0001752724-24-074692.txt : 20240328 0001752724-24-074692.hdr.sgml : 20240328 20240328162214 ACCESSION NUMBER: 0001752724-24-074692 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240131 FILED AS OF DATE: 20240328 DATE AS OF CHANGE: 20240328 PERIOD START: 20241031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Northern Lights Fund Trust IV CENTRAL INDEX KEY: 0001644419 ORGANIZATION NAME: 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: 24799339 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 0001644419 S000077243 Main BuyWrite ETF C000237474 Main BuyWrite ETF BUYW NPORT-P 1 primary_doc.xml NPORT-P false 0001644419 XXXXXXXX S000077243 C000237474 Northern Lights Fund Trust IV 811-23066 0001644419 549300UIBIHXQ3PDEC28 225 PICTORIA DRIVE SUITE 450 CINCINNATI 45246 631-470-2600 Main Buywrite ETF S000077243 549300J1HWLD5SIU9R69 2024-10-31 2024-01-31 N 440837251.63 49316013.20 391521238.43 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0 N CBOE S&P 500 Buywrite Index (Close Price) BXM-USD Spdr Series Trust 5493004JVD6CQEEJSS37 SPDR S&P REGIONAL BANKING 78464A698 832700.00000000 NS USD 41385190.00000000 10.57035632752 Long EC RF US N 1 N N N VanEck ETF Trust 549300ZLFKNTXC51ZN76 VANECK SEMICONDU 92189F676 249100.00000000 NS USD 46300217.00000000 11.82572296350 Long EC RF US N 1 N N N Spdr S&P 500 Etf Trust 549300NZAMSJ8FXPQQ63 SPDR S&P 500 ETF 78462F103 430600.00000000 NS USD 207928128.00000000 53.10775191501 Long EC RF US N 1 N N N N/A N/A XLU US 09/20/24 C63 N/A -6491.00000000 NC USD -1798007.00000000 -0.45923613421 Short DE CORP N/A N 2 CONVERGEX ZI8Q1A8EI8LQFJNM0D94 Call Written Select Sector Spdr Trust Select Sector Spdr Trust SBI INT-UTILS -6491.00000000 63.00000000 USD 2024-09-20 XXXX 934306.08000000 N N N N/A N/A SPY US 12/20/24 C460 N/A -4306.00000000 NC USD -22823953.00000000 -5.82955680553 Short DE CORP N/A N 2 CONVERGEX ZI8Q1A8EI8LQFJNM0D94 Call Written Spdr S&P 500 Etf Trust Spdr S&P 500 Etf Trust TR UNIT -4306.00000000 460.00000000 USD 2024-12-20 XXXX -2738844.15000000 N N N BBH SWEEP VEHICLE 5493006KMX1VFTPYPW14 BBH SWEEP VEHICLE N/A 2287330.55000000 PA USD 2287330.55000000 0.584216212426 Long STIV US N 1 N N N Spdr Series Trust 5493004JVD6CQEEJSS37 SPDR S&P BIOTECH ETF 78464A870 519900.00000000 NS USD 45454857.00000000 11.60980619653 Long EC RF US N 1 N N N Select Sector Spdr Trust 5493008JJKIPMEX3CO91 UTILITIES SELECT SECTOR S 81369Y886 649100.00000000 NS USD 39887195.00000000 10.18774745399 Long EC RF US N 1 N N N N/A N/A XBI US 09/20/24 C84 N/A -5199.00000000 NC USD -5939857.50000000 -1.51712267866 Short DE CORP N/A N 2 CONVERGEX ZI8Q1A8EI8LQFJNM0D94 Call Written Spdr Series Trust Spdr Series Trust S&P BIOTECH -5199.00000000 84.00000000 USD 2024-09-20 XXXX 1798693.05000000 N N N N/A N/A SMH US 06/21/24 C165 N/A -2491.00000000 NC USD -7093122.50000000 -1.81168268889 Short DE CORP N/A N 2 CONVERGEX ZI8Q1A8EI8LQFJNM0D94 Call Written VanEck ETF Trust VanEck ETF Trust SEMICONDUCTOR ETF -2491.00000000 165.00000000 USD 2024-06-21 XXXX -1892722.30000000 N N N Select Sector Spdr Trust 5493008JJKIPMEX3CO91 COMM SERV SELECT SECTOR S 81369Y852 586000.00000000 NS USD 44465680.00000000 11.35715655638 Long EC RF US N 1 N N N N/A N/A XLC US 06/21/24 C69 N/A -5860.00000000 NC USD -5449800.00000000 -1.39195513935 Short DE CORP N/A N 2 CONVERGEX ZI8Q1A8EI8LQFJNM0D94 Call Written Select Sector Spdr Trust Select Sector Spdr Trust COMMUNICATION -5860.00000000 69.00000000 USD 2024-06-21 XXXX -1003226.57000000 N N N N/A N/A KRE US 09/20/24 C51 N/A -8327.00000000 NC USD -3601427.50000000 -0.91985495204 Short DE CORP N/A N 2 CONVERGEX ZI8Q1A8EI8LQFJNM0D94 Call Written Spdr Series Trust Spdr Series Trust S&P REGL BKG -8327.00000000 51.00000000 USD 2024-09-20 XXXX 2052740.02000000 N N N iShare Trust 5493000860OXIC4B5K91 ISHARES TREASURY FLOATING 46434V860 215050.00000000 NS USD 10903035.00000000 2.784787625754 Long EC RF US N 1 N N N 2024-02-28 Northern Lights Fund Trust IV Sam Singh Sam Singh Treasurer XXXX NPORT-EX 2 main-buywrite_nport.htm MAIN BUYWRITE ETF NPORT EX

 

MAIN BUYWRITE ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 111.4%      
    EQUITY - 108.6%      
586,000   Communication Services Select Sector SPDR Fund(a)       $ 44,465,680
430,600   SPDR S&P 500 ETF Trust(a)         207,928,128
519,900   SPDR S&P Biotech ETF(a)         45,454,857
832,700   SPDR S&P Regional Banking ETF(a)         41,385,190
649,100   Utilities Select Sector SPDR Fund(a)         39,887,195
249,100   VanEck Semiconductor ETF(a)         46,300,217
             

425,421,267

    FIXED INCOME - 2.8%      
215,050   iShares Treasury Floating Rate Bond ETF         10,903,035
             
 
    TOTAL EXCHANGE-TRADED FUNDS (Cost $387,899,356)    

  436,324,302

               
    TOTAL INVESTMENTS - 111.4% (Cost $387,899,356)     $ 436,324,302
    CALL OPTIONS WRITTEN - (11.9)% (Proceeds - $45,857,114)     (46,706,168)
    OTHER ASSETS IN EXCESS OF LIABILITIES - 0.5%    

1,903,104

    NET ASSETS - 100.0%        

$ 391,521,238

           
Contracts(b)              
    WRITTEN EQUITY OPTIONS - (11.9)%   Expiration Date Exercise Price Notional Value  
    CALL OPTIONS WRITTEN- (11.9)%      
5,860   Communication Services Select Sector SPDR Fund   06/21/2024 $ 69 $ 44,465,680 $ 5,449,800
4,306   SPDR S&P 500 ETF Trust   12/20/2024   460 207,928,128   22,823,953
5,199   SPDR S&P Biotech ETF   09/20/2024   84   45,454,857   5,939,858
8,327   SPDR S&P Regional Banking ETF   09/20/2024   51   41,385,190   3,601,427
6,491   Utilities Select Sector SPDR Fund   09/20/2024   63   39,887,195   1,798,007
2,491   VanEck Semiconductor ETF   06/21/2024   165   46,300,217   7,093,123
    TOTAL CALL OPTIONS WRITTEN (Proceeds - $45,857,114)  

46,706,168

         
           
               
 

 

 

 

ETF  - Exchange-Traded Fund
SPDR  - Standard & Poor's Depositary Receipt
 

 

 

(a) All or a portion of the security is held as collateral for written options. As of January 31, 2024, the fair value of the securities held as collateral was $425,421,267.
(b) Each option contract allows the holder of the option to purchase or sell 100 shares of the underlying security.