Form 144: SOPH 10b5-1 sales listed by holder

SOPH filer submitted a Form 144 notice reporting resale activity and recent 10b5-1 sales of Common Stock by a holder identified as ZHENYU XU.

Rhea-AI Filing Summary

SOPH filer submitted a Form 144 notice reporting resale activity and recent 10b5-1 sales of Common Stock by a holder identified as ZHENYU XU. The excerpt lists multiple 10b5-1 sales executed between 04/07/2026 and 06/15/2026, including trades of 4,000 and smaller lots with reported proceeds.

The filing also lists 7,393 Restricted Stock Units dated 07/02/2026 and 12,000 Founders Shares dated 06/20/2012 as securities referenced in the submission.

Insights

Securities Disclosure Analyst

Form 144 lists recent 10b5-1 sales and referenced equity holdings for a SOPH holder.

The excerpt documents multiple 10b5-1 dispositions by ZHENYU XU between 04/07/2026 and 06/15/2026, with individual trade sizes shown and cash proceeds reported per trade.

These entries are transactional records of past sales and listed securities such as Restricted Stock Units and Founders Shares; the filing does not attach valuation analysis or wider corporate context.

Compliance & Insider Transactions Specialist

Entries indicate planned or completed resale mechanics under a 10b5-1 plan rather than company capital actions.

The excerpt enumerates specific sale dates and amounts—for example 4,000 shares sold on 06/15/2026 for $20,056.40. It also lists RSUs (7,393) and Founders Shares (12,000) with their original grant dates.

For market impact or dilution assessment, subsequent filings with aggregate outstanding or registration details would be required.

Key Figures

10b5-1 sale on 06/15/2026: 4,000 shares 10b5-1 sale on 05/13/2026: 4,000 shares 10b5-1 sale examples (April 2026): ranges of 608–4,414 shares +2 more

5 metrics

10b5-1 sale on 06/15/2026 4,000 shares sale reported for ZHENYU XU with proceeds $20,056.40

10b5-1 sale on 05/13/2026 4,000 shares sale reported with proceeds $18,168.40

10b5-1 sale examples (April 2026) ranges of 608–4,414 shares multiple trades dated 04/07/2026–04/20/2026 with listed proceeds

Restricted Stock Units referenced 7,393 units listed with date 07/02/2026

Founders Shares referenced 12,000 shares listed with date 06/20/2012

Key Terms

10b5-1, Restricted Stock Units, Founders Shares

3 terms

10b5-1 regulatory

"10b5-1 Sales for ZHENYU XU ..."

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.

Restricted Stock Units financial

"Restricted Stock Units | Issuer | ... | 7,393 | 07/02/2026"

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 | ... | 12,000 | 06/20/2012"

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.

FAQ

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

What does SOPH's Form 144 show about recent insider sales?

The Form 144 lists multiple 10b5-1 sales by ZHENYU XU between 04/07/2026 and 06/15/2026, including lots of 4,000 shares and others with per-trade proceeds reported in the excerpt.

How many Restricted Stock Units are referenced in the SOPH excerpt?

The excerpt references 7,393 Restricted Stock Units dated 07/02/2026. That number appears on the securities list in the submission and is presented as a security type associated with the filer.

Does the filing list any Founders Shares for SOPH?

Yes. The excerpt lists 12,000 Founders Shares with an original date of 06/20/2012 as part of the securities referenced in the filing's inventory of holdings.

Are per-trade proceeds shown for the 10b5-1 sales in the excerpt?

Yes. Individual trades include reported proceeds—for example, a 4,000-share sale on 06/15/2026 shows $20,056.40, and other trades list similar per-trade proceeds in the table.

Who is named as the selling holder in the SOPH excerpt?

The excerpt identifies the selling holder as ZHENYU XU with an address line shown; multiple 10b5-1 sales are attributed to that named holder across the listed dates.

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

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Accepted by SEC EDGAR 07/06/2026 - 04:42 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	19393	103752.55	71790366	07/06/2026	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	07/02/2026	Restricted Stock Units	Issuer			7393	07/02/2026	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	06/15/2026	4000	20056.40
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	05/19/2026	608	2797.71
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	05/13/2026	4000	18168.40
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/20/2026	608	3164.82
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/14/2026	600	2979.78
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/13/2026	4414	21026.97
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/10/2026	3706	17347.04
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/09/2026	1936	9176.45
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/08/2026	2800	13549.20
10b5-1 Sales for ZHENYU XU La Piece 12 ch-1180 Rolle V8 00000	Common	04/07/2026	2400	11679.12

144: Remarks and Signature

Remarks	The 7,393 securities to be sold were acquired upon the vesting of restricted stock units on 07/02/2026 and 07/03/2026.
Date of Notice	07/06/2026
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)