(e)         8,117,914
230,330   Defiance Quantum ETF(b),(e)         12,617,477
153,600   First Trust Cloud Computing ETF(a),(b)         13,782,528
272,640   First Trust Nasdaq Artificial Intelligence and Robotics ETF(b)         11,873,472
402,940   Global X Artificial Intelligence & Technology ETF(b)         12,599,934
253,440   Proshares Online Retail ETF(a),(e)         8,297,626
360,960   Renaissance IPO ETF(a),(b),(e)         12,290,219
222,720   VanEck Video Gaming and eSports ETF(e)         12,710,630
    TOTAL EXCHANGE-TRADED FUNDS (Cost $127,233,910)      

117,910,664

               
    SHORT-TERM INVESTMENTS — 25.5%      
    COLLATERAL FOR SECURITIES LOANED - 25.5%      
30,158,899   Fidelity Investments Monet Market Government Portfolio, Institutional Class, 5.26% (Cost $30,158,899)(c),(d)         30,158,899
             
 
    TOTAL INVESTMENTS - 125.2% (Cost $157,392,809)     $ 148,069,563
    LIABILITIES IN EXCESS OF OTHER ASSETS - (25.2)%    

(29,804,279)

    NET ASSETS - 100.0%        

$ 118,265,284

           
               
 

 

 

 

 

ETF  - Exchange-Traded Fund
 

 

 

(a) Non-income producing security.
(b) All or a portion of the security is on loan. The total fair value of the securities on loan as of January 31, 2024 was $28,760,191.
(c) Rate disclosed is the seven day effective yield as of January 31, 2024.
(d) Security was purchased with cash received as collateral for securities on loan at January 31, 2024. Total collateral had a value of $30,158,889 at January 31, 2024.
(e) Affiliated Company – Main Thematic Innovation ETF holds in excess of 5% of the outstanding voting securities of this security.

 

 

 
 

 

 
 

 

MAIN INTERNATIONAL ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 99.6%      
    EQUITY - 99.6%      
292,410   ARK Israel Innovative Technology ETF(a),(b),(c)       $ 5,700,358
302,670   Franklin FTSE Brazil ETF         5,987,872
164,115   Franklin FTSE Canada ETF(b)         5,404,307
364,180   Franklin FTSE China ETF(c)         5,280,610
123,120   Franklin FTSE Germany ETF(c)         2,792,731
169,290   Franklin FTSE India ETF         6,040,267
613,045   Franklin FTSE Japan ETF         17,661,825
263,535   Franklin FTSE Mexico ETF(b),(c)         8,593,455
336,190   Franklin FTSE South Korea ETF         6,949,047
189,810   Franklin FTSE Taiwan ETF         7,598,189
84,645   The India Internet & Ecommerce ETF(c)         1,191,802
202,635   iShares MSCI France ETF         7,856,159
228,310   iShares MSCI Germany ETF(b)         6,636,972
333,450   iShares MSCI Hong Kong ETF(b)         5,228,496
51,300   iShares MSCI India Small-Cap ETF(b)         3,766,446
61,560   iShares MSCI Japan Small-Cap ETF         4,398,308
171,890   iShares MSCI Poland ETF(b)         3,764,391
166,740   iShares MSCI Sweden ETF         6,226,072
    TOTAL EXCHANGE-TRADED FUNDS (Cost $105,214,987)      

111,077,307

               
    SHORT-TERM INVESTMENTS — 12.6%      
    COLLATERAL FOR SECURITIES LOANED - 12.6%      
14,039,948   Fidelity Investments Monet Market Government Portfolio, Institutional Class, 5.26% (Cost $14,039,948)(d),(e)         14,039,948
             
 
    TOTAL INVESTMENTS - 112.2% (Cost $119,254,935)     $ 125,117,255
    LIABILITIES IN EXCESS OF OTHER ASSETS - (12.2)%    

(13,598,551)

    NET ASSETS - 100.0%        

$ 111,518,704

           
 

 

 

 

ETF  - Exchange-Traded Fund
FTSE  - Financial Times Stock Exchange
MSCI  - Morgan Stanley Capital International
 

 

 

(a) Non-income producing security.  
(b) All or a portion of the security is on loan. The total fair value of the securities on loan as of January 31, 2024 was $13,751,002.
(c) Affiliated Company – Main International ETF holds in excess of 5% of outstanding voting securities of this security.
(d) Rate disclosed is the seven day effective yield as of January 31, 2024.  
(e) Security was purchased with cash received as collateral for securities on loan at January 31, 2024. Total collateral had a value of $14,039,948 at January 31, 2024.