# EDGAR Filing Document

**Accession Number:** 0001644419
**File Stem:** 0001752724-23-016792
**Filing Date:** 2023-1
**Character Count:** 48189
**Document Hash:** af64ed1d47082c76efb53d946839d8d9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-016792.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001752724-23-016792

**CONFORMED SUBMISSION TYPE**: NPORT-P

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221130

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**PERIOD START**: 20230531

**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:** 23563760

**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

### Sterling Capital Diverse Multi-Manager Active ETF (Series ID: S000074383)

| Class ID   | Class Name                                        | Ticker Symbol   |
|:---|:---|:---|
| C000232235 | Sterling Capital Diverse Multi-Manager Active ETF | DEIF            |

## 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:** Sterling Capital Diverse Multi-Manager Active ETF

- **b. EDGAR series identifier (if any):** S000074383

- **c. LEI of Series:** 549300TO0JLIBEBANY11

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

- **a. Date of fiscal year-end:** 2023-05-31

- **b. Date as of which information is reported:** 2022-11-30

**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:** $98115995.79

**Total Liabilities:** $919924.09

**Net Assets:** $97196071.70

**Cash Not Reported:** $3249470.36

**Monthly Return Information**

| Class               | Month 1 Return (%)   | Month 2 Return (%)   | Month 3 Return (%)   |
|:---|:---|:---|:---|
| Class ID C000232235 | -9.52%               | 10.80%               | 4.38%                |

**Monthly Gains & Losses**

| Period   | Net Realized Gain/Loss   | Net Unrealized Appreciation/Depreciation   |
|:---|:---|:---|
| Month 1  | $-1773682.04             | $-7234292.89                               |
| Month 2  | $-2504029.17             | $11568388.28                               |
| Month 3  | $569745.84               | $3311741.73                                |

### 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   |
|:---|:---|:---|:---|:---|:---|:---|---:|:---|:---|:---|:---|:---|:---|:---|---:|:---|
| Bio-Rad Laboratories, Inc.                                | BIO-RAD LABS-A            | CUSIP: 090572207<br>LEI: 549300ZC1GPV35XYDK53 | Long             | EC               | CORP              | US        |       838 | NS      | $347526.98    | 0.36%             |  |  |  | No            |                  1 | On Loan: No      |
| Applied Materials Inc.                                    | APPLIED MATERIAL          | CUSIP: 038222105<br>LEI: 41BNNE1AFPNAZELZ6K07 | Long             | EC               | CORP              | US        |      2853 | NS      | $312688.80    | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Global Payments Inc                                       | GLOBAL PAYMENTS           | CUSIP: 37940X102<br>LEI: 549300NOMHGVQBX6S778 | Long             | EC               | CORP              | US        |      3671 | NS      | $380976.38    | 0.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Walmart Inc                                               | WALMART INC               | CUSIP: 931142103<br>LEI: Y87794H0US1R65VBXU25 | Long             | EC               | CORP              | US        |      4696 | NS      | $715764.32    | 0.74%             |  |  |  | No            |                  1 | On Loan: No      |
| United Rentals, Inc.                                      | UNITED RENTALS            | CUSIP: 911363109<br>LEI: 5323X5O7RN0NKFCDRY08 | Long             | EC               | CORP              | US        |      2115 | NS      | $746658.45    | 0.77%             |  |  |  | No            |                  1 | On Loan: No      |
| Emerson Electric Co.                                      | EMERSON ELEC CO           | CUSIP: 291011104<br>LEI: FGLT0EWZSUIRRITFOA30 | Long             | EC               | CORP              | US        |      4206 | NS      | $402808.62    | 0.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Reinsurance Group of America, Incorporated                | REINSURANCE GROU          | CUSIP: 759351604<br>LEI: LORM1GNEU1DKEW527V90 | Long             | EC               | CORP              | US        |      4361 | NS      | $629728.40    | 0.65%             |  |  |  | No            |                  1 | On Loan: No      |
| Regeneron Pharmaceuticals, Inc.                           | REGENERON PHARM           | CUSIP: 75886F107<br>LEI: 549300RCBFWIRX3HYQ56 | Long             | EC               | CORP              | US        |       854 | NS      | $641951.80    | 0.66%             |  |  |  | No            |                  1 | On Loan: No      |
| Americold Realty Trust Inc                                | AMERICOLD REALTY          | CUSIP: 03064D108<br>LEI: 549300R7N1V5YV8MWH02 | Long             | EC               | CORP              | US        |     13754 | NS      | $410556.90    | 0.42%             |  |  |  | No            |                  1 | On Loan: No      |
| The Procter & Gamble Company                              | PROCTER & GAMBLE          | CUSIP: 742718109<br>LEI: 2572IBTT8CCZW6AU4141 | Long             | EC               | CORP              | US        |      7462 | NS      | $1113031.92   | 1.15%             |  |  |  | No            |                  1 | On Loan: No      |
| Laboratory Corp of America Holdings                       | LABORATORY CP             | CUSIP: 50540R409<br>LEI: OZ7UA8IXAIFILY2VZH07 | Long             | EC               | CORP              | US        |      1341 | NS      | $322778.70    | 0.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Activision Blizzard Inc                                   | ACTIVISION BLIZZ          | CUSIP: 00507V109<br>LEI: 549300TPQQDBP9GNOF40 | Long             | EC               | CORP              | US        |      5703 | NS      | $421736.85    | 0.43%             |  |  |  | No            |                  1 | On Loan: No      |
| GATX Corporation                                          | GATX CORP                 | CUSIP: 361448103<br>LEI: 549300IHYHCQP2PIR591 | Long             | EC               | CORP              | US        |      3187 | NS      | $359334.25    | 0.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Agilent Technologies Inc.                                 | AGILENT TECH INC          | CUSIP: 00846U101<br>LEI: QUIX8Y7A2WP0XRMW7G29 | Long             | EC               | CORP              | US        |      4025 | NS      | $623794.50    | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Merck & Co., Inc                                          | MERCK & CO                | CUSIP: 58933Y105<br>LEI: 4YV9Y5M8S0BRK1RP0397 | Long             | EC               | CORP              | US        |     17579 | NS      | $1935799.48   | 1.99%             |  |  |  | No            |                  1 | On Loan: No      |
| AstraZeneca PLC                                           | ASTRAZENECA-ADR           | CUSIP: 046353108<br>LEI: PY6ZZQWO2IZFZC3IOL08 | Long             | EC               | CORP              | GB        |     16097 | NS      | $1094113.09   | 1.13%             |  |  |  | No            |                  1 | On Loan: No      |
| United Parcel Service, Inc.                               | UNITED PARCEL-B           | CUSIP: 911312106<br>LEI: D01LMJZU09ULLNCY6Z23 | Long             | EC               | CORP              | US        |      1687 | NS      | $320074.51    | 0.33%             |  |  |  | No            |                  1 | On Loan: No      |
| Weyerhaeuser Company                                      | WEYERHAEUSER CO           | CUSIP: 962166104<br>LEI: 08IRJODWFYBI7QWRGS31 | Long             | EC               | CORP              | US        |      9973 | NS      | $326216.83    | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| U.S. Bancorp.                                             | US BANCORP                | CUSIP: 902973304<br>LEI: N1GZ7BBF3NP8GI976H15 | Long             | EC               | CORP              | US        |     14853 | NS      | $674177.67    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Valmont Industries, Inc.                                  | VALMONT INDS              | CUSIP: 920253101<br>LEI: 5493009ZGZJJ8F77JN08 | Long             | EC               | CORP              | US        |      1301 | NS      | $440596.66    | 0.45%             |  |  |  | No            |                  1 | On Loan: No      |
| PNC Financial Services Group Inc                          | PNC FINANCIAL SE          | CUSIP: 693475105<br>LEI: CFGNEKW0P8842LEUIA51 | Long             | EC               | CORP              | US        |      5044 | NS      | $848703.44    | 0.87%             |  |  |  | No            |                  1 | On Loan: No      |
| Stryker Corporation                                       | STRYKER CORP              | CUSIP: 863667101<br>LEI: 5493002F0SC4JTBU5137 | Long             | EC               | CORP              | US        |      3686 | NS      | $862118.54    | 0.89%             |  |  |  | No            |                  1 | On Loan: No      |
| Renaissancere Holdings Ltd.                               | RENAISSANCERE             | CUSIP: G7496G103<br>LEI: EK6GB9U3U58PDI411C94 | Long             | EC               | CORP              | BM        |      2348 | NS      | $443560.68    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Republic Services, Inc.                                   | REPUBLIC SVCS             | CUSIP: 760759100<br>LEI: NKNQHM6BLECKVOQP7O46 | Long             | EC               | CORP              | US        |      5703 | NS      | $794370.87    | 0.82%             |  |  |  | No            |                  1 | On Loan: No      |
| Altria Group, Inc.                                        | ALTRIA GROUP INC          | CUSIP: 02209S103<br>LEI: XSGZFLO9YTNO9VCQV219 | Long             | EC               | CORP              | US        |     34049 | NS      | $1586002.42   | 1.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Catalent Inc                                              | CATALENT INC              | CUSIP: 148806102<br>LEI: N/A                  | Long             | EC               | CORP              | US        |      4631 | NS      | $232152.03    | 0.24%             |  |  |  | No            |                  1 | On Loan: No      |
| Eli Lilly & Co.                                           | ELI LILLY & CO            | CUSIP: 532457108<br>LEI: FRDRIPF3EKNDJ2CQJL29 | Long             | EC               | CORP              | US        |      3069 | NS      | $1138844.52   | 1.17%             |  |  |  | No            |                  1 | On Loan: No      |
| Coterra Energy Inc                                        | COTERRA ENERGY I          | CUSIP: 127097103<br>LEI: FCNMH6O7VWU7LHXMK351 | Long             | EC               | CORP              | US        |     28076 | NS      | $783601.16    | 0.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Broadridge Financial Solutions Inc.                       | BROADRIDGE FINL           | CUSIP: 11133T103<br>LEI: 549300KZDJZQ2YIHRC28 | Long             | EC               | CORP              | US        |      2346 | NS      | $349812.06    | 0.36%             |  |  |  | No            |                  1 | On Loan: No      |
| Arch Resources Inc                                        | ARCH RESOURCES I          | CUSIP: 03940R107<br>LEI: W47HVZ7Q6FXL86RELH91 | Long             | EC               | CORP              | US        |      5196 | NS      | $804081.00    | 0.83%             |  |  |  | No            |                  1 | On Loan: No      |
| American Water Works Company, Inc.                        | AMERICAN WATER W          | CUSIP: 030420103<br>LEI: 549300DXHIJQMD5WFW18 | Long             | EC               | CORP              | US        |      3852 | NS      | $584579.52    | 0.60%             |  |  |  | No            |                  1 | On Loan: No      |
| Gilead Sciences, Inc.                                     | GILEAD SCIENCES           | CUSIP: 375558103<br>LEI: 549300WTZWR07K8MNV44 | Long             | EC               | CORP              | US        |     11452 | NS      | $1005829.16   | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| The TJX Companies Inc.                                    | TJX COS INC               | CUSIP: 872540109<br>LEI: V167QI9I69W364E2DY52 | Long             | EC               | CORP              | US        |     12170 | NS      | $974208.50    | 1.00%             |  |  |  | No            |                  1 | On Loan: No      |
| SBA Communications Corporation                            | SBA COMM CORP             | CUSIP: 78410G104<br>LEI: 5299001HX8ZN8Y8QIT49 | Long             | EC               | CORP              | US        |      1173 | NS      | $351078.90    | 0.36%             |  |  |  | No            |                  1 | On Loan: No      |
| Crown Castle Inc.                                         | CROWN CASTLE INC          | CUSIP: 22822V101<br>LEI: 54930012H97VSM0I2R19 | Long             | EC               | CORP              | US        |      2086 | NS      | $295022.98    | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Intercontinental Exchange Inc                             | INTERCONTINENTAL          | CUSIP: 45866F104<br>LEI: 5493000F4ZO33MV32P92 | Long             | EC               | CORP              | US        |      4698 | NS      | $508840.38    | 0.52%             |  |  |  | No            |                  1 | On Loan: No      |
| WEC Energy Group Inc.                                     | WEC ENERGY GROUP          | CUSIP: 92939U106<br>LEI: 549300IGLYTZUK3PVP70 | Long             | EC               | CORP              | US        |      3859 | NS      | $382581.26    | 0.39%             |  |  |  | No            |                  1 | On Loan: No      |
| Black Knight Inc                                          | BLACK KNIGHT              | CUSIP: 09215C105<br>LEI: 549300TUSNXS3BFFML48 | Long             | EC               | CORP              | US        |      5910 | NS      | $366360.90    | 0.38%             |  |  |  | No            |                  1 | On Loan: No      |
| CBRE Group                                                | CBRE GROUP INC-A          | CUSIP: 12504L109<br>LEI: 52990016II9MJ2OSWA10 | Long             | EC               | CORP              | US        |      7717 | NS      | $614273.20    | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Elevance Health Inc.                                      | ELEVANCE HEALTH           | CUSIP: 036752103<br>LEI: 8MYN82XMYQH89CTMTH67 | Long             | EC               | CORP              | US        |      2186 | NS      | $1164963.12   | 1.20%             |  |  |  | No            |                  1 | On Loan: No      |
| Packaging Corporation of America                          | PACKAGING CORP            | CUSIP: 695156109<br>LEI: 549300XZP8MFZFY8TJ84 | Long             | EC               | CORP              | US        |      2179 | NS      | $296104.31    | 0.30%             |  |  |  | No            |                  1 | On Loan: No      |
| Verizon Communications Inc.                               | VERIZON COMMUNIC          | CUSIP: 92343V104<br>LEI: 2S72QS2UO2OESLG6Y829 | Long             | EC               | CORP              | US        |     27555 | NS      | $1074093.90   | 1.11%             |  |  |  | No            |                  1 | On Loan: No      |
| Sysco Corporation                                         | SYSCO CORP                | CUSIP: 871829107<br>LEI: 5RGWIFLMGH3YS7KWI652 | Long             | EC               | CORP              | US        |      4698 | NS      | $406423.98    | 0.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Oracle Corporation                                        | ORACLE CORP               | CUSIP: 68389X105<br>LEI: 1Z4GXXU7ZHVWFCD8TV52 | Long             | EC               | CORP              | US        |     10058 | NS      | $835115.74    | 0.86%             |  |  |  | No            |                  1 | On Loan: No      |
| Carrier Global Corporation                                | CARRIER GLOB              | CUSIP: 14448C104<br>LEI: 549300JE3W6CWY2NAN77 | Long             | EC               | CORP              | US        |     14118 | NS      | $625709.76    | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| Woodward Governor                                         | WOODWARD INC              | CUSIP: 980745103<br>LEI: YPYKXXTR8TFDH54ZMB45 | Long             | EC               | CORP              | US        |      4361 | NS      | $417783.80    | 0.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Kimco Realty Corporation                                  | KIMCO REALTY              | CUSIP: 49446R109<br>LEI: 549300EA7I6T15IBYS12 | Long             | EC               | CORP              | US        |     29696 | NS      | $680632.32    | 0.70%             |  |  |  | No            |                  1 | On Loan: No      |
| The Progressive Corporation                               | PROGRESSIVE CORP          | CUSIP: 743315103<br>LEI: 529900TACNVLY9DCR586 | Long             | EC               | CORP              | US        |      5199 | NS      | $687047.85    | 0.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Akamai Technologies, Inc.                                 | AKAMAI TECHNOLOG          | CUSIP: 00971T101<br>LEI: OC1LZNN2LF5WTJ5RIL89 | Long             | EC               | CORP              | US        |      8728 | NS      | $827938.08    | 0.85%             |  |  |  | No            |                  1 | On Loan: No      |
| Home Depot Inc                                            | HOME DEPOT INC            | CUSIP: 437076102<br>LEI: QEKMOTMBBKA8I816DO57 | Long             | EC               | CORP              | US        |      2578 | NS      | $835246.22    | 0.86%             |  |  |  | No            |                  1 | On Loan: No      |
| Alexandria Real Estate Equities, Inc.                     | ALEXANDRIA REAL           | CUSIP: 015271109<br>LEI: MGCJBT4MKTQBVLNUIS88 | Long             | EC               | CORP              | US        |      2487 | NS      | $387002.07    | 0.40%             |  |  |  | No            |                  1 | On Loan: No      |
| Dollar General Corporation                                | DOLLAR GENERAL C          | CUSIP: 256677105<br>LEI: OPX52SQVOZI8IVSWYU66 | Long             | EC               | CORP              | US        |       855 | NS      | $218606.40    | 0.22%             |  |  |  | No            |                  1 | On Loan: No      |
| Consolidated Edison, Inc.                                 | CONS EDISON INC           | CUSIP: 209115104<br>LEI: 54930033SBW53OO8T749 | Long             | EC               | CORP              | US        |      6768 | NS      | $663534.72    | 0.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Amgen Inc.                                                | AMGEN INC                 | CUSIP: 031162100<br>LEI: 62QBXGPJ34PQ72Z12S66 | Long             | EC               | CORP              | US        |      3878 | NS      | $1110659.20   | 1.14%             |  |  |  | No            |                  1 | On Loan: No      |
| Skyworks Solutions, Inc.                                  | SKYWORKS SOLUTIO          | CUSIP: 83088M102<br>LEI: 549300WZ3ORQ2BVKBD96 | Long             | EC               | CORP              | US        |      4194 | NS      | $401030.28    | 0.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Hannon Armstrong Sustainable Infrastructure Capital, Inc. | HANNON ARMSTRONG          | CUSIP: 41068X100<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     13856 | NS      | $449488.64    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Morgan Stanley                                            | MORGAN STANLEY            | CUSIP: 617446448<br>LEI: IGJSJL3JD5P30I6NJZ34 | Long             | EC               | CORP              | US        |      7936 | NS      | $738603.52    | 0.76%             |  |  |  | No            |                  1 | On Loan: No      |
| Owens Corning                                             | OWENS CORNING             | CUSIP: 690742101<br>LEI: JO5M6676RDJIZ2U8X907 | Long             | EC               | CORP              | US        |      3495 | NS      | $310495.80    | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| KeyCorp                                                   | KEYCORP                   | CUSIP: 493267108<br>LEI: RKPI3RZGV1V1FJTH5T61 | Long             | EC               | CORP              | US        |     53119 | NS      | $999168.39    | 1.03%             |  |  |  | No            |                  1 | On Loan: No      |
| Raymond James Financial Inc.                              | RAYMOND JAMES             | CUSIP: 754730109<br>LEI: RGUZHJ05YTITL6D76949 | Long             | EC               | CORP              | US        |      5703 | NS      | $666680.70    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Ciena Corporation                                         | CIENA CORP                | CUSIP: 171779309<br>LEI: W0CZ7N0GH8UIGXDM1H41 | Long             | EC               | CORP              | US        |      6910 | NS      | $310673.60    | 0.32%             |  |  |  | No            |                  1 | On Loan: No      |
| Micron Technology Inc.                                    | MICRON TECH               | CUSIP: 595112103<br>LEI: B3DXGBC8GAIYWI2Z0172 | Long             | EC               | CORP              | US        |      8698 | NS      | $501439.70    | 0.52%             |  |  |  | No            |                  1 | On Loan: No      |
| Entegris Inc                                              | ENTEGRIS INC              | CUSIP: 29362U104<br>LEI: IYX6OWO7BT5DKO3BYG52 | Long             | EC               | CORP              | US        |      4724 | NS      | $365117.96    | 0.38%             |  |  |  | No            |                  1 | On Loan: No      |
| Northrop Grumman Corporation                              | NORTHROP GRUMMAN          | CUSIP: 666807102<br>LEI: RIMU48P07456QXSO0R61 | Long             | EC               | CORP              | US        |      2117 | NS      | $1128974.93   | 1.16%             |  |  |  | No            |                  1 | On Loan: No      |
| Synopsys Inc                                              | SYNOPSYS INC              | CUSIP: 871607107<br>LEI: QG7T915N9S0NY5UKNE63 | Long             | EC               | CORP              | US        |      1676 | NS      | $569069.04    | 0.59%             |  |  |  | No            |                  1 | On Loan: No      |
| Exxon Mobil Corporation                                   | EXXON MOBIL CORP          | CUSIP: 30231G102<br>LEI: J3WHBG0MTS7O8ZVMDC91 | Long             | EC               | CORP              | US        |     30294 | NS      | $3372933.96   | 3.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Zimmer Biomet Holdings Inc                                | ZIMMER BIOMET HO          | CUSIP: 98956P102<br>LEI: 2P2YLDVPES3BXQ1FRB91 | Long             | EC               | CORP              | US        |      5445 | NS      | $653944.50    | 0.67%             |  |  |  | No            |                  1 | On Loan: No      |
| Organon & Co                                              | ORGANON & CO              | CUSIP: 68622V106<br>LEI: 549300AMCKY57OK2CO56 | Long             | EC               | CORP              | US        |     11516 | NS      | $299646.32    | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Stericycle, Inc.                                          | STERICYCLE INC            | CUSIP: 858912108<br>LEI: B8PTJH2P0AXSWSMP2136 | Long             | EC               | CORP              | US        |      5871 | NS      | $306055.23    | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Ansys Inc                                                 | ANSYS INC                 | CUSIP: 03662Q105<br>LEI: 549300VJV8H15Z5FJ571 | Long             | EC               | CORP              | US        |      1843 | NS      | $468674.90    | 0.48%             |  |  |  | No            |                  1 | On Loan: No      |
| Visa Inc                                                  | VISA INC-CLASS A          | CUSIP: 92826C839<br>LEI: 549300JZ4OKEHW3DPJ59 | Long             | EC               | CORP              | US        |      6552 | NS      | $1421784.00   | 1.46%             |  |  |  | No            |                  1 | On Loan: No      |
| American Express Company                                  | AMERICAN EXPRESS          | CUSIP: 025816109<br>LEI: R4PP93JZOLY261QX3811 | Long             | EC               | CORP              | US        |      5219 | NS      | $822462.21    | 0.85%             |  |  |  | No            |                  1 | On Loan: No      |
| UnitedHealth Group Inc.                                   | UNITEDHEALTH GRP          | CUSIP: 91324P102<br>LEI: 549300GHBMY8T5GXDE41 | Long             | EC               | CORP              | US        |      4990 | NS      | $2733322.40   | 2.81%             |  |  |  | No            |                  1 | On Loan: No      |
| Wells Fargo & Company                                     | WELLS FARGO & CO          | CUSIP: 949746101<br>LEI: PBLD0EJDB5FWOLXP3B76 | Long             | EC               | CORP              | US        |     16146 | NS      | $774200.70    | 0.80%             |  |  |  | No            |                  1 | On Loan: No      |
| Philip Morris International Inc.                          | PHILIP MORRIS IN          | CUSIP: 718172109<br>LEI: HL3H1H2BGXWVG3BSWR90 | Long             | EC               | CORP              | US        |      9887 | NS      | $985437.29    | 1.01%             |  |  |  | No            |                  1 | On Loan: No      |
| Humana Inc.                                               | HUMANA INC                | CUSIP: 444859102<br>LEI: 529900YLDW34GJAO4J06 | Long             | EC               | CORP              | US        |      2411 | NS      | $1325808.90   | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| Arrow Electronics, Inc.                                   | ARROW ELECTRONIC          | CUSIP: 042735100<br>LEI: 549300YNNLBXT8N8R512 | Long             | EC               | CORP              | US        |      4492 | NS      | $488460.08    | 0.50%             |  |  |  | No            |                  1 | On Loan: No      |
| Lockheed Martin Corporation                               | LOCKHEED MARTIN           | CUSIP: 539830109<br>LEI: DPRBOZP0K5RM2YE8UU08 | Long             | EC               | CORP              | US        |      2703 | NS      | $1311468.57   | 1.35%             |  |  |  | No            |                  1 | On Loan: No      |
| Colgate-Palmolive Company                                 | COLGATE-PALMOLIV          | CUSIP: 194162103<br>LEI: YMEGZFW4SBUSS5BQXF88 | Long             | EC               | CORP              | US        |      5393 | NS      | $417849.64    | 0.43%             |  |  |  | No            |                  1 | On Loan: No      |
| Dover Corporation                                         | DOVER CORP                | CUSIP: 260003108<br>LEI: 549300FMC2ALGA7N9E80 | Long             | EC               | CORP              | US        |      2516 | NS      | $357146.20    | 0.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Hologic Inc                                               | HOLOGIC INC               | CUSIP: 436440101<br>LEI: 549300DYP6F5ZJL0LB74 | Long             | EC               | CORP              | US        |      8785 | NS      | $669065.60    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Albemarle Corp                                            | ALBEMARLE CORP            | CUSIP: 012653101<br>LEI: HDBLS2Q6GV1LSKQPBS54 | Long             | EC               | CORP              | US        |      2682 | NS      | $745569.18    | 0.77%             |  |  |  | No            |                  1 | On Loan: No      |
| Schlumberger Limited                                      | SCHLUMBERGER LTD          | CUSIP: 806857108<br>LEI: 213800ZUA17OK3QLGM62 | Long             | EC               | CORP              | CW        |     31765 | NS      | $1637485.75   | 1.68%             |  |  |  | No            |                  1 | On Loan: No      |
| Darden Restaurants, Inc.                                  | DARDEN RESTAURAN          | CUSIP: 237194105<br>LEI: CY1NFSCCB5GUXC7WZC70 | Long             | EC               | CORP              | US        |      4530 | NS      | $665864.70    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Hexcel Corporation                                        | HEXCEL CORP               | CUSIP: 428291108<br>LEI: S6Q7LW43WUBUHXY2QP69 | Long             | EC               | CORP              | US        |      7378 | NS      | $442311.10    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Eastman Chemical Company                                  | EASTMAN CHEMICAL          | CUSIP: 277432100<br>LEI: FDPVHDGJ1IQZFK9KH630 | Long             | EC               | CORP              | US        |      2853 | NS      | $247126.86    | 0.25%             |  |  |  | No            |                  1 | On Loan: No      |
| Deere & Company                                           | DEERE & CO                | CUSIP: 244199105<br>LEI: PWFTNG3EI0Y73OXWDH08 | Long             | EC               | CORP              | US        |       826 | NS      | $364266.00    | 0.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Sprouts Farmers Markets Inc                               | SPROUTS FARMERS           | CUSIP: 85208M102<br>LEI: 529900P8F4G77Q52XE24 | Long             | EC               | CORP              | US        |     17371 | NS      | $596346.43    | 0.61%             |  |  |  | No            |                  1 | On Loan: No      |
| Air Lease Corporation                                     | AIR LEASE CORP            | CUSIP: 00912X302<br>LEI: 5493004NW4M4P8TMMK63 | Long             | EC               | CORP              | US        |      9225 | NS      | $356269.50    | 0.37%             |  |  |  | No            |                  1 | On Loan: No      |
| Henry Schein, Inc.                                        | HENRY SCHEIN INC          | CUSIP: 806407102<br>LEI: VGO3WGL8H45T73F4RR92 | Long             | EC               | CORP              | US        |      8872 | NS      | $717922.24    | 0.74%             |  |  |  | No            |                  1 | On Loan: No      |
| Sensata Technologies Holding PLC                          | SENSATA TECHNOLO          | CUSIP: G8060N102<br>LEI: 529900MS7KFYCY9MS037 | Long             | EC               | CORP              | GB        |     10718 | NS      | $483381.80    | 0.50%             |  |  |  | No            |                  1 | On Loan: No      |
| Quest Diagnostics Incorporated                            | QUEST DIAGNOSTIC          | CUSIP: 74834L100<br>LEI: 8MCWUBXQ0WE04KMXBX50 | Long             | EC               | CORP              | US        |      3005 | NS      | $456249.15    | 0.47%             |  |  |  | No            |                  1 | On Loan: No      |
| Vertex Pharmaceuticals Incorporated                       | VERTEX PHARM              | CUSIP: 92532F100<br>LEI: 54930015RAQRRZ5ZGJ91 | Long             | EC               | CORP              | US        |      1929 | NS      | $610335.60    | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Steel Dynamics, Inc.                                      | STEEL DYNAMICS            | CUSIP: 858119100<br>LEI: 549300HGGKEL4FYTTQ83 | Long             | EC               | CORP              | US        |      3997 | NS      | $415408.21    | 0.43%             |  |  |  | No            |                  1 | On Loan: No      |
| MetLife Inc.                                              | METLIFE INC               | CUSIP: 59156R108<br>LEI: C4BXATY60WC6XEOZDX54 | Long             | EC               | CORP              | US        |     11735 | NS      | $900074.50    | 0.93%             |  |  |  | No            |                  1 | On Loan: No      |
| United States Steel Corporation                           | US STEEL CORP             | CUSIP: 912909108<br>LEI: JNLUVFYJT1OZSIQ24U47 | Long             | EC               | CORP              | US        |      4375 | NS      | $115018.75    | 0.12%             |  |  |  | No            |                  1 | On Loan: No      |
| Wabtec Corp                                               | WABTEC CORP               | CUSIP: 929740108<br>LEI: 06BTX5UWZD0GQ5N5Y745 | Long             | EC               | CORP              | US        |      6603 | NS      | $667497.27    | 0.69%             |  |  |  | No            |                  1 | On Loan: No      |
| Apollo Global Management Inc                              | APOLLO GLOBAL MA          | CUSIP: 03769M106<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     14134 | NS      | $980758.26    | 1.01%             |  |  |  | No            |                  1 | On Loan: No      |
| Spirit Aerosystems Holdings Inc                           | SPIRIT AEROSYSTEMS HOLD-C | CUSIP: 848574109<br>LEI: N/A                  | Long             | EC               | CORP              | US        |     12069 | NS      | $316328.49    | 0.33%             |  |  |  | No            |                  1 | On Loan: No      |
| VMware Inc                                                | VMWARE INC-CL A           | CUSIP: 928563402<br>LEI: 549300BUDHS3LRWBE814 | Long             | EC               | CORP              | US        |      4642 | NS      | $563956.58    | 0.58%             |  |  |  | No            |                  1 | On Loan: No      |
| Boston Properties, Inc.                                   | BOSTON PROPERTIE          | CUSIP: 101121101<br>LEI: 549300OF70FSEUQBT254 | Long             | EC               | CORP              | US        |      4573 | NS      | $329621.84    | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Snap-On Incorporated                                      | SNAP-ON INC               | CUSIP: 833034101<br>LEI: HHWAT5TDOYZMM26KKQ73 | Long             | EC               | CORP              | US        |      1843 | NS      | $443425.80    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| The Scotts Miracle-Gro Company                            | SCOTTS MIRACLE            | CUSIP: 810186106<br>LEI: 2TH9E0JTOUXOEGI2R879 | Long             | EC               | CORP              | US        |      4020 | NS      | $224838.60    | 0.23%             |  |  |  | No            |                  1 | On Loan: No      |
| WestRock Company                                          | WESTROCK CO               | CUSIP: 96145D105<br>LEI: 5493004Z9TCQW68YVL89 | Long             | EC               | CORP              | US        |      6867 | NS      | $260396.64    | 0.27%             |  |  |  | No            |                  1 | On Loan: No      |
| Lumentum Holdings Incorporation                           | LUMENTUM HOL              | CUSIP: 55024U109<br>LEI: 549300JLWRRC38DWEF52 | Long             | EC               | CORP              | US        |      5412 | NS      | $297335.28    | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| Cigna Corporation                                         | CIGNA CORP                | CUSIP: 125523100<br>LEI: 549300VIWYMSIGT1U456 | Long             | EC               | CORP              | US        |      4018 | NS      | $1321480.02   | 1.36%             |  |  |  | No            |                  1 | On Loan: No      |
| Eversource Energy                                         | EVERSOURCE ENERG          | CUSIP: 30040W108<br>LEI: SJ7XXD41SQU3ZNWUJ746 | Long             | EC               | CORP              | US        |      5364 | NS      | $444461.04    | 0.46%             |  |  |  | No            |                  1 | On Loan: No      |
| Exelon Corporation                                        | EXELON CORP               | CUSIP: 30161N101<br>LEI: 3SOUA6IRML7435B56G12 | Long             | EC               | CORP              | US        |     45463 | NS      | $1880804.31   | 1.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Microsoft Corporation                                     | MICROSOFT CORP            | CUSIP: 594918104<br>LEI: INR2EJN1ERAN0W5ZP974 | Long             | EC               | CORP              | US        |      2848 | NS      | $726638.72    | 0.75%             |  |  |  | No            |                  1 | On Loan: No      |
| Masco Corporation                                         | MASCO CORP                | CUSIP: 574599106<br>LEI: 5GCSNMQXHEYA1JO8QN11 | Long             | EC               | CORP              | US        |     10626 | NS      | $539588.28    | 0.56%             |  |  |  | No            |                  1 | On Loan: No      |
| Fifth Third Bancorp                                       | FIFTH THIRD BANC          | CUSIP: 316773100<br>LEI: THRNG6BD57P9QWTQLG42 | Long             | EC               | CORP              | US        |     18786 | NS      | $683058.96    | 0.70%             |  |  |  | No            |                  1 | On Loan: No      |
| Syneos Health Inc                                         | SYNEOS HEALTH IN          | CUSIP: 87166B102<br>LEI: 549300F1ZGKDS8P6GU13 | Long             | EC               | CORP              | US        |      5558 | NS      | $196086.24    | 0.20%             |  |  |  | No            |                  1 | On Loan: No      |
| AmerisourceBergen Corporation                             | AMERISOURCEBERGE          | CUSIP: 03073E105<br>LEI: AI8GXW8LG5WK7E9UD086 | Long             | EC               | CORP              | US        |      2346 | NS      | $400438.74    | 0.41%             |  |  |  | No            |                  1 | On Loan: No      |
| Fidelity National Information Services Inc                | FIDELITY NATIONA          | CUSIP: 31620M106<br>LEI: 6WQI0GK1PRFVBA061U48 | Long             | EC               | CORP              | US        |      4175 | NS      | $303021.50    | 0.31%             |  |  |  | No            |                  1 | On Loan: No      |
| D.R. Horton, Inc.                                         | DR HORTON INC             | CUSIP: 23331A109<br>LEI: 529900ZIUEYVSB8QDD25 | Long             | EC               | CORP              | US        |      8220 | NS      | $706920.00    | 0.73%             |  |  |  | No            |                  1 | On Loan: No      |
| General Dynamics Corporation                              | GENERAL DYNAMICS          | CUSIP: 369550108<br>LEI: 9C1X8XOOTYY2FNYTVH06 | Long             | EC               | CORP              | US        |      1843 | NS      | $465154.77    | 0.48%             |  |  |  | No            |                  1 | On Loan: No      |
| Occidental Petroleum Corporation                          | OCCIDENTAL PETE           | CUSIP: 674599105<br>LEI: IM7X0T3ECJW4C1T7ON55 | Long             | EC               | CORP              | US        |     26359 | NS      | $1831686.91   | 1.88%             |  |  |  | No            |                  1 | On Loan: No      |
| Stifel Financial Corporation                              | STIFEL FINANCIAL          | CUSIP: 860630102<br>LEI: 549300E5F07FE5GHJX84 | Long             | EC               | CORP              | US        |      7045 | NS      | $452641.25    | 0.47%             |  |  |  | No            |                  1 | On Loan: No      |
| The Charles Schwab Corporation                            | SCHWAB (CHARLES)          | CUSIP: 808513105<br>LEI: 549300VSGCJ7E698NM85 | Long             | EC               | CORP              | US        |     22865 | NS      | $1887277.10   | 1.94%             |  |  |  | No            |                  1 | On Loan: No      |
| Bank of America Corporation                               | BANK OF AMERICA           | CUSIP: 060505104<br>LEI: 9DJT3UXIJIZJI4WXO774 | Long             | EC               | CORP              | US        |     45784 | NS      | $1732924.40   | 1.78%             |  |  |  | No            |                  1 | On Loan: No      |
| American Electric Power Co, Inc.                          | AMERICAN ELECTRI          | CUSIP: 025537101<br>LEI: 1B4S6S7G0TW5EE83BO58 | Long             | EC               | CORP              | US        |     11868 | NS      | $1148822.40   | 1.18%             |  |  |  | No            |                  1 | On Loan: No      |
| Dentsply Sirona Inc                                       | DENTSPLY SIRONA           | CUSIP: 24906P109<br>LEI: 9NHEHR1SOZCYXDO8HO28 | Long             | EC               | CORP              | US        |      6207 | NS      | $187823.82    | 0.19%             |  |  |  | No            |                  1 | On Loan: No      |
| Berkshire Hathaway Inc.                                   | BERKSHIRE HATH-B          | CUSIP: 084670702<br>LEI: 5493000C01ZX7D35SD85 | Long             | EC               | CORP              | US        |      4776 | NS      | $1521633.60   | 1.57%             |  |  |  | No            |                  1 | On Loan: No      |
| LPL Financial Holdings Inc.                               | LPL FINANCIAL HO          | CUSIP: 50212V100<br>LEI: 549300XROQ4Y8G2L7682 | Long             | EC               | CORP              | US        |      2620 | NS      | $620180.20    | 0.64%             |  |  |  | No            |                  1 | On Loan: No      |
| LKQ Corporation                                           | LKQ CORP                  | CUSIP: 501889208<br>LEI: DS830JTTZQN6GK0I2E41 | Long             | EC               | CORP              | US        |      6226 | NS      | $338258.58    | 0.35%             |  |  |  | No            |                  1 | On Loan: No      |
| CSX Corporation                                           | CSX CORP                  | CUSIP: 126408103<br>LEI: 549300JVQR4N1MMP3Q88 | Long             | EC               | CORP              | US        |     12413 | NS      | $405780.97    | 0.42%             |  |  |  | No            |                  1 | On Loan: No      |
| Sealed Air Corporation                                    | SEALED AIR CORP           | CUSIP: 81211K100<br>LEI: Q0M0CZB4YN6JZ65WXI09 | Long             | EC               | CORP              | US        |      8051 | NS      | $428554.73    | 0.44%             |  |  |  | No            |                  1 | On Loan: No      |
| International Flavors & Fragrances Inc.                   | INTL FLVR & FRAG          | CUSIP: 459506101<br>LEI: BZLRL03D3GPGMOGFO832 | Long             | EC               | CORP              | US        |      5802 | NS      | $613967.64    | 0.63%             |  |  |  | No            |                  1 | On Loan: No      |
| Target Corporation                                        | TARGET CORP               | CUSIP: 87612E106<br>LEI: 8WDDFXB5T1Z6J0XC1L66 | Long             | EC               | CORP              | US        |      1997 | NS      | $333638.79    | 0.34%             |  |  |  | No            |                  1 | On Loan: No      |
| Cummins Inc.                                              | CUMMINS INC               | CUSIP: 231021106<br>LEI: ZUNI8PYC725B6H8JU438 | Long             | EC               | CORP              | US        |      4778 | NS      | $1200042.48   | 1.23%             |  |  |  | No            |                  1 | On Loan: No      |
| Keysight Technologies, Inc.                               | KEYSIGHT TEC              | CUSIP: 49338L103<br>LEI: 549300GLKVIO8YRCYN02 | Long             | EC               | CORP              | US        |      4193 | NS      | $758471.77    | 0.78%             |  |  |  | No            |                  1 | On Loan: No      |
| Ameriprise Financial, Inc.                                | AMERIPRISE FINAN          | CUSIP: 03076C106<br>LEI: 6ZLKQF7QB6JAEKQS5388 | Long             | EC               | CORP              | US        |      1449 | NS      | $480995.55    | 0.49%             |  |  |  | No            |                  1 | On Loan: No      |
| Unum Group                                                | UNUM GROUP                | CUSIP: 91529Y106<br>LEI: 549300E32YFDO6TZ8R31 | Long             | EC               | CORP              | US        |     16334 | NS      | $688968.12    | 0.71%             |  |  |  | No            |                  1 | On Loan: No      |
| Houlihan Lokey Incorporation                              | HOULIHAN LOKEY I          | CUSIP: 441593100<br>LEI: 549300S3CNGTQ1QZVY46 | Long             | EC               | CORP              | US        |      4698 | NS      | $462048.30    | 0.48%             |  |  |  | No            |                  1 | On Loan: No      |

### Signature

**Date Signed:** 2022-12-28

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

**Signature:** Sam Singh

**Name of Signer:** Sam Singh

**Title:** Treasurer