# EDGAR Filing Document

**Accession Number:** 0001835814
**File Stem:** 0001213900-23-017922
**Filing Date:** 2023-3
**Character Count:** 13427
**Document Hash:** d1e9e157a9e4b8c3447135c667c685b3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-017922.hdr.sgml**: 20230307

**ACCESSION NUMBER**: 0001213900-23-017922

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230301

**ITEM INFORMATION**: Entry into a Material Definitive Agreement

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230307

**DATE AS OF CHANGE**: 20230307

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Northern Star Investment Corp. IV
- **CENTRAL INDEX KEY:** 0001835814
- **STANDARD INDUSTRIAL CLASSIFICATION:** BLANK CHECKS [6770]
- **IRS NUMBER:** 854156787
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40135
- **FILM NUMBER:** 23710995

**BUSINESS ADDRESS:**
- **STREET 1:** C/O GRAUBARD MILLER
- **STREET 2:** 405 LEXINGTON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10174
- **BUSINESS PHONE:** (212) 818-8800

**MAIL ADDRESS:**
- **STREET 1:** C/O GRAUBARD MILLER
- **STREET 2:** 405 LEXINGTON AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10174

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**PURSUANT TO SECTION 13 OR 15(d)**

**OF THE SECURITIES EXCHANGE ACT OF 1934**

**Date of Report (Date of earliest event reported): <u>March 1, 2023</u>**

**NORTHERN STAR INVESTMENT CORP. IV**

**(Exact Name of Registrant as Specified in Charter)**

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-40135** | **85-4156787** |
| **(State or Other Jurisdiction<br> of Incorporation)** | **(Commission File Number)** | **(IRS Employer<br> Identification No.)** |

---

**c/o Graubard Miller**

**The Chrysler Building**

**405 Lexington Avenue, 44th Floor**

**New York, NY 10174**

**(Address of Principal Executive Offices) (Zip Code)**

**(212) 818-8800**

**(Registrant's Telephone Number, Including Area Code)**

**Not Applicable**

**(Former Name or Former Address, if Changed Since Last Report)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (*see* General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e 4(c))

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

---

| | | |
|:---|:---|:---|
| **Title of Each Class** | **Trading Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| **Units, each consisting of one share of Class A Common Stock and one-sixth of one redeemable warrant** | **NSTD.U** | **The New York Stock Exchange** |
| **Class A Common Stock, par value $0.0001 per share** | **NSTD** | **The New York Stock Exchange** |
| **Redeemable warrants, exercisable for shares of Class A Common Stock at an exercise price of $11.50 per share** | **NSTD WS** | **OTC** |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 1.01. Entry into a Material Definitive Agreement.**

On March 3, 2023, Northern Star IV Sponsor LLC (the "Sponsor"), the sponsor of Northern Star Investment Corp. IV (the "Company"), entered into agreements ("Non-Redemption Agreements") with several unaffiliated third parties in exchange for them agreeing not to redeem an aggregate of 1,600,000 shares of the Company sold in its initial public offering ("Non-Redeemed Shares") in connection with the special meeting called by the Company (the "Meeting") to approve an extension of time for the Company to consummate an initial business combination (the "Extension Proposal") from March 4, 2023 to September 4, 2023 (the "Extension"). In exchange for the foregoing commitment not to redeem such shares, the Sponsor has agreed to transfer to such investors an aggregate of 400,000 shares of the Company held by the Sponsor immediately following consummation of an initial business combination if they continue to hold such Non-Redeemed Shares through the effectuation of the Extension. The Non-Redemption Agreements did not increase the likelihood that the Extension Proposal was approved by stockholders but increased the amount of funds that remained in the Company's trust account following the Extension. The foregoing summary of the Non-Redemption Agreement does not purport to be complete and is qualified in its entirety by reference to the form of Non-Redemption Agreement previously filed by the Company as Exhibit 10.1 to the Current Report on Form 8-K dated February 28, 2023 and filed on February 28, 2023 and incorporated herein by reference.

**Item 5.03. Amendments to Articles of Incorporation or Bylaws.**

The information included in Item 5.07 is incorporated by reference into this item to the extent required.

**Item 5.07**. **Submission of Matters to a Vote of Security Holders.**

As previously disclosed, on February 24, 2023, the Company adjourned the Meeting to approve the Extension, scheduled for February 24, 2023 at 11:30 a.m., to March 1, 2023 at 12:30 p.m. to allow additional time for the Company to engage with its stockholders regarding redemption reversals. On March 1, 2023, the Company held the Meeting. An aggregate of 37,916,165 shares of the Company's common stock, which represented a quorum of the outstanding common stock entitled to vote as of the record date of February 3, 2023, were represented in person or by proxy at the Meeting.

The Company's stockholders voted on the following proposal at the Meeting, which was approved:

&nbsp;&nbsp;&nbsp;&nbsp;**(1)** **Proposal No. 1 — The Extension Amendment Proposal** — a proposal to amend the Company's
 amended and restated certificate of incorporation to extend the date by which the Company
 has to consummate a business combination from March 4, 2023 to September 4, 2023. The following
 is a tabulation of the votes with respect to this proposal, which was approved by the Company's
 stockholders:

---

| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| **For** | **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker Non-Votes** | **Broker Non-Votes** |
|  | 34898471 |  | 3017694 |  | 0 |  | 0 |

---

As previously disclosed, in connection with the Meeting, the Sponsor entered into Non-Redemption Agreements with several unaffiliated third parties and agreed to transfer an aggregate of 1,012,500 shares of common stock (including those described in Item 1.01 of this Form 8-K) to such parties in exchange for them agreeing not to redeem their public shares in connection with the Extension. The foregoing arrangements did not increase the likelihood that the proposal was approved by stockholders but did increase the amount of funds that remained in the Company's trust account following the Meeting. As a result of the foregoing, effective March 3, 2023, public holders of an aggregate of 35,787,089 public shares exercised, and did not reverse, their right to redeem their public shares (leaving an aggregate of 4,212,911 public shares outstanding after the Meeting) resulting in payment to such holders of an aggregate of approximately $363.2 million in cash.

On March 3, 2022, the Company filed the amendment to its amended and restated certificate of incorporation (the "Charter") with the Secretary of State of the State of Delaware. A copy of the amendment is attached hereto as Exhibit 3.1.

**Item 8.01 Other Events.**

On March 3, 2023, Northern Star IV Sponsor LLC voluntarily converted 9,708,334 shares of Class B common stock of the Company it held as of such date into 9,708,334 shares of Class A common stock of the Company in accordance with the Charter. As a result of the foregoing and the results of the Meeting described above, the Company has an aggregate of 13,921,245 shares of Class A common stock outstanding and 291,666 shares of Class B common stock outstanding.

**Item 9.01 Financial Statements and Exhibits.**

(d) Exhibits

---

| | |
|:---|:---|
| Exhibit | Description |
| 3.1 | [Amendment to Amended and Restated Certificate of Incorporation](ea174750ex3-1_northern4.htm) |
| 10.1 | [Form of Non-Redemption Agreement (incorporated by reference to Exhibit 10.1 included in the Registrant's Current Report on Form 8-K filed on February 28, 2023)](https://www.sec.gov/Archives/edgar/data/1835814/000121390023015059/ea174400ex10-1_northern4.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
| Dated: March 7, 2023 | NORTHERN STAR INVESTMENT CORP. IV | NORTHERN STAR INVESTMENT CORP. IV |
|  | By: | /s/ Jonathan Ledecky |
|  |  | Jonathan Ledecky |
|  |  | Chief Operating Officer |

---

## Exhibit 3.1

**Exhibit 3.1**

**AMENDMENT<br> TO THE<br> AMENDED AND RESTATED<br> CERTIFICATE OF INCORPORATION<br> OF<br> NORTHERN STAR INVESTMENT CORP. IV**

**Pursuant to Section 242 of the<br> Delaware General Corporation Law**

The undersigned, being a duly authorized officer of **NORTHERN STAR INVESTMENT CORP. IV** (the "Corporation"), a corporation existing under the laws of the State of Delaware, does hereby certify as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. The name of the Corporation is Northern Star Investment Corp. IV.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. The Corporation's Certificate of Incorporation was filed
in the office of the Secretary of State of the State of Delaware on November 30, 2020 and an Amended and Restated Certificate of
Incorporation was filed in the office of the Secretary of State of the State of Delaware on March 1, 2021.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. This Amendment to the Amended and Restated Certificate of
Incorporation further amends the Amended and Restated Certificate of Incorporation of the Corporation.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. This Amendment to the Amended and Restated Certificate of
Incorporation was duly adopted by the affirmative vote of the holders of at least 65% of the outstanding shares of common stock at a
meeting of stockholders in accordance with ARTICLE SIXTH of the Amended and Restated Certificate of Incorporation and the provisions
of Sections 242 the General Corporation Law of the State of Delaware.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. Section F of ARTICLE SIXTH is hereby deleted and replaced
in its entirety as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. "In the event that the Corporation does not consummate
a Business Combination by September 4, 2023 (the "Termination Date"), the Corporation shall (i) cease all operations
except for the purposes of winding up, (ii) as promptly as reasonably possible but not more than ten (10) business days thereafter,
redeem 100% of the IPO Shares for cash for a redemption price per share equal to the aggregate amount then held in the Trust Account,
including interest earned on the funds held in the Trust Account and not previously released to the Corporation to pay taxes (less up
to $100,000 of interest to pay dissolution expenses), divided by the total number of IPO Shares then outstanding (which redemption will
completely extinguish such holders' rights as stockholders, including the right to receive further liquidating distributions, if
any), and (iii) as promptly as reasonably possible following such redemption, subject to approval of the Corporation's then
stockholders and subject to the requirements of the GCL, including the adoption of a resolution by the Board pursuant to Section 275(a) of
the GCL finding the dissolution of the Corporation advisable and the provision of such notices as are required by said Section 275(a) of
the GCL, dissolve and liquidate, subject (in the case of clauses (ii) and (iii) above) to the Corporation's obligations
under the GCL to provide for claims of creditors and other requirements of applicable law.

IN WITNESS WHEREOF, I have signed this Amendment to the Amended and Restated Certificate of Incorporation this 1st day of March, 2023.

---

| |
|:---|
| /s/ Jonathan Ledecky |
| Jonathan Ledecky |
| Chief Operating Officer |

---