SOPH files Form 144 to sell 6,335 RSU shares

SOPH submitted a Form 144 notice disclosing a proposed sale of 6,335 shares of Common Stock tied to Restricted Stock Units through Morgan Stanley Smith Barney LLC, dated 04/06/2026.

Rhea-AI Filing Summary

SOPH submitted a Form 144 notice disclosing a proposed sale of 6,335 shares of Common Stock tied to Restricted Stock Units through Morgan Stanley Smith Barney LLC, dated 04/06/2026. The filing also records prior 10b5-1 sales of 774 shares on 03/19/2026, with a reported value of $3,704.52.

Insights

Securities Compliance Counsel

Routine Form 144 notice for proposed resale of RSU-derived shares.

The filing lists a proposed resale of 6,335 shares dated 04/06/2026 via Morgan Stanley Smith Barney LLC and references prior 10b5-1 activity of 774 shares on 03/19/2026. This pattern is consistent with scheduled employee/insider dispositions rather than an unusual corporate event.

Timing and cash‑flow treatment are shown as broker-handled resale; the filing does not state net proceeds recipient beyond the selling holder. Subsequent regulatory filings will confirm completion or changes to the proposed sale.

Key Figures

Proposed shares to sell: 6,335 shares Prior 10b5-1 sales: 774 shares Value of prior sale: $3,704.52 +3 more

6 metrics

Proposed shares to sell 6,335 shares Proposed resale tied to RSUs, <date>04/06/2026</date>

Prior 10b5-1 sales 774 shares Sold on <date>03/19/2026</date>

Value of prior sale $3,704.52 Proceeds reported for 774-share sale on <date>03/19/2026</date>

Listed filing date 04/06/2026 Form 144 filing date

Securities effective date 04/02/2026 RSU vesting/issuance date shown for the securities to be sold

Possible outstanding shares figure 68,486,338 Number appearing in the excerpt alongside listing data, <date>04/06/2026</date>

Key Terms

Form 144, Restricted Stock Units, 10b5-1 Sales

3 terms

Form 144 regulatory

"Form 144 notice disclosing proposed sale of 6,335 shares"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Restricted Stock Units financial

"Securities to be sold listed as Restricted Stock Units dated 04/02/2026"

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.

10b5-1 Sales regulatory

"10b5-1 Sales for GEORGE CARDOZA showing 774 shares on 03/19/2026"

10b5-1 sales are pre-arranged stock-trading plans that let company insiders automatically buy or sell shares according to a fixed schedule or formula, even if they later learn confidential information. Think of it as setting up an automatic thermostat for trades: it creates a clear, documented path that can protect insiders from insider-trading accusations and gives investors a signal about predictable insider activity—though it can also simply be a way for insiders to diversify or raise cash.

FAQ

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

What did SOPH disclose in the Form 144 filed 04/06/2026?

The Form 144 disclosed a proposed resale of 6,335 shares of Common Stock tied to Restricted Stock Units, handled through Morgan Stanley Smith Barney LLC on 04/06/2026. It also lists prior 10b5-1 sales of 774 shares on 03/19/2026.

Who is acting as the broker for the proposed SOPH sale?

Morgan Stanley Smith Barney LLC is listed as the broker/dealer for the proposed resale of 6,335 shares on 04/06/2026. The filing names the firm and its New York address as the executing brokerage for the transaction.

What prior sales does the Form 144 report for the selling holder?

The filing reports prior 10b5-1 sales by the selling holder of 774 shares on 03/19/2026, with a reported value of $3,704.52. These prior sales are recorded in the three-month activity section.

Are the 6,335 shares registered sales or RSU-originated shares?

The Form 144 identifies the securities to be sold as Common Stock originating from Restricted Stock Units with an effective date of 04/02/2026. The filing ties the proposed resale to those RSU-derived shares.

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

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Accepted by SEC EDGAR 04/06/2026 - 04:31 PM 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	0001518734
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	GEORGE CARDOZA
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	6335	31928.40	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			6335	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 GEORGE CARDOZA La Piece 12 ch-1180 Rolle V8 00000	Common	03/19/2026	774	3704.52

144: Remarks and Signature

Remarks
Date of Notice	04/06/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	09/04/2025
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/ George Cardoza
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)