SOPHiA GENETICS (NASDAQ: SOPH) officer may sell founder shares

Rhea-AI Filing Summary

SOPHiA GENETICS SA (SOPH) has a notice under Rule 144 indicating that officer Zhenyu Xu plans to sell up to 6,000 shares of common stock through Morgan Stanley Smith Barney LLC on or after August 20, 2026. The shares are identified as founders shares originally acquired from the issuer on June 20, 2012.

The notice also lists recent 10b5-1 sales of SOPHiA GENETICS common stock by Zhenyu Xu over the past three months, including individual transactions ranging from 3,000 to 17,000 shares with specified aggregate dollar amounts for each sale.

Key Figures

Planned shares to be sold: 6,000 shares of common stock Aggregate market value of planned sale: $49,680.00 Acquisition date of founders shares: 06/20/2012 +5 more

8 metrics

Planned shares to be sold 6,000 shares of common stock Shares covered by the Rule 144 notice to be sold through Morgan Stanley Smith Barney LLC

Aggregate market value of planned sale $49,680.00 Shown for the 6,000 common shares covered by the notice

Acquisition date of founders shares 06/20/2012 Original acquisition date of the 6,000 founders shares from the issuer

Shares sold on 08/19/2026 10,000 shares for $79,427.00 10b5-1 sale of common stock by Zhenyu Xu during the past three months

Shares sold on 08/07/2026 17,000 shares for $123,910.90 10b5-1 sale of common stock by Zhenyu Xu during the past three months

Shares sold on 08/04/2026 10,000 shares for $69,168.00 10b5-1 sale of common stock by Zhenyu Xu during the past three months

Shares sold on 07/06/2026 7,393 shares for $38,241.77 10b5-1 sale of common stock by Zhenyu Xu during the past three months

Shares sold on 06/15/2026 4,000 shares for $20,056.40 10b5-1 sale of common stock by Zhenyu Xu during the past three months

Key Terms

Rule 144, 10b5-1, Founders Shares, Form 144

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

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 La Piece 12 ch-1180 Rolle V8 00000"

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.

Founders Shares financial

"Common | 06/20/2012 | Founders Shares | Issuer"

Founders shares are a special block of a company’s stock originally given to the people who started the business; they often carry extra voting power or favorable terms compared with regular shares. For investors, these shares matter because they concentrate control and influence how future funding, ownership dilution, and decision-making will play out—think of founders shares as the steering wheel that can steer a company’s direction even as more passengers (investors) climb aboard.

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.

FAQ

What does the Form 144 filing mean for SOPH stock?

The Form 144 states that an officer, Zhenyu Xu, may sell up to 6,000 shares of SOPHiA GENETICS SA common stock under Rule 144 through a broker. It is a notice of potential sales, not confirmation that all shares have been or will be sold.

How many SOPH shares is Zhenyu Xu planning to sell under this Form 144?

The notice covers a planned sale of up to 6,000 shares of SOPHiA GENETICS SA common stock, with an aggregate market value shown as $49,680.00, to be sold through Morgan Stanley Smith Barney LLC on or after August 20, 2026.

What past SOPH share sales by Zhenyu Xu are disclosed in this filing?

The filing lists several 10b5-1 sales of SOPHiA GENETICS common stock in the prior three months, including 10,000 shares on August 19, 2026 for $79,427.00 and 17,000 shares on August 7, 2026 for $123,910.90, plus additional smaller transactions.

Are the SOPH shares in this Form 144 described as founders shares?

Yes. The securities to be sold section describes the 6,000 common shares as Founders Shares, originally acquired from the issuer on June 20, 2012, with the nature of acquisition shown as “Issuer.”

Is the planned SOPH share sale related to a 10b5-1 trading plan?

The planned 6,000-share sale is not explicitly labeled as 10b5-1, but the filing describes prior sales in the last three months as “10b5-1 Sales for ZHENYU XU”, indicating those earlier transactions were executed under a Rule 10b5-1 plan.

Which broker is handling the potential SOPH share sale in this Form 144?

The notice identifies Morgan Stanley Smith Barney LLC Executive Financial Services, located at 1 New York Plaza, as the broker for the potential sale of 6,000 shares of SOPHiA GENETICS SA common stock on or after August 20, 2026.

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

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Available on EDGAR 08/20/2026 - 04:33 PM Accepted by SEC EDGAR 08/20/2026 - 04:33 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	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	6000	49680.00	85127825	08/20/2026	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	06/20/2012	Founders Shares	Issuer			6000	06/20/2012	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	08/19/2026	10000	79427.00
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/13/2026	4000	30076.40
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/07/2026	17000	123910.90
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/05/2026	3000	21012.90
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/04/2026	10000	69168.00
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	07/13/2026	4000	22819.20
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	07/06/2026	7393	38241.77
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	06/15/2026	4000	20056.40

144: Remarks and Signature

Remarks
Date of Notice	08/20/2026
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)