[144] SOPHiA GENETICS SA SEC Filing

Rhea-AI Filing Summary

Form 144 notice for SOPHIA GENETICS SA (SOPH) discloses a proposed sale of 6,833 common shares through Morgan Stanley Smith Barney with an aggregate market value of $23,847.17. The filing lists the approximate sale date as 08/19/2025 and shows 67,579,560 shares outstanding. The shares were acquired as restricted stock units from the issuer on 08/18/2025 with payment noted on 08/18/2025. The filing also reports recent 10b5-1 sales by PHILIPPE MENU totaling 6,639 shares across several dates in May–July 2025 with listed gross proceeds.

Positive

• Brokered sale disclosed via Morgan Stanley Smith Barney LLC, providing a clear execution channel
• Acquisition and disposition dates provided (RSUs acquired 08/18/2025, proposed sale 08/19/2025), meeting disclosure requirements
• Previous 10b5-1 sales listed with dates, quantities, and gross proceeds, increasing transaction transparency

Negative

• Insider proposes near-immediate sale of RSUs (acquired 08/18/2025, proposed sale 08/19/2025), which may be perceived negatively by some market participants
• Aggregate sale amount is small but not accompanied by context about reason for sale within the filing

Insights

Securities Analyst

TL;DR: Insider filing discloses immediate sale of RSUs and recent 10b5-1 transactions; size is small relative to outstanding shares.

The Form 144 reports a proposed sale of 6,833 common shares valued at $23,847.17 to be executed via Morgan Stanley on 08/19/2025. The shares were acquired as restricted stock units from the issuer on 08/18/2025 and payment is recorded the same day, indicating a near-immediate disposition of newly vested awards. The filing also documents prior 10b5-1 plan sales by PHILIPPE MENU totaling 6,639 shares between 05/23/2025 and 07/23/2025 with modest gross proceeds. Relative to the issuer's reported 67,579,560 shares outstanding, the amounts disclosed are immaterial to market capitalization but are material as insider transaction disclosures.

Corporate Governance Expert

TL;DR: Disclosure aligns with Rule 144 requirements and lists broker, acquisition as RSUs, and recent 10b5-1 sales.

The notice includes required elements: broker identity (Morgan Stanley Smith Barney LLC), acquisition details (RSUs acquired 08/18/2025 from the issuer), and explicit representation regarding material non-public information. It also catalogs multiple 10b5-1 plan sales by an insider (PHILIPPE MENU) with dates, quantities, and gross proceeds. The filing appears procedural and fulfills statutory disclosure elements for proposed sales under Rule 144.

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	6833	23847.17	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			6833	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 PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	07/23/2025	105	360.15
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	07/21/2025	609	2152.45
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	07/07/2025	3406	10314.39
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	07/03/2025	1602	4773.80
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	06/23/2025	104	314.40
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	06/20/2025	608	1801.99
10b5-1 Sales for PHILIPPE MENU La Piece 12 ch-1180 Rolle V8 00000	Common	05/23/2025	105	302.31

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 SOPH Form 144 disclose?

The filing discloses a proposed sale of 6,833 common shares (aggregate value $23,847.17) with an approximate sale date of 08/19/2025.

Who is the broker handling the sale on the SOPH Form 144?

The broker listed is Morgan Stanley Smith Barney LLC with address at 1 New York Plaza, 8th Floor, New York, NY 10004.

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

The shares were acquired as Restricted Stock Units from the issuer on 08/18/2025, with payment recorded 08/18/2025.

Does the filing show recent insider sales for SOPH?

Yes. The filing lists multiple 10b5-1 sales by PHILIPPE MENU totaling 6,639 shares between 05/23/2025 and 07/23/2025 with listed gross proceeds.

How large is the proposed sale relative to outstanding shares?

The proposed 6,833 shares compare to 67,579,560 shares outstanding as reported in the filing, making the sale immaterial to total outstanding share count.