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  4. [Form 4] Aura Minerals Inc. Insider Trading Activity

Aura Minerals director buys 33.5K, sells 52.9K BDRs

Director-linked entity Kapitalo Investimentos reported net reductions in BDR and swap-based exposure to Aura Minerals on September 2, 2026 through indirect derivative trades.

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Aura Minerals Inc. (AUGO) had indirect derivative trades reported by director Bruno Sousa Mauad in association with Kapitalo Investimentos on September 2, 2026. Kapitalo bought 33,500 Brazilian Depositary Receipts (BDRs) at about $28.29 per BDR and sold 52,908 BDRs at a weighted average of about $28.11 per BDR. Kapitalo also settled two cash-settled total return swaps referencing the issuer’s common shares, covering notional exposure equivalent to 22,000 and 11,500 BDRs at a settlement price of about $27.81 per BDR. Three BDRs represent one common share, and the reporting person disclaims beneficial ownership except to the extent of any pecuniary interest. No Rule 10b5-1 trading plan is indicated.

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Insider Sousa Mauad Bruno
Role Director
Bought 33,500 shs ($948K)
Sold 86,408 shs ($2.42M)
Type Security Shares Price Value
Purchase Brazilian Depositary Receipts F1 33,500 $28.2878 $948K
Sale Brazilian Depositary Receipts F1, F2 52,908 $28.1072 $1.49M
Sale Cash-Settled Total Return Swap F1, F3 22,000 $27.8119 $612K
Sale Cash-Settled Total Return Swap F1, F3 11,500 $27.8119 $320K
Holdings After Transaction: Brazilian Depositary Receipts — 13,558,160 contracts (Indirect, By Kapitalo Investimentos); Cash-Settled Total Return Swap — 437,851 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. The price reported is a weighted average price. These BDRs were sold in multiple transactions at prices ranging from $27.99 to $28.24, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of BDRs sold at each separate price within the ranges set forth in footnote (2) to this Form 4. The weighted average price, R$144.11 Brazilian reais ("BRL") per BDR, has been converted to U.S. dollars ("USD") using the Banco Central do Brasil's conversion rate as of September 2, 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 $27.81 using the Banco Central do Brasil's conversion rate as of September 2, 2026.
BDRs purchased 33,500 BDRs Indirect purchase by Kapitalo Investimentos on September 2, 2026
Purchase price per BDR $28.2878 Price for 33,500 BDRs bought on September 2, 2026
BDRs sold 52,908 BDRs Indirect sale by Kapitalo Investimentos on September 2, 2026
Weighted average sale price per BDR $28.1072 Weighted average for BDRs sold, converted from BRL 144.11 on September 2, 2026
Total return swap notional BDRs settled 33,500 BDRs Notional exposure (22,000 and 11,500 BDRs) in two cash-settled swaps
Swap settlement price per BDR $27.8119 Settlement price for cash-settled total return swaps on September 2, 2026
BDRs per common share 3 BDRs per common share Each three BDRs represent one Aura Minerals common share
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
"Kapitalo settled their position in a certain cash-settled total return swap agreement"
weighted average price financial
"The price reported is a weighted average price."
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
pecuniary interest financial
"disclaims beneficial ownership ... except to the extent of its pecuniary interest"

FAQ

What insider transactions did Aura Minerals Inc. (AUGO) report on September 2, 2026?
The filing reports that an entity associated with director Bruno Sousa Mauad, Kapitalo Investimentos, bought 33,500 BDRs and sold 52,908 BDRs, and settled two cash-settled total return swaps referencing Aura Minerals common shares on September 2, 2026.

At what prices were Aura Minerals (AUGO) BDRs traded in the Form 4?
Kapitalo Investimentos bought BDRs at about $28.29 per BDR and sold BDRs at a weighted average price of about $28.11 per BDR, based on a BRL 144.11 weighted average converted to U.S. dollars using the Brazilian central bank’s rate on September 2, 2026.

What do Aura Minerals (AUGO) Brazilian Depositary Receipts represent?
Each Brazilian Depositary Receipt represents Aura Minerals’ common shares. The filing states that three BDRs represent one common share of Aura Minerals, providing investors exposure to the underlying common equity through BDRs.

Were the Aura Minerals (AUGO) insider trades made under a Rule 10b5-1 plan?
No. The Form 4 indicates the Rule 10b5-1 checkbox is not checked, and the footnotes do not state that these transactions were made pursuant to any Rule 10b5-1 trading plan.

Does the director personally own the Aura Minerals (AUGO) securities reported?
The securities are reported as held indirectly by Kapitalo Investimentos, and the Form 4 states each reporting person disclaims beneficial ownership except to the extent of any pecuniary interest in the securities.

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SEC Form 4
FORM 4UNITED 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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
09/02/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Brazilian Depositary Receipts(1)09/02/2026P33,500 (1) (1)Common shares, no par value11,166.67$28.287813,611,068IBy Kapitalo Investimentos
Brazilian Depositary Receipts(1)09/02/2026S52,908 (1) (1)Common shares, no par value17,636$28.1072(2)13,558,160IBy Kapitalo Investimentos
Cash-Settled Total Return Swap(1)09/02/2026S/K22,000 (1) (1)Common shares, no par value7,333.33$27.8119(3)48,153IBy Kapitalo Investimentos
Cash-Settled Total Return Swap(1)09/02/2026S/K11,500 (1) (1)Common shares, no par value3,833.33$27.8119(3)389,698IBy 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. The price reported is a weighted average price. These BDRs were sold in multiple transactions at prices ranging from $27.99 to $28.24, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of BDRs sold at each separate price within the ranges set forth in footnote (2) to this Form 4. The weighted average price, R$144.11 Brazilian reais ("BRL") per BDR, has been converted to U.S. dollars ("USD") using the Banco Central do Brasil's conversion rate as of September 2, 2026.
3. Kapitalo settled their position in a certain cash-settled total return swap agreement pursuant to its terms at a settlement price of $27.81 using the Banco Central do Brasil's conversion rate as of September 2, 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 Mauad09/03/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR