Northern Lights Fund Trust IV DEFA14A, filed Oct 14, 2020
Northern Lights Fund Trust IV (FMCE)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A
(Rule 14a−101)
INFORMATION REQUIRED IN PROXY STATEMENT
SCHEDULE 14A INFORMATION
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the Securities Exchange Act of 1934
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Northern Lights Fund Trust IV
(Name of Registrant as Specified in Its Charter)
(Names of Person(s) Filing Proxy Statement, if other than the Registrant)
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SHAREHOLDER SERVICES
Shareholder Name
Address 1
Address 2
Address 3
IMPORTANT NOTICE
Dear Shareholder:
We have tried unsuccessfully to contact you about a very important matter regarding your investment in the FormulaFolio Hedged Growth ETF, FormulaFolios Smart Growth ETF, FormulaFolios Tactical Growth ETF and FormulaFolios Tacical Income ETF Fund (the “Funds”). This pertains to a significant operating initiative for the Funds, which requires your response.
It is essential that we speak to you regarding this matter. The call will only take a few moments of your time and there is no confidential information required.
Please call us toll-free at (800) 488-8075 between 9:00 a.m. and 10:00 p.m. Eastern time Monday through Friday. At the time of the call please reference the number listed below.
Best regards,
Jason Crump
Vice President of Relationship Management

REFERENCE NUMBER: 123456789

IMPORTANT NOTICE REGARDING YOUR INVESTMENT
October 14, 2020
ADJOURNED SPECIAL MEETING OF SHAREHOLDERS
Dear Shareholder:
We are almost there, but we need your help. FormulaFolios Hedged Growth ETF, FormulaFolios Smart Growth ETF, FormulaFolios Tactical Growth ETF and FormulaFolios Tactical Income ETF Fund (the “Funds”) convened their special meeting of shareholders, October 9, 2020, and adjourned, without any business being conducted. The proposal being considered at the Special Meeting is the approval of a new investment advisory agreement by and between Northern Lights Fund Trust IV (the “Trust”), on behalf of the Funds, and FormulaFolio Investments LLC (the “Adviser”), the current investment adviser to the Funds (the “New Advisory Agreement”). No fee increase is proposed.
The Board unanimously approved the New Advisory Agreement at a meeting held on April 27, 2020. However, the Investment Company Act of 1940 requires that Fund shareholders approve the New Advisory Agreement before it can become effective. The approval of the New Advisory Agreement will not result in any change in advisory fees or any other fees or expenses paid by the Funds. The Special Meeting has been adjourned once again until Friday, November 6, 2020, to afford additional time to solicit shareholder votes in order to achieve quorum and hold the Meeting. The current interim advisory agreement in place between the Trust, on behalf of the Funds, and the Adviser will expire in November.
Our records indicate your shares of the Fund have yet to be voted. We apologize for the continued follow-up regarding this matter. HOWEVER, IT IS CRITICAL THAT WE RECEIVE YOUR PROXY VOTE BY NOVEMBER 6, 2020. Please help us to avoid further delay and costs by taking a moment to cast your vote today.
We value your time and have set up convenient voting options. Should you have any questions about the proposals, or about how to vote, please call (800) 488-8075.
Thank you in advance to your attention to this important matter.
Best regards,
|
|
Jennifer Farrell
Secretary
Here are the convenient methods to cast your vote today:
| 1. | Vote by Phone:. Call one of our proxy specialists toll-free at (800) 488-8075, Monday through Friday, from 9 a.m. to 10 p.m. Eastern Time. You will need the control number, which can be found on your proxy card(s) enclosed with this letter. |
| 2. | Vote by Touch-Tone Phone: You may cast your vote by telephone using an automated system by calling the toll-free number found on the enclosed proxy card(s). |
| 3. | Vote Online: You may cast your vote by visiting the web address located on the enclosed proxy card(s) and following the instructions on the website. |
| 4. | Vote by Mail: You may cast your vote by signing, dating and mailing the enclosed proxy card(s) in the postage-prepaid return envelope provided. |
We would be very grateful if you would use any one of the above voting methods listed to ensure that your vote is recorded by or before November 6, 2020.

IMPORTANT NOTICE REGARDING YOUR INVESTMENT
October 14, 2020
ADJOURNED SPECIAL MEETING OF SHAREHOLDERS
Dear Shareholder:
We are almost there, but we need your help. FormulaFolios Hedged Growth ETF, FormulaFolios Smart Growth ETF, FormulaFolios Tactical Growth ETF and FormulaFolios Tactical Income ETF Fund (the “Funds”) convened their special meeting of shareholders, October 9, 2020, and adjourned, without any business being conducted. The proposal being considered at the Special Meeting is the approval of a new investment advisory agreement by and between Northern Lights Fund Trust IV (the “Trust”), on behalf of the Funds, and FormulaFolio Investments LLC (the “Adviser”), the current investment adviser to the Funds (the “New Advisory Agreement”). No fee increase is proposed.
The Board unanimously approved the New Advisory Agreement at a meeting held on April 27, 2020. However, the Investment Company Act of 1940 requires that Fund shareholders approve the New Advisory Agreement before it can become effective. The approval of the New Advisory Agreement will not result in any change in advisory fees or any other fees or expenses paid by the Funds. The Special Meeting has been adjourned once again until Friday, November 6, 2020, to afford additional time to solicit shareholder votes in order to achieve quorum and hold the Meeting. The current interim advisory agreement in place between the Trust, on behalf of the Funds, and the Adviser will expire in November.
Our records indicate your shares of the Fund have yet to be voted. We apologize for the continued follow-up regarding this matter. HOWEVER, IT IS CRITICAL THAT WE RECEIVE YOUR PROXY VOTE BY NOVEMBER 6, 2020. Please help us to avoid further delay and costs by taking a moment to cast your vote today.
We value your time and have set up convenient voting options. Should you have any questions about the proposals, or about how to vote, please call (800) 488-8075 extension 14464.
Thank you in advance to your attention to this important matter.
Best regards,
|
|
Jennifer Farrell
Secretary
Here are the convenient methods to cast your vote today:
| 1. | Vote by Touch-Tone Phone: You may cast your vote by telephone using an automated system by calling the toll-free number found on the enclosed proxy card(s). |
| 2. | Vote Online: You may cast your vote by visiting the web address located on the enclosed proxy card(s) and following the instructions on the website. |
| 3. | Vote by Mail: You may cast your vote by signing, dating and mailing the enclosed proxy card(s) in the postage-prepaid return envelope provided. |
We would be very grateful if you would use any one of the above voting methods listed to ensure that your vote is recorded by or before November 6, 2020.

