12/07/2021 | Press release | Distributed by Public on 12/07/2021 15:43
Securities Act Registration No. 333-204808
Investment Company Act Registration No. 811-23066
As filed with the Securities and Exchange Commission on December 7, 2021
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ý
¨ | Pre-Effective Amendment No. |
ý | Post-Effective Amendment No. 237 |
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ý
ý | Amendment No. 240 |
(Check appropriate box or boxes.)
Northern Lights Fund Trust IV
(Exact Name of Registrant as Specified in Charter)
225 Pictoria Drive, Suite 450, Cincinnati, OH 45246
(Address of Principal Executive Offices) (Zip Code)
Registrant's Telephone Number, including Area Code: (631) 490-4300
The Corporation Trust Company
1209 Orange Street
Wilmington, DE 19801
(Name and Address of Agent for Service)
With copy to:
JoAnn M. Strasser Thompson Hine LLP 41 South High Street, Suite 1700 Columbus, Ohio 43215 (614) 469-3265 (phone) (614) 469-3361 (fax) |
Jennifer Farrell Ultimus Fund Solutions, LLC 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 (631) 490-4300 (phone) (631) 813-2884 (fax) |
Approximate date of proposed public offering: As soon as practicable after the effective date of the Registration Statement.
It is proposed that this filing will become effective:
() Immediately upon filing pursuant to paragraph (b)
(X) On January 6, 2022 pursuant to paragraph (b)
() 60 days after filing pursuant to paragraph (a)(1)
() On (date) pursuant to paragraph (a)(1)
() 75 days after filing pursuant to paragraph (a)(2)
() On (date) pursuant to paragraph (a)(2) of Rule 485.
If appropriate, check the following box:
(X) This post-effective amendment designates a new effective date for a previously filed post-effective amendment.
The sole purpose of this filing is to delay the effectiveness of the Trust's Post-Effective Amendment No. 227 to its Registration Statement until January 6, 2022. Post-Effective Amendment No. 227 to the Trust's Registration Statement relates to FMC Excelsior Focus Equity ETF. Parts A, B and C of Registrant'sPost-Effective Amendment No. 227 under the Securities Act of 1933 and Amendment No. 230 under the Investment Company Act of 1940, filed on September 24, 2021, are incorporated by reference herein.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, and the Investment Company Act of 1940, as amended, the Registrant certifies that it meets all of the requirements for effectiveness of this registration statement under Rule 485(b) under the Securities Act and has duly caused this registration statement to be signed on its behalf by the undersigned, duly authorized, in the City of Hauppauge, and State of New York, on the 7th day of December 2021.
Northern Lights Fund Trust IV
By: _/s/ Wendy Wang_______________
Wendy Wang, President
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities indicated on December 7, 2021.
Name | Title |
Joseph Breslin* | Trustee |
Thomas Sarkany* | Trustee |
Charles Ranson* | Trustee |
Wendy Wang* | President and Principal Executive Officer |
Sam Singh* | Treasurer and Principal Financial Officer |
*By: _/s/ Wendy Wang
Wendy Wang
Attorney-in-Fact