0001752724-24-074694.txt : 20240328 0001752724-24-074694.hdr.sgml : 20240328 20240328162643 ACCESSION NUMBER: 0001752724-24-074694 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: 24799460 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 S000072613 Main International ETF C000228990 Main International ETF INTL NPORT-P 1 primary_doc.xml NPORT-P false 0001644419 XXXXXXXX S000072613 C000228990 Northern Lights Fund Trust IV 811-23066 0001644419 549300UIBIHXQ3PDEC28 225 PICTORIA DRIVE SUITE 450 CINCINNATI 45246 631-470-2600 Main International ETF S000072613 549300CRP1U5ZZRTM464 2024-10-31 2024-01-31 N 111758459.63 239755.20 111518704.43 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 497359.90000000 N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FRANKLIN TAIWAN 35473P686 189810.00000000 NS USD 7598189.21000000 6.813376508305 Long EC RF US N 1 N N N Ishares Inc 549300MGJZCNMJLBAJ67 ISHARES MSCI SWEDEN ETF 464286756 166740.00000000 NS USD 6226071.60000000 5.582984156624 Long EC RF US N 1 N N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FRANKLIN S KOREA 35473P710 336190.00000000 NS USD 6949047.30000000 6.231284102087 Long EC RF US N 1 N N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FRANKLIN MEXICO 35473P736 263535.00000000 NS USD 8593454.69000000 7.705841575118 Long EC RF US N 1 N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FNK FTSE INDIA 35473P769 169290.00000000 NS USD 6040267.20000000 5.416371388883 Long EC RF US N 1 N N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FNK FTSE BR ETF 35473P835 302670.00000000 NS USD 5987871.95000000 5.369388014867 Long EC RF US N 1 N N N iShare Trust 5493000860OXIC4B5K91 ISHARES MSCI POLAND ETF 46429B606 171890.00000000 NS USD 3764391.00000000 3.375569165047 Long EC RF US N 1 N N Ishares Inc 549300MGJZCNMJLBAJ67 ISHARES MSCI GERMANY ETF 464286806 228310.00000000 NS USD 6636971.70000000 5.951442615768 Long EC RF US N 1 N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FNK FTSE GR ETF 35473P785 123120.00000000 NS USD 2792730.96000000 2.504271345577 Long EC RF US N 1 N N N ARK ETF Trust 2549000Z0EWMH3U0CQ16 ARK ISRAEL INNOV 00214Q609 292410.00000000 NS USD 5700357.50000000 5.111570771141 Long EC RF US N 1 N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FRANKLIN JAPAN 35473P744 613045.00000000 NS USD 17661826.45000000 15.83754630245 Long EC RF US N 1 N N N Exchange Traded Concepts Trust 549300TXJW88BSB0KL90 INDIA INT ECOM 301505558 84645.00000000 NS USD 1191801.60000000 1.068701081214 Long EC RF US N 1 N N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FNK FTSE CH ETF 35473P819 364180.00000000 NS USD 5280610.00000000 4.735178754981 Long EC RF US N 1 N N N iShare Trust 5493000860OXIC4B5K91 ISHARES MSCI INDIA SMALL- 46429B614 51300.00000000 NS USD 3766446.00000000 3.377411905250 Long EC RF US N 1 N N Ishares Inc 549300MGJZCNMJLBAJ67 ISHARES MSCI HONG KONG ET 464286871 333450.00000000 NS USD 5228496.00000000 4.688447580810 Long EC RF US N 1 N N Ishares Inc 549300MGJZCNMJLBAJ67 ISHARES MSCI FRANCE ETF 464286707 202635.00000000 NS USD 7856158.95000000 7.044700698555 Long EC RF US N 1 N N N Ishares Inc 549300MGJZCNMJLBAJ67 ISHARES MSCI JAPAN SMALL- 464286582 61560.00000000 NS USD 4398308.10000000 3.944009323351 Long EC RF US N 1 N N N Franklin Templeton ETF Trust 549300UHXVPT5S43XV04 FRANKLIN FTSE CANADA ETF 35473P827 164115.00000000 NS USD 5404306.95000000 4.846099116397 Long EC RF US N 1 N N N/A N/A Fidelity Money Market Government Portfolio N/A 0.00000000 NS USD 0.00000000 0.000000 Long STIV US N N/A N N 2024-02-28 Northern Lights Fund Trust IV Sam Singh Sam Singh Treasurer XXXX NPORT-EX 2 main-etfs_nport.htm MAIN ETFS NPORT EX

 

MAIN SECTOR ROTATION ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 98.8%      
    EQUITY - 98.2%      
2,275,000   ARK Genomic Revolution ETF(a),(b)       $ 64,701,000
2,769,435   Communication Services Select Sector SPDR Fund(c)         210,144,728
545,210   Health Care Select Sector SPDR Fund         76,536,580
455,000   Invesco QQQ Trust Series 1         189,721,350
555,750   iShares Biotechnology ETF(b)         74,681,685
692,250   iShares Core S&P Small-Cap ETF         71,994,000
175,725   iShares Expanded Tech-Software Sector ETF(b)         73,871,275
2,834,000   iShares S&P Mid-Cap 400 Growth ETF(c)         223,602,600
2,437,500   SPDR S&P Regional Banking ETF(b)         121,143,750
839,250   Technology Select Sector SPDR Fund(c)         165,902,940
48,750   VanEck Oil Services ETF(b)         14,260,350
661,980   VanEck Semiconductor ETF(b)         123,042,222
691,755   Vanguard Energy ETF         80,492,612
             

1,490,095,092

    FIXED INCOME - 0.6%      
100,975   SPDR Bloomberg 1-3 Month T-Bill ETF(b)         9,267,486
             
 
               
    TOTAL EXCHANGE-TRADED FUNDS (Cost $1,226,436,184)    

  1,499,362,578

               
    SHORT-TERM INVESTMENTS — 21.0%      
    COLLATERAL FOR SECURITIES LOANED - 21.0%      
318,668,153   Fidelity Investments Money Market Government Portfolio, Institutional Class, 5.26% (Cost $318,668,153)(d),(e)       $ 318,668,153
             
 
    TOTAL INVESTMENTS – 119.8% (Cost $1,545,104,337)     $ 1,818,030,731
    CALL OPTIONS WRITTEN - (0.1)% (Proceeds - $1,649,952)     (1,033,680)
    LIABILITIES IN EXCESS OF OTHER ASSETS - (19.7)%    

(299,059,761)

    NET ASSETS - 100.0%        

$ 1,517,937,290

               
               
 
 

 

MAIN SECTOR ROTATION ETF
SCHEDULE OF INVESTMENTS (Unaudited) (Continued)
January 31, 2024
 
           
Contracts(f)              
    WRITTEN EQUITY OPTIONS - (0.1)%   Expiration Date Exercise Price Notional Value Fair Value
    CALL OPTIONS WRITTEN- (0.1)%      
472   VanEck Oil Services ETF   06/21/2024 $ 300 $ 13,806,944 $ 1,033,680
    TOTAL CALL OPTIONS WRITTEN (Proceeds - $1,649,952)  
 
           
               
 

 

 

 

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

 

 

(a) Non-income producing security.
(b) All or a portion of the security is on loan. The total fair value of the securities on loan as of January 31, 2024 was $301,212,361.
(c) 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 $139,523,100.
(d) Rate disclosed is the seven day effective yield as of January 31, 2024.
(e) Security was purchased with cash received as collateral for securities on loan at January 31, 2024. Total collateral had a value of $318,668,153 at January 31, 2024.
(f) Each option contract allows the holder of the option to purchase or sell 100 shares of the underlying security.

 

 

 

 

 

 

 

 

 

 

 

 

 
 

 

MAIN THEMATIC INNOVATION ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 99.7%      
    EQUITY - 99.7%      
579,840   ARK Fintech Innovation ETF(a),(b)       $ 14,809,114
380,160   ARK Genomic Revolution ETF(a),(b)         10,811,750
910,080   Bitwise Crypto Industry Innovators ETF(b),(e)         8,117,914
230,330   Defiance Quantum ETF(b),(e)         12,617,477
153,600   First Trust Cloud Computing ETF(a),(b)         13,782,528
272,640   First Trust Nasdaq Artificial Intelligence and Robotics ETF(b)         11,873,472
402,940   Global X Artificial Intelligence & Technology ETF(b)         12,599,934
253,440   Proshares Online Retail ETF(a),(e)         8,297,626
360,960   Renaissance IPO ETF(a),(b),(e)         12,290,219
222,720   VanEck Video Gaming and eSports ETF(e)         12,710,630
    TOTAL EXCHANGE-TRADED FUNDS (Cost $127,233,910)      

117,910,664

               
    SHORT-TERM INVESTMENTS — 25.5%      
    COLLATERAL FOR SECURITIES LOANED - 25.5%      
30,158,899   Fidelity Investments Monet Market Government Portfolio, Institutional Class, 5.26% (Cost $30,158,899)(c),(d)         30,158,899
             
 
    TOTAL INVESTMENTS - 125.2% (Cost $157,392,809)     $ 148,069,563
    LIABILITIES IN EXCESS OF OTHER ASSETS - (25.2)%    

(29,804,279)

    NET ASSETS - 100.0%        

$ 118,265,284

           
               
 

 

 

 

 

ETF  - Exchange-Traded Fund
 

 

 

(a) Non-income producing security.
(b) All or a portion of the security is on loan. The total fair value of the securities on loan as of January 31, 2024 was $28,760,191.
(c) Rate disclosed is the seven day effective yield as of January 31, 2024.
(d) Security was purchased with cash received as collateral for securities on loan at January 31, 2024. Total collateral had a value of $30,158,889 at January 31, 2024.
(e) Affiliated Company – Main Thematic Innovation ETF holds in excess of 5% of the outstanding voting securities of this security.

 

 

 
 

 

 
 

 

MAIN INTERNATIONAL ETF
SCHEDULE OF INVESTMENTS (Unaudited)
January 31, 2024
 
Shares             Fair Value
    EXCHANGE-TRADED FUNDS — 99.6%      
    EQUITY - 99.6%      
292,410   ARK Israel Innovative Technology ETF(a),(b),(c)       $ 5,700,358
302,670   Franklin FTSE Brazil ETF         5,987,872
164,115   Franklin FTSE Canada ETF(b)         5,404,307
364,180   Franklin FTSE China ETF(c)         5,280,610
123,120   Franklin FTSE Germany ETF(c)         2,792,731
169,290   Franklin FTSE India ETF         6,040,267
613,045   Franklin FTSE Japan ETF         17,661,825
263,535   Franklin FTSE Mexico ETF(b),(c)         8,593,455
336,190   Franklin FTSE South Korea ETF         6,949,047
189,810   Franklin FTSE Taiwan ETF         7,598,189
84,645   The India Internet & Ecommerce ETF(c)         1,191,802
202,635   iShares MSCI France ETF         7,856,159
228,310   iShares MSCI Germany ETF(b)         6,636,972
333,450   iShares MSCI Hong Kong ETF(b)         5,228,496
51,300   iShares MSCI India Small-Cap ETF(b)         3,766,446
61,560   iShares MSCI Japan Small-Cap ETF         4,398,308
171,890   iShares MSCI Poland ETF(b)         3,764,391
166,740   iShares MSCI Sweden ETF         6,226,072
    TOTAL EXCHANGE-TRADED FUNDS (Cost $105,214,987)      

111,077,307

               
    SHORT-TERM INVESTMENTS — 12.6%      
    COLLATERAL FOR SECURITIES LOANED - 12.6%      
14,039,948   Fidelity Investments Monet Market Government Portfolio, Institutional Class, 5.26% (Cost $14,039,948)(d),(e)         14,039,948
             
 
    TOTAL INVESTMENTS - 112.2% (Cost $119,254,935)     $ 125,117,255
    LIABILITIES IN EXCESS OF OTHER ASSETS - (12.2)%    

(13,598,551)

    NET ASSETS - 100.0%        

$ 111,518,704

           
 

 

 

 

ETF  - Exchange-Traded Fund
FTSE  - Financial Times Stock Exchange
MSCI  - Morgan Stanley Capital International
 

 

 

(a) Non-income producing security.  
(b) All or a portion of the security is on loan. The total fair value of the securities on loan as of January 31, 2024 was $13,751,002.
(c) Affiliated Company – Main International ETF holds in excess of 5% of outstanding voting securities of this security.
(d) Rate disclosed is the seven day effective yield as of January 31, 2024.  
(e) Security was purchased with cash received as collateral for securities on loan at January 31, 2024. Total collateral had a value of $14,039,948 at January 31, 2024.