SOPH (NASDAQ) affiliate files Form 144 to sell 9,838 RSUs; 10b5-1 trades listed

Rhea-AI Filing Summary

Company: SOPH. This Form 144 notifies proposed sales of Restricted Stock Units and reports recent 10b5-1 sales by an affiliate. The filing lists 9,838 RSUs as the security to be sold and shows multiple completed 10b5-1 sale trades in April–June 2026 with individual amounts and proceeds reported.

The reported 10b5-1 transactions include trades such as 4,442 shares for $21,166.13 on 04/13/2026 and smaller lots through 06/22/2026. The filing is a routine affiliate resale notice under Form 144; cash‑flow treatment and ultimate sale timing are those described by the reporting person’s plans.

Insights

Securities Compliance Counsel

Form 144 lists proposed resale of RSUs and documents recent 10b5-1 sales by an affiliate.

The filing identifies Restricted Stock Units totaling 9,838 units as the securities to be sold and records a sequence of 10b5-1 sales executed between 04/08/2026 and 06/22/2026

These disclosures are procedural: they notify the market of affiliate resale activity and document prior 10b5-1 trades. Subsequent filings or broker confirmations would show final proceeds and allocation; timing and cash‑flow recipients follow the affiliate’s sale plan as stated.

Key Figures

RSUs to be sold: 9,838 shares Sale on 04/13/2026: 4,442 shares Sale on 04/14/2026: 2,800 shares +2 more

5 metrics

RSUs to be sold 9,838 shares listed under "Securities To Be Sold" (07/02/2026)

Sale on 04/13/2026 4,442 shares 10b5-1 sale executed on 04/13/2026 for $21,166.13

Sale on 04/14/2026 2,800 shares 10b5-1 sale executed on 04/14/2026 for $13,887.16

Sale on 06/22/2026 422 shares 10b5-1 sale executed on 06/22/2026 for $2,270.49

Largest disclosed proceeds line $21,166.13 proceeds from the 4,442-share trade on 04/13/2026

Key Terms

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

4 terms

Form 144 regulatory

"144: Filer Information"

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.

10b5-1 regulatory

"10b5-1 Sales for ROSS J MUKEN"

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

"Securities To Be Sold | Restricted Stock Units"

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.

Issuer regulatory

"Securities To Be Sold | Issuer"

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Available on EDGAR 07/06/2026 - 04:32 PM Accepted by SEC EDGAR 07/06/2026 - 04:31 PM Learn about SEC filing dates

FAQ

What does SOPH's Form 144 report?

This Form 144 reports a proposed resale of 9,838 Restricted Stock Units and lists completed 10b5-1 sales executed in April–June 2026. It documents the affiliate’s planned disposition and prior trading under a 10b5-1 arrangement.

Who executed the 10b5-1 sales in the filing?

The filing shows 10b5-1 sales attributed to ROSS J MUKEN with multiple trade dates in April–June 2026. Each trade line in the filing lists the trade date, number of shares, and gross proceeds for that execution.

How many shares were sold on 04/13/2026 according to the filing?

The filing lists a 4,442-share 10b5-1 sale on 04/13/2026 with reported proceeds of $21,166.13. That trade is one of several discrete lots disclosed in the excerpt.

Does Form 144 confirm proceeds go to the issuer or selling holder?

The filing documents resale activity by an affiliate; it does not reassign proceeds. The disclosed 10b5-1 trades show proceeds tied to the selling person’s transactions rather than issuer capital raises.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	9838	52633.30	71790366	07/06/2026	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	07/02/2026	Restricted Stock Units	Issuer			9838	07/02/2026	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 ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	06/22/2026	422	2270.49
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	05/19/2026	761	3501.06
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/20/2026	760	3954.96
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/14/2026	2800	13887.16
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/13/2026	4442	21166.13
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/10/2026	3687	17278.76
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/09/2026	1950	9238.91
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/08/2026	2786	13488.14
10b5-1 Sales for ROSS J MUKEN La Piece 12 ch-1180 Rolle V8 00000	Common	04/07/2026	2424	11801.49

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)