Aura Minerals holder sells 24,651 depositary receipts

Q: What transactions did Kapitalo Investimentos report for AUGO?

Kapitalo Investimentos disposed of 24,651 BDRs and entered into a cash-settled total return swap referencing 24,651 BDRs on November 3, 2026, using the sale proceeds to enter the swap. Three BDRs represent one common share, and the swap referenced 8,217 common shares. No Rule 10b5-1 plan is reported.

Q: How does the AUGO cash-settled total return swap work?

The swap references 24,651 BDRs and Kapitalo Investimentos will receive any increase in, and pay any decrease in, their price from an initial price of BRL117.29 per BDR. The final valuation date is November 30, 2026, subject to early termination by the parties.

Available on EDGAR 11/04/2026 - 02:41 PM EST Accepted by SEC EDGAR 11/04/2026 - 02:41 PM EST

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Rhea-AI Filing Summary

Aura Minerals Inc. director Mauad Bruno Sousa reported transactions attributed to Kapitalo Investimentos: on November 3, 2026, the entity disposed of 24,651 Brazilian Depositary Receipts (BDRs) and entered into a cash-settled total return swap referencing an equivalent 24,651 BDRs, using the sale proceeds to enter the swap. Three BDRs represent one common share, and the swap referenced 8,217 common shares. Its initial price was BRL117.29 per BDR, with a final valuation date of November 30, 2026, subject to early termination by the parties. After the transactions, the reported swap position referenced 24,651 BDRs and the reported BDR position was 11,414,340. No Rule 10b5-1 plan is reported.

Insider Trade Summary

49,302 shares exercised/converted

Exercise 2 txns

Insider Sousa Mauad Bruno

Role Director

Type	Security	Shares	Price	Value
Conversion	Cash-Settled Total Return Swap ^{F1, F2}	24,651	$21.3507	$526K
Conversion	Brazilian Depositary Receipts ^{F1, F3}	24,651	$21.3379	$526K

Holdings After Transaction: Cash-Settled Total Return Swap — 24,651 contracts (Indirect, By Kapitalo Investimentos); Brazilian Depositary Receipts — 11,414,340 contracts (Indirect, By Kapitalo Investimentos)

Holdings Before and After: Cash-Settled Total Return Swap, 0 to 24,651 contracts (Indirect, By Kapitalo Investimentos); Brazilian Depositary Receipts, 11,438,991 to 11,414,340 contracts (Indirect, By Kapitalo Investimentos)

Footnotes (3)

F1. BDRs are certificates representing Common Shares of the Issuer. Three BDRs represent one Common Share of the Issuer.
F2. Kapitalo Investimentos entered into a cash-settled total return swap pursuant to which it will receive any increase in, and pay any decrease in, the price of 24,651 Brazilian Depositary Receipts, from an initial price per Brazilian Depositary Receipt of BRL117.29. The final valuation date (subject to early termination by the parties) is November 30, 2026. The swap was entered into with the proceeds of a sale of an equivalent number of Brazilian Depositary Receipts reported in this table.
F3. The proceeds of the sale were used to enter into a cash-settled total return swap referencing an equivalent number of Brazilian Depositary Receipts. See corresponding transaction in this table.

Key Figures

BDRs disposed: 24,651 BDRs BDRs referenced by swap: 24,651 BDRs Underlying common shares: 8,217 common shares +3 more

6 metrics

BDRs disposed 24,651 BDRs Kapitalo Investimentos transaction on November 3, 2026

BDRs referenced by swap 24,651 BDRs Cash-settled total return swap

Underlying common shares 8,217 common shares Three BDRs represent one common share

Reported BDR position after transaction 11,414,340 BDRs Kapitalo Investimentos

Swap initial price BRL117.29 per BDR Initial price stated for the cash-settled total return swap

Final valuation date November 30, 2026 Subject to early termination by the parties

Key Terms

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

3 terms

cash-settled total return swap financial

"entered into a cash-settled total return swap"

Brazilian Depositary Receipts financial

"24,651 Brazilian Depositary Receipts"

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.

final valuation date financial

"The final valuation date (subject to early termination by the parties)"

FAQ

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What transactions did Kapitalo Investimentos report for AUGO?

Kapitalo Investimentos disposed of 24,651 BDRs and entered into a cash-settled total return swap referencing 24,651 BDRs on November 3, 2026, using the sale proceeds to enter the swap. Three BDRs represent one common share, and the swap referenced 8,217 common shares. No Rule 10b5-1 plan is reported.

How does the AUGO cash-settled total return swap work?

The swap references 24,651 BDRs and Kapitalo Investimentos will receive any increase in, and pay any decrease in, their price from an initial price of BRL117.29 per BDR. The final valuation date is November 30, 2026, subject to early termination by the parties.

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

Form 4 Insider Transactions: What Each Field Means →

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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)
11/03/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Cash-Settled Total Return Swap	⁽¹⁾	11/03/2026		C/K		24,651		⁽¹⁾	⁽¹⁾	Common shares, no par value	8,217	$21.3507⁽²⁾	24,651	I	By Kapitalo Investimentos
Brazilian Depositary Receipts	⁽¹⁾	11/03/2026		C			24,651	⁽¹⁾	⁽¹⁾	Common shares, no par value	8,217	$21.3379⁽³⁾	11,414,340	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 receive any increase in, and pay any decrease in, the price of 24,651 Brazilian Depositary Receipts, from an initial price per Brazilian Depositary Receipt of BRL117.29. The final valuation date (subject to early termination by the parties) is November 30, 2026. The swap was entered into with the proceeds of a sale of an equivalent number of Brazilian Depositary Receipts reported in this table.

3. The proceeds of the sale were used to enter into a cash-settled total return swap referencing an equivalent number of Brazilian Depositary Receipts. See corresponding transaction in this table.

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	11/04/2026
	** 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)

Source: View Original Filing on SEC EDGAR