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Securities lending shifts 892,620 Aura Minerals (AUGO) BDR-related units

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 lending agreements and Brazilian Depositary Receipts (BDRs) tied to the company’s common shares. The transactions, coded as “J” for other acquisition or disposition, did not involve a stated cash price.

The securities are owned directly by entities managed by Kapitalo Investimentos Ltda., and may be deemed indirectly beneficially owned by Mauad as a Kapitalo partner. Certain Kapitalo-managed clients entered securities lending agreements under which title to the issuer’s securities temporarily transferred to a counterparty, though the clients may still be deemed to retain beneficial ownership because the arrangements can be discontinued at any time.

Across four derivative entries, the filing shows restructuring of a total of 892,620 securities in these lending and BDR positions, with post-transaction indirect holdings that include 15,691,522 and 15,253,736 BDRs and 446,310 securities under lending agreements.

Positive

  • None.

Negative

  • None.
Insider Sousa Mauad Bruno
Role null
Type Security Shares Price Value
Other Brazilian Depositary Receipts 8,524 $0.00 --
Other Securities Lending Agreement 8,524 $0.00 --
Other Brazilian Depositary Receipts 437,786 $0.00 --
Other Securities Lending Agreement 437,786 $0.00 --
Holdings After Transaction: Brazilian Depositary Receipts — 15,253,736 shares (Indirect, See footnote); Securities Lending Agreement — 446,310 shares (Indirect, See footnote)
Footnotes (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. 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. 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 arrangements may be discontinued at any time by the clients.
Restructured securities 892,620 units Total restructuringShares across four derivative entries
BDR block size 437,786 units Brazilian Depositary Receipts in each of two J-code entries
Smaller BDR block 8,524 units Brazilian Depositary Receipts in each of two J-code entries
Post-transaction BDR holding 15,691,522 BDRs Total shares following one Brazilian Depositary Receipt transaction
Alternate BDR holding 15,253,736 BDRs Total shares following another BDR restructuring entry
Securities lending position 446,310 units Total shares following one securities lending agreement entry
BDR to share ratio 3 BDRs per 1 share Each three BDRs represent one Aura Minerals common share
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 agreements financial
"clients managed by Kapitalo entered into securities lending agreements whereby title transferred"
beneficial ownership financial
"such clients may be deemed to continue to have beneficial ownership over the securities"
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.
derivative financial
"transaction_type": "derivative", "transaction_shares": "437786.0000""
A derivative is a financial contract whose value depends on the price or performance of another asset or measure — for example a stock, index, interest rate, commodity, or currency. Investors use derivatives like insurance or leveraged bets to hedge risk, speculate, or gain exposure without owning the underlying asset; they can protect portfolios but also amplify losses and introduce counterparty and market risk.
Other acquisition or disposition financial
"transaction_code_description": "Other acquisition or disposition""
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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)
06/24/2026		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)06/24/2026J8,524 (1) (1)Common Shares, no par value2,841.33$0(1)15,253,736ISee footnote(2)
Securities Lending Agreement(3)06/24/2026J8,524 (3) (3)Common Shares, no par value2,841.33$0(3)446,310ISee footnote(2)
Brazilian Depositary Receipts(1)06/24/2026J437,786 (1) (1)Common Shares, no par value145,928.67$0(1)15,691,522ISee footnote(2)
Securities Lending Agreement(3)06/24/2026J437,786 (3) (3)Common Shares, no par value145,928.67$0(3)8,524ISee footnote(2)
Explanation of Responses:
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 arrangements 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 Mauad06/26/2026
** 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 did Aura Minerals (AUGO) report in this Form 4 filing?

Aura Minerals reported that entities managed by Kapitalo restructured securities lending and Brazilian Depositary Receipt positions involving 892,620 securities. These are coded as other acquisitions or dispositions, reflecting lending arrangements rather than traditional open-market purchases or sales.

Who is associated with the Aura Minerals (AUGO) transactions in this Form 4?

The reporting person is director Bruno Sousa Mauad, a partner of Kapitalo Investimentos Ltda. The securities are owned directly by Kapitalo-managed entities and clients, and may be deemed indirectly beneficially owned by Mauad through his role at Kapitalo.

How many Aura Minerals (AUGO) securities were affected by the restructuring?

The transaction summary shows restructuring of 892,620 securities across securities lending agreements and Brazilian Depositary Receipts. Individual entries include blocks of 437,786 and 8,524 units, reflecting adjustments in derivative-type positions rather than straightforward stock trades.

What are Aura Minerals (AUGO) Brazilian Depositary Receipts mentioned in the filing?

The filing explains that Brazilian Depositary Receipts (BDRs) are certificates representing Aura Minerals common shares. Three BDRs correspond to one common share, allowing Brazilian investors exposure to the company’s equity through locally traded instruments tied to its underlying shares.

Do the Aura Minerals (AUGO) transactions involve changes in beneficial ownership?

Clients managed by Kapitalo entered securities lending agreements that transfer title to a counterparty for the arrangement’s duration. However, those clients may still be deemed beneficial owners because the lending arrangements are reversible and can be discontinued by the clients at any time.

How large are the indirect Aura Minerals (AUGO) holdings after these transactions?

Post-transaction figures show indirect positions that include 15,691,522 and 15,253,736 Brazilian Depositary Receipts and 446,310 securities under lending agreements. These holdings relate to entities and clients managed by Kapitalo, rather than direct personal holdings of the reporting director.