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Aura Minerals (AUGO) details restructuring of Brazilian Depositary Receipts

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

Rhea-AI Filing Summary

Aura Minerals Inc. insider filing shows restructuring transactions involving Brazilian Depositary Receipts and securities lending agreements, rather than open-market buying or selling. Entities managed by Kapitalo Investimentos, whose clients may be deemed to beneficially own the shares, entered into securities lending agreements that temporarily transfer title to counterparties while allowing the clients to retain beneficial ownership and the right to end the arrangements.

The filing reports four "other" derivative transactions tied to Brazilian Depositary Receipts and related securities lending agreements, with indirect ownership reported for clients managed by Kapitalo and only deemed indirect beneficial ownership for director Bruno Sousa Mauad.

Positive

  • None.

Negative

  • None.
Insider Sousa Mauad Bruno
Role null
Type Security Shares Price Value
Other Brazilian Depositary Receipts 24,683 $0.00 --
Other Securities Lending Agreement 24,683 $0.00 --
Other Brazilian Depositary Receipts 47,040 $0.00 --
Other Securities Lending Agreement 47,040 $0.00 --
Holdings After Transaction: Brazilian Depositary Receipts — 15,944,539 shares (Indirect, (2)); Securities Lending Agreement — 15,969,222 shares (Indirect, (2))
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 arragngement may be discontinued at any time by the clients.
BDR transaction size 24,683 Brazilian Depositary Receipts Derivative transaction classified as "other" on 2026-06-08
BDR transaction size 47,040 Brazilian Depositary Receipts Derivative transaction classified as "other" on 2026-06-05
Underlying common shares 8,227.67 Common Shares Underlying one of the 24,683 BDR securities lending entries
Underlying common shares 15,680 Common Shares Underlying one of the 47,040 BDR securities lending entries
Restructuring total 143,446 derivative units Total restructuringShares across four "other" derivative transactions
BDR to share ratio 3 BDRs per 1 Common Share Brazilian Depositary Receipts representing Aura Minerals Common Shares
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 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.
Common Shares, no par value financial
"certificates representing Common Shares, no par value ("Common Shares") of the Issuer"
indirectly beneficially owned financial
"may be deemed to be indirectly beneficially owned by Bruno Sousa Mauad, a partner of Kapitalo"
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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)
06/05/2026		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)06/05/2026J47,040 (1) (1)Common Shares, no par value15,680$0(1)15,922,182I(2)(2)
Securities Lending Agreement(3)06/05/2026J47,040 (3) (3)Common Shares, no par value15,680$0(3)15,969,222I(2)(2)
Brazilian Depositary Receipts(1)06/08/2026J24,683 (1) (1)Common Shares, no par value8,227.67$0(1)15,944,539I(2)(2)
Securities Lending Agreement(3)06/08/2026J24,683 (3) (3)Common Shares, no par value8,227.67$0(3)15,969,222I(2)(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 arragngement 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 Mauad06/09/2026
** 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 activity does Aura Minerals (AUGO) report in this Form 4?

The Form 4 reports restructuring transactions, not open-market trades. Entities managed by Kapitalo Investimentos entered into securities lending agreements involving Aura Minerals securities, classified as "other" derivative transactions, with clients retaining deemed beneficial ownership.

Did Aura Minerals (AUGO) director Bruno Sousa Mauad buy or sell shares?

The filing does not show traditional open-market buys or sells by the director. It reports "other" transactions where clients of Kapitalo Investimentos entered securities lending agreements, and Mauad may be deemed an indirect beneficial owner through his role at Kapitalo.

How many Aura Minerals Brazilian Depositary Receipts were involved in these transactions?

The filing lists transactions of 24,683 and 47,040 Brazilian Depositary Receipts each on two separate dates. These BDRs are linked to securities lending agreements rather than straightforward purchases or sales on the market.

What do the Brazilian Depositary Receipts represent for Aura Minerals (AUGO)?

Each Brazilian Depositary Receipt represents a fraction of an Aura Minerals common share. According to the filing, three BDRs correspond to one Common Share with no par value, providing indirect exposure to the company’s equity.

Who actually owns the Aura Minerals securities referenced in this Form 4?

The securities are owned directly by entities managed by Kapitalo Investimentos. Certain clients of Kapitalo may be deemed to beneficially own these securities, while director Bruno Sousa Mauad is reported only as a potential indirect beneficial owner through his partnership at Kapitalo.

What is the purpose of the securities lending agreements mentioned for Aura Minerals (AUGO)?

The agreements temporarily transfer title of the securities to a counterparty. Clients managed by Kapitalo may continue to be deemed beneficial owners and can discontinue the lending arrangements at any time, according to the filing’s description.