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Aura Minerals (AUGO) director-linked entities restructure 27,326 BDRs via lending deals

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Aura Minerals Inc. director Bruno Sousa Mauad reported indirect restructuring transactions involving securities tied to the company. Entities managed by Kapitalo Investimentos Ltda., where he is a partner, entered into securities lending agreements involving 27,326 Brazilian Depositary Receipts (BDRs), which represent 9,108 common shares. After these non-cash, other-type transactions, indirect holdings reported in BDRs totaled 15,931,896. The filing notes that certain Kapitalo-managed clients may still be deemed beneficial owners because these lending arrangements can be discontinued at any time.

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Insider Sousa Mauad Bruno
Role null
Type Security Shares Price Value
Other Brazilian Depositary Receipts 27,326 $0.00 --
Other Securities Lending Agreement 27,326 $0.00 --
Holdings After Transaction: Brazilian Depositary Receipts — 15,931,896 shares (Indirect, (2)); Securities Lending Agreement — 15,959,222 shares (Indirect, (2))
Footnotes (1)
  1. (1) Brazilian Depositary Receipts ("BDR") are certificates representing Common Shares, no par value ("Common Shares") of the Issuer. Three BDRs represent one Common Share of the Issuer. (2) The securities are owned directly by entities managed by Kapitalo Investimentos Ltda. ("Kapitalo") and may be deemed to be indirectly beneficially owned by Bruno Sousa Mauad, a partner of Kapitalo. (3)Certain clients managed by Kapitalo entered into securities lending agreements whereby title to the securities of the Issuer transferred to a counterparty for the duration of the arrangement. Notwithstanding the foregoing transactions, such clients may be deemed to continue to have beneficial ownership over the securities reported herein as the arrengements may be discontinued at any time by the clients.
BDRs restructured 27,326 BDRs Code J other transactions on Brazilian Depositary Receipts
Underlying common shares 9,108 shares Three BDRs represent one common share of Aura Minerals
Restructuring share total 54,652 units Aggregate restructuringShares across transactions in transactionSummary
BDRs after transaction 15,931,896 BDRs Indirect holdings reported following the BDR transaction
Transaction price per unit $0.0000 Price per derivative unit for both code J transactions
Derivative transactions count 2 transactions Both classified as derivative, code J other transactions
Brazilian Depositary Receipts financial
"Brazilian Depositary Receipts ("BDR") are certificates representing Common Shares"
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.
Securities Lending Agreement financial
"Certain clients managed by Kapitalo entered into securities lending agreements whereby title to the securities"
beneficial ownership financial
"such clients may be deemed to continue to have beneficial ownership over the securities reported herein"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
indirectly beneficially owned financial
"may be deemed to be indirectly beneficially owned by Bruno Sousa Mauad, a partner of Kapitalo"
derivative transaction financial
"transaction_type": "derivative", "transaction_code": "J" for other acquisition or disposition"
Form 4 Insider Transactions: What Each Field Means →
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)
05/19/2026		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)05/19/2026J27,326 (1) (1)Common Shares, no par value9,108$0(1)15,931,896I(2)(2)
Securities Lending Agreement(3)05/19/2026J27,326 (3) (3)Common Shares, no par value9,108$0(3)15,959,222I(2)(2)
Explanation of Responses:
1. (1) Brazilian Depositary Receipts ("BDR") are certificates representing Common Shares, no par value ("Common Shares") of the Issuer. Three BDRs represent one Common Share of the Issuer.
2. (2) The securities are owned directly by entities managed by Kapitalo Investimentos Ltda. ("Kapitalo") and may be deemed to be indirectly beneficially owned by Bruno Sousa Mauad, a partner of Kapitalo.
3. (3)Certain clients managed by Kapitalo entered into securities lending agreements whereby title to the securities of the Issuer transferred to a counterparty for the duration of the arrangement. Notwithstanding the foregoing transactions, such clients may be deemed to continue to have beneficial ownership over the securities reported herein as the arrengements may be discontinued at any time by the clients.
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 Mauad05/21/2026
** 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

FAQ

What insider transaction did Aura Minerals (AUGO) report in this Form 4?

Aura Minerals reported that entities linked to director Bruno Sousa Mauad entered into restructuring transactions involving Brazilian Depositary Receipts. These were classified as “other” transactions under code J, reflecting securities lending arrangements rather than open-market buying or selling of shares.

How many Aura Minerals (AUGO) BDRs were involved in the restructuring?

The restructuring involved 27,326 Brazilian Depositary Receipts (BDRs). According to the filing, three BDRs represent one common share of Aura Minerals, so these BDRs correspond to 9,108 underlying common shares of the company’s stock.

Who actually owns the Aura Minerals (AUGO) securities mentioned in the Form 4?

The securities are owned directly by entities managed by Kapitalo Investimentos Ltda. The filing states they may be deemed indirectly beneficially owned by Bruno Sousa Mauad, a Kapitalo partner, due to his relationship with those managed entities.

What are the securities lending agreements mentioned for Aura Minerals (AUGO)?

Certain clients managed by Kapitalo entered into securities lending agreements where title to Aura Minerals securities transferred temporarily to a counterparty. These arrangements can be discontinued at any time, so those clients may still be deemed beneficial owners of the lent securities.

Did the Aura Minerals (AUGO) Form 4 show open-market buys or sells by the director?

No open-market purchases or sales were reported. The Form 4 shows two code J “other” derivative transactions tied to restructuring and securities lending arrangements, with no buy or sell codes and no cash consideration per share disclosed.

What was the reported indirect BDR position after the Aura Minerals (AUGO) transactions?

After the reported transactions, indirect holdings in Brazilian Depositary Receipts totaled 15,931,896. This figure reflects the position associated with entities managed by Kapitalo following the restructuring transactions reported in the filing.