[144] SOPHiA GENETICS SA SEC Filing

Rhea-AI Filing Summary

Rockwell Medical, Inc. (RMTI) – Form 4/A amendment reports that Senior Vice President & Chief Financial Officer Jesse Neri sold 886 common shares on 01-Jul-2025 at a weighted-average price of $0.82 per share. The filing clarifies that the trade was executed pursuant to a Rule 10b5-1 trading plan adopted on 13-Dec-2024; this checkbox was inadvertently left blank in the original Form 4 filed 02-Jul-2025.

After the disposition, Neri directly owns 126,614 shares of RMTI. No derivative securities were bought or sold, and there are no other changes to his ownership stake.

The transaction represents roughly 0.7 % of the executive’s reported holdings and is immaterial relative to the company’s total shares outstanding. Because the sale was pre-arranged and the amendment is purely administrative, the filing carries limited fundamental significance but may still interest investors who monitor insider activity for sentiment cues.

Positive

• None.

Negative

• Insider sale by CFO: Although small (886 shares), any executive selling can be viewed cautiously by sentiment-focused investors.

Insights

Corporate Governance Analyst

TL;DR Minor insider sale under 10b5-1 plan; administrative amendment; neutral investor impact.

The amended Form 4 simply documents that the 886-share sale by CFO Jesse Neri occurred within a pre-scheduled Rule 10b5-1 framework, mitigating any concerns about opportunistic timing. The disposal equals less than 1 % of his holdings and is insignificant compared with Rockwell Medical’s float. No new economic transactions or derivative positions are disclosed, and beneficial ownership remains sizable at 126,614 shares. Given the small volume and procedural nature of the amendment, I view the event as neutral for valuation and governance risk assessments.

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	6939	21094.56	66687085	07/03/2025	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	07/02/2025	Restricted Stock Units	Issuer			6939	07/02/2025	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	06/23/2025	104	314.72
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	06/20/2025	608	1800.84
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	05/23/2025	105	299.76
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	05/19/2025	609	1746.49
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/23/2025	104	315.09
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/21/2025	609	1661.23
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/09/2025	3896	10935.68
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/08/2025	1875	5175.00
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/07/2025	1900	5097.32
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/04/2025	1526	4197.57

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)

FAQ

How many Rockwell Medical (RMTI) shares did CFO Jesse Neri sell?

He sold 886 common shares on 01-Jul-2025 at a weighted-average price of $0.82.

What is the CFO’s remaining ownership after the transaction?

Following the sale, Jesse Neri directly owns 126,614 RMTI shares.

Was the sale executed under a Rule 10b5-1 trading plan?

Yes. The Form 4/A confirms the sale was made pursuant to a Rule 10b5-1 plan adopted on 13-Dec-2024.

Does the Form 4/A disclose any derivative securities transactions?

No. No options, warrants, or other derivatives were acquired or disposed of in this filing.

Why was the Form 4 amended?

The amendment checks the box indicating the sale was under a 10b5-1 plan; no economic details were changed.