Aura Minerals: Kapitalo buys and sells depositary receipts

Kapitalo's swap terms set an initial BRL138.58 per BDR and a September 30, 2026 final valuation date, subject to early termination by the parties.

Rhea-AI Filing Summary

Aura Minerals Inc. director Mauad Bruno Sousa reported five indirect transactions by Kapitalo Investimentos on September 29, 2026: a purchase of 11,054 Brazilian Depositary Receipts (BDRs) at 26.5305 per BDR and a cash-settled total return swap covering 6,739 BDRs at a reported transaction price of 26.5465 per unit; sales of 6,739 BDRs at 26.5305 per BDR and swap positions of 3,689 and 7,365 units at 27.3159 per reported unit. Three BDRs represent one common share. No Rule 10b5-1 plan is reported.

The swap covering 6,739 BDRs had an initial price of BRL138.58 per BDR and a final valuation date of September 30, 2026, subject to early termination by the parties. Kapitalo also settled a swap position at a settlement price of $27.32 using the Banco Central do Brasil conversion rate as of September 29, 2026.

Insider Trade Summary

5 transactions reported

Mixed 5 txns

Insider Sousa Mauad Bruno

Role Director

Bought 17,793 shs ($472K)

Sold 17,793 shs ($481K)

Type	Security	Shares	Price	Value
Purchase	Brazilian Depositary Receipts F1	11,054	$26.5305	$293K
Purchase	Cash-Settled Total Return Swap F1, F2	6,739	$26.5465	$179K
Sale	Cash-Settled Total Return Swap F1, F3	3,689	$27.3159	$101K
Sale	Brazilian Depositary Receipts F1	6,739	$26.5305	$179K
Sale	Cash-Settled Total Return Swap F1, F3	7,365	$27.3159	$201K

Holdings After Transaction: Cash-Settled Total Return Swap — 365,284 contracts (Indirect, By Kapitalo Investimentos); Brazilian Depositary Receipts — 11,438,991 contracts (Indirect, By Kapitalo Investimentos)

Footnotes (3)

1. F1. BDRs are certificates representing Common Shares of the Issuer. Three BDRs represent one Common Share of the Issuer.
2. F2. Kapitalo Investimentos entered into a cash-settled total return swap pursuant to which it will pay any increase in, and receive any decrease in, the price of 6,739 Brazilian Depository Receipts, from an initial price per Brazilian Depository Receipt of BRL138.58. The final valuation date (subject to early termination by the parties) is September 30, 2026.
3. F3. Kapitalo settled their position in a certain cash-settled total return swap agreement pursuant to its terms at a settlement price of $27.32 using the Banco Central do Brasil's conversion rate as of September 29, 2026.

Key Figures

BDRs purchased: 11,054 BDRs BDR purchase price: 26.5305 per BDR Swap units purchased: 6,739 units +5 more

8 metrics

BDRs purchased 11,054 BDRs Indirect purchase by Kapitalo Investimentos on September 29, 2026

BDR purchase price 26.5305 per BDR Reported price for the BDR purchase on September 29, 2026

Swap units purchased 6,739 units Cash-settled total return swap covering 6,739 BDRs, reported September 29, 2026

Swap purchase transaction price 26.5465 per reported unit Reported for the cash-settled total return swap on September 29, 2026

BDRs sold 6,739 BDRs Indirect sale by Kapitalo Investimentos on September 29, 2026

Swap units sold 3,689 units; 7,365 units Two cash-settled total return swap sales reported on September 29, 2026

Swap sale price 27.3159 per reported unit Reported price for the swap sales on September 29, 2026

Initial swap price BRL138.58 per BDR Swap covering 6,739 BDRs

Key Terms

Brazilian Depositary Receipts, cash-settled total return swap, final valuation date, conversion rate

4 terms

Brazilian Depositary Receipts financial

"BDRs are certificates representing Common Shares of the Issuer."

Brazilian Depositary Receipts (BDRs) are certificates traded on Brazilian exchanges that represent ownership of shares in foreign companies, allowing local investors to buy and sell exposure to those overseas stocks without opening foreign brokerage accounts. They matter because they let investors diversify across global companies using local currency and trading hours, similar to buying a locally issued voucher for a foreign product, while still exposing portfolios to the performance and risks of the underlying foreign shares.

cash-settled total return swap financial

"entered into a cash-settled total return swap"

final valuation date financial

"The final valuation date is September 30, 2026."

conversion rate financial

"using the Banco Central do Brasil's conversion rate"

Conversion rate is the proportion of items, people or contracts that take a desired action out of the total possible — for example the share of website visitors who make a purchase, or the number of convertible bonds that are exchanged for shares. Investors care because it measures how effectively a business or financial instrument turns opportunity into real outcomes, like sales or share issuance, which directly affects revenue, cash flow and ownership dilution.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What AUGO-related transactions did Kapitalo Investimentos report?

Kapitalo Investimentos purchased 11,054 BDRs and entered a cash-settled total return swap covering 6,739 BDRs on September 29, 2026. It also sold 6,739 BDRs and swap positions of 3,689 and 7,365 units. The reported BDR prices were 26.5305 per BDR; the swap sale price was 27.3159 per reported unit.

What were the terms of Kapitalo's AUGO-related cash-settled swap?

Kapitalo's swap covering 6,739 BDRs had an initial price of BRL138.58 per BDR and a final valuation date of September 30, 2026, subject to early termination by the parties. Under its terms, Kapitalo would pay any increase in, and receive any decrease in, the BDR price. A settled swap position had a settlement price of $27.32 using the Banco Central do Brasil conversion rate as of September 29, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/30/2026 - 04:13 PM Accepted by SEC EDGAR 09/30/2026 - 04:13 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Sousa Mauad Bruno

(Last) (First) (Middle)

C/O AURA TECHNICAL SERVICES INC.

3390 MARY ST, SUITE 116

(Street)

COCONUT GROVE FLORIDA 33133

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Aura Minerals Inc. [ AUGO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Brazilian Depositary Receipts	(1)	09/29/2026		P		11,054		(1)	(1)	Common shares, no par value	3,684.67	$26.5305	11,445,730	I	By Kapitalo Investimentos
Cash-Settled Total Return Swap	(1)	09/29/2026		P/K		6,739		(1)	(1)	Common shares, no par value	2,246.33	$26.5465(2)	6,739	I	By Kapitalo Investimentos
Cash-Settled Total Return Swap	(1)	09/29/2026		S/K			3,689	(1)	(1)	Common shares, no par value	1,229.67	$27.3159(3)	317,757	I	By Kapitalo Investimentos
Brazilian Depositary Receipts	(1)	09/29/2026		S			6,739	(1)	(1)	Common shares, no par value	2,246.33	$26.5305	11,438,991	I	By Kapitalo Investimentos
Cash-Settled Total Return Swap	(1)	09/29/2026		S/K			7,365	(1)	(1)	Common shares, no par value	2,455	$27.3159(3)	40,788	I	By Kapitalo Investimentos

Explanation of Responses:

1. BDRs are certificates representing Common Shares of the Issuer. Three BDRs represent one Common Share of the Issuer.

2. Kapitalo Investimentos entered into a cash-settled total return swap pursuant to which it will pay any increase in, and receive any decrease in, the price of 6,739 Brazilian Depository Receipts, from an initial price per Brazilian Depository Receipt of BRL138.58. The final valuation date (subject to early termination by the parties) is September 30, 2026.

3. Kapitalo settled their position in a certain cash-settled total return swap agreement pursuant to its terms at a settlement price of $27.32 using the Banco Central do Brasil's conversion rate as of September 29, 2026.

Remarks:

Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

	Bruno Sousa Mauad	09/30/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)