SOPHiA GENETICS officer Zhenyu Xu plans $157K sale

Morgan Stanley Smith Barney LLC is listed as the broker, and NASDAQ is listed as the exchange for the proposed sale.

Rhea-AI Filing Summary

SOPHiA GENETICS SA (SOPH) officer Zhenyu Xu reported a planned sale of 19,394 common shares, with an aggregate market value of $156,509.58 and an approximate sale date of October 5, 2026. The notice also lists earlier sales identified as “10b5-1 Sales,” including 4,000 shares for $31,537.60 on September 14, 2026, and 10,000 shares for $89,096.00 on August 27, 2026. It lists 85,127,825 shares outstanding.

Key Figures

Planned sale: 19,394 common shares Aggregate market value: $156,509.58 Shares outstanding: 85,127,825 shares +4 more

7 metrics

Planned sale 19,394 common shares Approximate sale date: October 5, 2026

Aggregate market value $156,509.58 Planned sale of common shares

Shares outstanding 85,127,825 shares Listed in the securities information

September 14 sale 4,000 shares Listed as a 10b5-1 sale

September 14 sale amount $31,537.60 Listed for the September 14, 2026 sale

August 27 sale 10,000 shares Listed as a 10b5-1 sale

August 27 sale amount $89,096.00 Listed for the August 27, 2026 sale

Key Terms

10b5-1 Sales, Restricted Stock Units, Founders Shares, Rule 144

4 terms

10b5-1 Sales regulatory

"10b5-1 Sales for ZHENYU XU"

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.

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.

Founders Shares financial

"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.

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.

FAQ

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

How many SOPH shares is Zhenyu Xu planning to sell?

The planned sale is for 19,394 common shares, with an aggregate market value of $156,509.58 and an approximate sale date of October 5, 2026.

What recent 10b5-1 sales are listed for SOPH officer Zhenyu Xu?

The notice lists a 4,000-share sale for $31,537.60 on September 14, 2026, and a 10,000-share sale for $89,096.00 on August 27, 2026; both appear among entries labeled “10b5-1 Sales.”

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

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Available on EDGAR 10/05/2026 - 04:45 PM Accepted by SEC EDGAR 10/05/2026 - 04:45 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	19394	156509.58	85127825	10/05/2026	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	10/02/2026	Restricted Stock Units	Issuer			7394	10/02/2026	N/A
Common	06/20/2012	Founders Shares	Issuer			12000	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	09/14/2026	4000	31537.60
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/27/2026	10000	89096.00
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/21/2026	5408	45446.67
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	08/20/2026	4592	38608.62
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

144: Remarks and Signature

Remarks	The securities to be sold were acquired upon the vesting of restricted stock units on 10/02/2026 and 10/03/2026.
Date of Notice	10/05/2026
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)