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

Director-linked entities at Aura Minerals (AUGO) shift BDRs via securities lending

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

Rhea-AI Filing Summary

Aura Minerals Inc. director-associated entities reported internal restructuring transactions involving Brazilian Depositary Receipts (BDRs) and related securities lending agreements. On May 15 and May 18, clients managed by Kapitalo Investimentos Ltda. adjusted positions through securities lending, with no stated purchase or sale price.

The positions are held by entities managed by Kapitalo and may be deemed indirectly beneficially owned by Bruno Sousa Mauad. Certain clients entered securities lending agreements transferring title to counterparties, while those clients may still be considered beneficial owners because the arrangements can be discontinued at any time.

Positive

  • None.

Negative

  • None.
Insider Sousa Mauad Bruno
Role null
Type Security Shares Price Value
Other Brazilian Depository Receipts 1,400 $0.00 --
Other Securities Lending Agreement 1,400 $0.00 --
Other Brazilian Depository Receipts 21,801 $0.00 --
Other Securities Lending Agreement 21,801 $0.00 --
Holdings After Transaction: Brazilian Depository Receipts — 15,957,822 shares (Indirect, (2)); Securities Lending Agreement — 15,959,222 shares (Indirect, (2))
Footnotes (1)
  1. (1) Brazilian Depositary Receipts ("BDRs") 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 directlu by entities managed by Kapitalo Investimentos Ltda. ("Kapitalo"), and may deemed to be indirectly beneficially owned by Bruno Sousa Mauad, 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 agreement. Notwithstanding the foregoing transactions, such clients may be deemed to cotinue to have beneficial ownership over the securities reported herein as the arrangements to have beneficial ownership over the securities reported herein as the arrangements may be discontinued at any time by the clients.
Restructuring securities 46,402 derivative securities Total restructuringShares in transaction summary
Securities lending entry 21,801 securities Securities Lending Agreement on May 15, 2026
BDR restructuring entry 21,801 BDRs Brazilian Depository Receipts on May 15, 2026
Indirect holdings after transaction 15,959,222 securities Total following one May 15 securities lending transaction
Indirect holdings after BDR move 15,957,822 securities Total following one May 18 BDR transaction
BDR-to-share ratio 3 BDRs per common share Relationship between BDRs and common shares in footnote
Brazilian Depositary Receipts financial
"Brazilian Depositary Receipts ("BDRs") are certificates representing common shares no par value"
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.
Brazilian Depositary Receipts ("BDRs") financial
"Brazilian Depositary Receipts ("BDRs") are certificates representing common shares no par value"
Common Shares financial
"Three BDRs represent one Common Share of the issuer"
Common shares are the basic units of ownership in a company that give holders a claim on profits and a right to vote on key matters, like electing the board. Think of them as membership cards in a club: they let you share in successes and losses, but in a bankruptcy or liquidation they are paid after creditors and preferred shareholders, so their value can swing more and matters for assessing risk and potential return.
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)
05/15/2026		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 Depository Receipts(1)05/15/2026J21,801 (1) (1)Common shares, no par value7,267$0(1)15,937,421I(2)(2)
Securities Lending Agreement(3)05/15/2026J21,801 (3) (3)Common shares, no par value7,267$0(3)15,959,222I(2)(2)
Brazilian Depository Receipts(1)05/18/2026J1,400 (1) (1)Common shares, no par value466.67(1)15,957,822I(2)(2)
Securities Lending Agreement(3)05/18/2026J1,400 (3) (3)Common shares, no par value466.67$0(3)15,959,222I(2)(2)
Explanation of Responses:
1. (1) Brazilian Depositary Receipts ("BDRs") 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 directlu by entities managed by Kapitalo Investimentos Ltda. ("Kapitalo"), and may deemed to be indirectly beneficially owned by Bruno Sousa Mauad, 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 agreement. Notwithstanding the foregoing transactions, such clients may be deemed to cotinue to have beneficial ownership over the securities reported herein as the arrangements 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 Mauad05/19/2026
** 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 does the Aura Minerals (AUGO) Form 4 filing report?

The Form 4 reports internal restructuring transactions involving Brazilian Depositary Receipts and securities lending agreements. These were executed by entities managed by Kapitalo Investimentos Ltda., with no open-market buy or sell activity disclosed and no transaction price per share reported.

Who is involved in the Aura Minerals (AUGO) restructuring transactions?

The transactions relate to entities managed by Kapitalo Investimentos Ltda., which hold Aura Minerals securities. Director Bruno Sousa Mauad, a partner of Kapitalo, may be deemed an indirect beneficial owner of these positions according to the disclosure in the Form 4 footnotes.

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

Brazilian Depositary Receipts are certificates that represent Aura Minerals common shares. The filing states that three BDRs represent one common share, linking the Brazilian-traded receipts to the underlying common equity of Aura Minerals for reporting and beneficial ownership purposes.

What is the role of securities lending agreements in Aura Minerals (AUGO)’s Form 4?

Certain clients managed by Kapitalo entered securities lending agreements transferring title of Aura Minerals securities to counterparties. Despite this, those clients may still be deemed beneficial owners because the lending arrangements can be discontinued at any time, leaving underlying economic exposure unchanged.

Did Aura Minerals (AUGO) director Bruno Sousa Mauad buy or sell shares in this Form 4?

The filing shows “J” code transactions categorized as other acquisitions or dispositions, not open-market buys or sells. Activity reflects restructuring by entities managed by Kapitalo, with Mauad potentially having indirect beneficial ownership rather than directly trading Aura Minerals shares.

How many Aura Minerals securities were affected by the restructuring in this Form 4?

The transaction summary shows 46,402 derivative securities involved in restructuring transactions. These include securities lending-related movements in BDRs and linked instruments, with total indirect positions after transactions exceeding 15.9 million units for the reported derivative holdings.