# EDGAR Filing Document

**Accession Number:** 0001644419
**File Stem:** 0001752724-23-075031
**Filing Date:** 2023-3
**Character Count:** 12831
**Document Hash:** 1a1fc637d791e5939ea8f6f5f26a18ed
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-075031.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001752724-23-075031

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**PERIOD START**: 20231031

**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:** NPORT-P
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-23066
- **FILM NUMBER:** 23784108

**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

## Series and Classes Contracts Data

### Main BuyWrite ETF (Series ID: S000077243)

| Class ID   | Class Name        | Ticker Symbol   |
|:---|:---|:---|
| C000237474 | Main BuyWrite ETF | BUYW            |

## Nport-Ex

---

| | | | | | |
|:---|:---|:---|:---|:---|:---|
| **MAIN BUYWRITE ETF** | **MAIN BUYWRITE ETF** | **MAIN BUYWRITE ETF** | **MAIN BUYWRITE ETF** | **MAIN BUYWRITE ETF** | **MAIN BUYWRITE ETF** |
| **SCHEDULE OF INVESTMENTS (Unaudited)** | **SCHEDULE OF INVESTMENTS (Unaudited)** | **SCHEDULE OF INVESTMENTS (Unaudited)** | **SCHEDULE OF INVESTMENTS (Unaudited)** | **SCHEDULE OF INVESTMENTS (Unaudited)** | **SCHEDULE OF INVESTMENTS (Unaudited)** |
| **January 31, 2023** | **January 31, 2023** | **January 31, 2023** | **January 31, 2023** | **January 31, 2023** | **January 31, 2023** |
| **Shares** |  |  |  |  | **Fair Value** |
|  | **EXCHANGE-TRADED FUNDS — 112.8%** | **EXCHANGE-TRADED FUNDS — 112.8%** |  |  |  |
|  | **EQUITY - 107.8%** | **EQUITY - 107.8%** |  |  |  |
| 139000 | Consumer Discretionary Select Sector SPDR Fund<sup>(a)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; $20669300 |
| 70100 | Invesco QQQ Trust Series 1<sup>(a)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; 20652862 |
| 274400 | iShares MSCI EAFE ETF<sup>(a)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; 19633320 |
| 160200 | iShares US Aerospace & Defense ETF<sup>(a)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; 18370134 |
| 198500 | SPDR S&P 500 ETF Trust<sup>(a)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; 80686280 |
| 179800 | SPDR S&P Biotech ETF<sup>(a)(b)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; 15984220 |
| 83700 | VanEck Semiconductor ETF<sup>(a)</sup> |  |  |  | &nbsp;&nbsp;&nbsp; 19845270 |
|  |  |  |  |  | &nbsp;&nbsp; 195841386 |
|  | **FIXED INCOME - 5.0%** | **FIXED INCOME - 5.0%** |  |  |  |
| 178500 | iShares Treasury Floating Rate Bond ETF |  |  |  | &nbsp;&nbsp;&nbsp; 9024960 |
|  | **TOTAL EXCHANGE-TRADED FUNDS (Cost $182,410,162)** | **TOTAL EXCHANGE-TRADED FUNDS (Cost $182,410,162)** |  |  | &nbsp;&nbsp; 204866346 |
|  | **TOTAL INVESTMENTS - 112.8% (Cost $182,410,162)** | **TOTAL INVESTMENTS - 112.8% (Cost $182,410,162)** |  |  | &nbsp;&nbsp;&nbsp; $204866346 |
|  | **CALL OPTIONS WRITTEN - (13.2)% (Proceeds - $16,383,166)** | **CALL OPTIONS WRITTEN - (13.2)% (Proceeds - $16,383,166)** |  |  | &nbsp;&nbsp;&nbsp; (23980130) |
|  | **OTHER ASSETS IN EXCESS OF LIABILITIES- 0.4%** | **OTHER ASSETS IN EXCESS OF LIABILITIES- 0.4%** |  |  | &nbsp;&nbsp; 809924 |
|  | **NET ASSETS - 100.0%** |  |  |  | &nbsp;&nbsp; $181696140 |
| **Contracts<sup>(c)</sup>** |  |  |  |  |  |
|  | **WRITTEN EQUITY OPTIONS - (13.2)%** | **Expiration Date** | **Exercise Price** | **Notional Value** | **Fair Value** |
|  | **CALL OPTIONS WRITTEN- (13.2)%** | **CALL OPTIONS WRITTEN- (13.2)%** |  |  |  |
| 1390 | Consumer Discretionary Select Sector SPDR Fund | 06/16/2023 | $132 | &nbsp;&nbsp;&nbsp; $18348000 | &nbsp;&nbsp;&nbsp; $2957225 |
| 701 | Invesco QQQ Trust Series 1 | 06/16/2023 | 265 | &nbsp;&nbsp;&nbsp; 18576500 | &nbsp;&nbsp;&nbsp; 2778414 |
| 2744 | iShares MSCI EAFE ETF | 06/16/2023 | 68 | &nbsp;&nbsp;&nbsp; 18659200 | &nbsp;&nbsp;&nbsp; 1618960 |
| 1602 | iShares US Aerospace & Defense ETF | 07/21/2023 | 112 | &nbsp;&nbsp;&nbsp; 17942400 | &nbsp;&nbsp;&nbsp; 1345680 |
| 1985 | SPDR S&P 500 ETF Trust | 12/15/2023 | 385 | &nbsp;&nbsp;&nbsp; 76422500 | &nbsp;&nbsp;&nbsp; 9871405 |
| 1798 | SPDR S&P Biotech ETF | 06/16/2023 | 83 | &nbsp;&nbsp;&nbsp; 14923400 | &nbsp;&nbsp;&nbsp; 1986790 |
| 837 | VanEck Semiconductor ETF | 06/16/2023 | 205 | &nbsp;&nbsp;&nbsp; 17158500 | &nbsp;&nbsp;&nbsp; 3421656 |
|  | **TOTAL CALL OPTIONS WRITTEN** (Proceeds - $16,383,166) | **TOTAL CALL OPTIONS WRITTEN** (Proceeds - $16,383,166) | **TOTAL CALL OPTIONS WRITTEN** (Proceeds - $16,383,166) |  | &nbsp;&nbsp; 23980130 |
|  | **TOTAL EQUITY OPTIONS WRITTEN** (Proceeds - $16,383,166) | **TOTAL EQUITY OPTIONS WRITTEN** (Proceeds - $16,383,166) |  |  | &nbsp;&nbsp; $23980130 |

---

---

| | |
|:---|:---|
| EAFE | - Europe, Australasia and Far East |
| ETF | - Exchange-Traded Fund |
| MSCI | - Morgan Stanley Capital International |
| SPDR | - Standard & Poor's Depositary Receipt |

---

<sup>(a)</sup> All or a portion of the security is held as collateral for written options. As of January 31, 2023, the fair value of the securities held as collateral was $195,841,386.

<sup>(b)</sup> Non-income producing security.

<sup>(c)</sup> Each option contract allows the holder of the option to purchase or sell 100 shares of the underlying security.

## Form NPORT-P: Monthly Portfolio Investments Report

### NPORT-P: Part A: General Information

**Item A.1. Information about the Registrant.**

- **a. Name of Registrant:** Northern Lights Fund Trust IV

- **b. Investment Company Act file number:** 811-23066

- **c. CIK number of Registrant:** 0001644419

- **d. LEI of Registrant:** 549300UIBIHXQ3PDEC28

- **e. Address and telephone number of Registrant.**

  - **Street Address 1:** 225 PICTORIA DRIVE

  - **City:** CINCINNATI

  - **State:** OH

  - **Foreign country:** US

  - **Zip / Postal Code:** 45246

  - **Telephone number:** 631-470-2600

**Item A.2. Information about the Series.**

- **a. Name of Series:** Main Buywrite ETF

- **b. EDGAR series identifier (if any):** S000077243

- **c. LEI of Series:** 549300J1HWLD5SIU9R69

**Item A.3. Reporting period.**

- **a. Date of fiscal year-end:** 2023-10-31

- **b. Date as of which information is reported:** 2023-01-31

**Item A.4. Final filing**

Does the Fund anticipate that this will be its final filing on Form N-PORT? **No**

### Fund Information

**Total Assets:** $208184599.83

**Total Liabilities:** $26488459.47

**Net Assets:** $181696140.36

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000237474 | 3.84%                | 0.42%                | 4.37%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $2885233.10              | $9605302.00                                |
| Month 2  | $5079530.60              | $-13593472.75                              |
| Month 3  | $-443968.87              | $15142269.58                               |

**Designated Index Information**

- **Index Name:** CBOE S&P 500 Buywrite Index (Close Price)

- **Index Identifier:** BXM-USD

### Schedule of Portfolio Investments

| Name                   | Title                     | Identifiers                                   | Payoff Profile   | Asset Category   | Issuer Category   | Country   |   Balance | Units   | Value (USD)   | % of Net Assets   | Maturity Date   | Coupon Type   | Annualized Rate (%)   | Restricted?   |   Fair Value Level | Lending Status   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| VanEck ETF Trust       | VANECK SEMICONDU          | CUSIP: 92189F676<br>LEI: 549300ZLFKNTXC51ZN76 | Long             | EC               | RF                | US        |     83700 | NS      | $19845270.00  | 10.92%            |  |  |  | No            |                  1 | On Loan: No      |
| N/A                    | XBI US 06/16/23 C83       | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |     -1798 | NC      | $-1986790.00  | -1.09%            |  |  |  | No            |                  2 | On Loan: No      |
| Spdr S&P 500 Etf Trust | SPDR S&P 500 ETF          | CUSIP: 78462F103<br>LEI: 549300NZAMSJ8FXPQQ63 | Long             | EC               | RF                | US        |    198500 | NS      | $80686280.00  | 44.41%            |  |  |  | No            |                  1 | On Loan: No      |
| Ishares Trust          | ISHARES MSCI EAFE ETF     | CUSIP: 464287465<br>LEI: 5493000860OXIC4B5K91 | Long             | EC               | RF                | US        |    274400 | NS      | $19633320.00  | 10.81%            |  |  |  | No            |                  1 | On Loan: No      |
| Invesco Qqq Trust      | INVESCO QQQ TRUST SERIES  | CUSIP: 46090E103<br>LEI: 549300VY6FEJBCIMET58 | Long             | EC               | RF                | US        |     70100 | NS      | $20652862.00  | 11.37%            |  |  |  | No            |                  1 | On Loan: No      |
| BBH SWEEP VEHICLE      | BBH SWEEP VEHICLE         | CUSIP: N/A<br>LEI: N/A                        | Long             | STIV             |  | US        |   1649037 | PA      | $1649036.70   | 0.91%             |  |  |  | No            |                  1 | On Loan: No      |
| Spdr Series Trust      | SPDR S&P BIOTECH ETF      | CUSIP: 78464A870<br>LEI: 5493004JVD6CQEEJSS37 | Long             | EC               | RF                | US        |    179800 | NS      | $15984220.00  | 8.80%             |  |  |  | No            |                  1 | On Loan: No      |
| N/A                    | EFA US 06/16/23 C68       | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |     -2744 | NC      | $-1618960.00  | -0.89%            |  |  |  | No            |                  2 | On Loan: No      |
| N/A                    | SMH US 06/16/23 C205      | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |      -837 | NC      | $-3421656.00  | -1.88%            |  |  |  | No            |                  2 | On Loan: No      |
| N/A                    | XLY US 06/16/23 C132      | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |     -1390 | NC      | $-2957225.00  | -1.63%            |  |  |  | No            |                  2 | On Loan: No      |
| Select Sector Spdr     | CONSUMER DISCRETIONARY SE | CUSIP: 81369Y407<br>LEI: 5493008JJKIPMEX3CO91 | Long             | EC               | RF                | US        |    139000 | NS      | $20669300.00  | 11.38%            |  |  |  | No            |                  1 | On Loan: No      |
| N/A                    | QQQ US 06/16/23 C265      | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |      -701 | NC      | $-2778413.50  | -1.53%            |  |  |  | No            |                  2 | On Loan: No      |
| N/A                    | ITA US 07/21/23 C112      | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |     -1602 | NC      | $-1345680.00  | -0.74%            |  |  |  | No            |                  2 | On Loan: No      |
| Ishares Trust          | ISHARES U.S. AEROSPACE &  | CUSIP: 464288760<br>LEI: 5493000860OXIC4B5K91 | Long             | EC               | RF                | US        |    160200 | NS      | $18370134.00  | 10.11%            |  |  |  | No            |                  1 | On Loan: No      |
| N/A                    | SPY US 12/15/23 C385      | CUSIP: N/A<br>LEI: N/A                        | Short            | DE               | CORP              | N/A       |     -1985 | NC      | $-9871405.00  | -5.43%            |  |  |  | No            |                  2 | On Loan: No      |
| Ishares Trust          | ISHARES TREASURY FLOATING | CUSIP: 46434V860<br>LEI: 5493000860OXIC4B5K91 | Long             | EC               | RF                | US        |    178500 | NS      | $9024960.00   | 4.97%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2023-02-28

**Name of Applicant:** Northern Lights Fund Trust IV

**Signature:** Sam Singh

**Name of Signer:** Sam Singh

**Title:** Treasurer