[144] SOPHiA GENETICS SA SEC Filing

Rhea-AI Filing Summary

Form 144 filed for SOPHiA GENETICS SA (SOPH) reports a proposed sale of 40,829 common shares through Morgan Stanley Smith Barney with an aggregate market value of $142,493.21, with an approximate sale date of 08/19/2025 on NASDAQ. The shares were acquired as Restricted Stock Units on 08/18/2025 and are being sold by the person identified in the filing. The filing also lists multiple prior 10b5-1 sales by the same person between 05/20/2025 and 07/23/2025, showing routine disposals of common shares under a trading plan. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.

Positive

• Sale appears executed through a broker (Morgan Stanley Smith Barney), indicating formal execution channels
• Multiple prior 10b5-1 sales are listed, suggesting the disposals are occurring under an established trading plan

Negative

• Insider intends to sell 40,829 shares (aggregate market value $142,493.21), representing immediate liquidity from recently acquired RSUs
• Shares were acquired on 08/18/2025 and are scheduled for sale on 08/19/2025, indicating near-immediate disposition of vested awards

Insights

Securities Analyst

TL;DR Insider plans to sell 40,829 RSU-derived shares via brokered sale; prior 10b5-1 trades show ongoing systematic disposals.

The filing documents a proposed brokered sale of 40,829 common shares valued at $142,493.21 scheduled for 08/19/2025. The shares were acquired as restricted stock units on 08/18/2025, indicating a near-immediate disposition of newly vested awards. The filer previously executed multiple 10b5-1 plan sales from 05/20/2025 through 07/23/2025, which suggests sales are being conducted under a pre-established trading plan rather than opportunistic transactions. For investors, this is a disclosure of insider liquidity but not, by itself, evidence of undisclosed company-specific deterioration.

Corporate Governance Expert

TL;DR Use of a broker and repeated 10b5-1 sales implies compliance with trading-plan safeguards but signals insider liquidity.

The document shows the seller is using Morgan Stanley Smith Barney for the proposed sale and has executed multiple 10b5-1 sales in recent months. That pattern aligns with standard compliance practices to mitigate insider trading concerns. The representation that no material nonpublic information exists is included in the notice. While routine from a governance perspective, concentrated insider selling of vested RSUs shortly after grant is a material disclosure for stakeholders monitoring insider activity.

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

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	40829	142493.21	67579560	08/19/2025	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	08/18/2025	Restricted Stock Units	Issuer			40829	08/18/2025	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 JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	07/23/2025	769	2711.19
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	07/22/2025	2622	9397.25
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	07/21/2025	1864	6618.50
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	07/08/2025	15102	50390.84
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	07/07/2025	9600	28887.36
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	07/03/2025	2666	7946.28
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	06/23/2025	769	2314.92
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	06/20/2025	4487	13310.24
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	05/23/2025	769	2199.88
10b5-1 Sales for JURGI CAMBLONG La Piece 12 ch-1180 Rolle V8 00000	Common	05/20/2025	3550	10163.65

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

What does the Form 144 for SOPH disclose about the proposed sale?

The form discloses a proposed brokered sale of 40,829 common shares valued at $142,493.21, with an approximate sale date of 08/19/2025 on NASDAQ.

How were the shares being sold acquired according to the filing?

The shares were acquired as Restricted Stock Units on 08/18/2025, with the same date listed for payment where applicable.

Does the filing show prior sales by the same person?

Yes. The filing lists multiple 10b5-1 sales between 05/20/2025 and 07/23/2025 with specific quantities and gross proceeds for each transaction.

Which broker is handling the proposed sale?

The proposed sale is to be executed through Morgan Stanley Smith Barney LLC Executive Financial Services.

Does the filer assert possession of any undisclosed material information?

The filer represents in the notice that they do not know any material adverse information about the issuer that has not been publicly disclosed.