SOPH Form 144: 18,556 Shares Registered for Sale

Morgan Stanley Smith Barney LLC submitted a Rule 144 notice to sell 18,556 shares of common stock.

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC submitted a Rule 144 notice to sell 18,556 shares of common stock. The filing lists the shares as Restricted Stock Units with a reported aggregate figure of $93,522.24 and cites 68,486,338 shares outstanding as of 04/06/2026. The excerpt also lists multiple 10b5-1 sales by Zhenyu Xu between 01/13/2026 and 03/19/2026 (examples shown: 4,000 and 608 share trades with corresponding proceeds).

Key Figures

Registered shares: 18,556 shares Aggregate figure shown: $93,522.24 Shares outstanding: 68,486,338 shares +2 more

5 metrics

Registered shares 18,556 shares Securities Information line

Aggregate figure shown $93,522.24 Securities Information line (aggregate amount listed alongside shares)

Shares outstanding 68,486,338 shares Listed as of 04/06/2026

10b5-1 example trade 4,000 shares Sale on 03/13/2026 with proceeds $18,472.40 (example insider trade)

10b5-1 example trade 608 shares Sale on 03/19/2026 with proceeds $2,907.03 (example insider trade)

Key Terms

Rule 144, 10b5-1, Restricted Stock Units

3 terms

Rule 144 regulatory

"144: Securities To Be Sold"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

10b5-1 regulatory

"10b5-1 Sales for ZHENYU XU"

A 10b5-1 plan is a pre-set schedule that lets company insiders buy or sell shares according to written instructions made when they do not possess material, nonpublic information. Think of it as a timed automatic payment for stock trades: it helps insiders avoid accusations of trading on secret information and gives outside investors a clearer signal about whether sales are routine or potentially informative about the company’s prospects.

Restricted Stock Units financial

"Restricted Stock Units | Issuer"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the SOPH Form 144 say was registered for sale?

The filing lists 18,556 shares of common stock registered for sale. The shares are described as Restricted Stock Units and tied to Morgan Stanley Smith Barney LLC as the broker-dealer handling the transaction.

Does the Form 144 show recent sales by insiders at SOPH?

Yes — the excerpt shows multiple 10b5-1 sales by Zhenyu Xu. Examples include 4,000 and 608 share trades dated between 01/13/2026 and 03/19/2026 with listed proceeds.

What outstanding share count is shown for SOPH in the filing?

The excerpt reports 68,486,338 shares outstanding as of 04/06/2026. That figure appears on the securities information line alongside the registered-sale details.

Who is listed as the broker or selling agent on the Form 144 for SOPH?

Morgan Stanley Smith Barney LLC is listed as the broker on the filing. The broker address shown is 1 New York Plaza, 8th Floor, New York, NY, associated with the registered sale entry.

Are the recent insider trades indicated as pre-arranged (10b5-1) in the filing?

Yes — the sales by Zhenyu Xu are identified as 10b5-1 sales. Multiple dated entries specify 10b5-1 plan executions with share counts and corresponding proceeds for each trade.

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

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Accepted by SEC EDGAR 04/06/2026 - 04:32 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0002006362
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	SOPHIA GENETICS SA
SEC File Number	001-40627
Address of Issuer	La Piece 12 ch-1180 Rolle SWITZERLAND 00000
Phone	41216941060
Name of Person for Whose Account the Securities are To Be Sold	ZHENYU XU
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	18556	93522.24	68486338	04/06/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	04/02/2026	Restricted Stock Units	Issuer			18556	04/02/2026	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	03/19/2026	608	2907.03
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	03/13/2026	4000	18472.40
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	02/19/2026	608	2929.83
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	02/13/2026	4000	19062.00
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	01/20/2026	608	3265.20
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	01/13/2026	4000	20682.40

144: Remarks and Signature

Remarks	The securities to be sold were acquired upon the vesting of restricted stock units on 04/02/2026 and 04/03/2026.
Date of Notice	04/06/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	09/11/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Zhenyu Xu
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)