SOPHiA GENETICS (NASDAQ: SOPH) officer to sell 14K founder shares

Rhea-AI Filing Summary

SOPHiA GENETICS SA (SOPH) received a notice that officer Zhenyu Xu plans to sell 14,000 shares of common stock under Rule 144. The shares, described as Founders Shares, have an indicated aggregate value of $119,420.00, with 85,127,825 common shares reported outstanding and trading on NASDAQ.

The planned sale is to be executed through Morgan Stanley Smith Barney LLC – Executive Financial Services. The notice also lists multiple prior Rule 10b5-1 plan sales of SOPHiA GENETICS common stock for Zhenyu Xu over recent months, each with specific share counts and dollar amounts.

Key Figures

Shares to be sold under Rule 144: 14,000 shares Aggregate market value of planned sale: $119,420.00 Common shares outstanding: 85,127,825 shares +3 more

6 metrics

Shares to be sold under Rule 144 14,000 shares Planned sale of SOPHiA GENETICS SA common stock for account of Zhenyu Xu

Aggregate market value of planned sale $119,420.00 Value associated with 14,000 common shares in the Rule 144 notice

Common shares outstanding 85,127,825 shares Reported outstanding SOPHiA GENETICS SA common shares in the notice

10b5-1 sale on 08/07/2026 17,000 shares for $123,910.90 One of the listed Rule 10b5-1 sales for Zhenyu Xu

10b5-1 sale on 08/19/2026 10,000 shares for $79,427.00 Another listed Rule 10b5-1 sale for Zhenyu Xu

10b5-1 sale on 08/21/2026 5,408 shares for $45,446.67 Most recent 10b5-1 sale shown in the past 3 months table

Key Terms

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

5 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.

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.

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.

Form 144 regulatory

"144: Securities To Be Sold"

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.

Executive Financial Services financial

"Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza"

FAQ

What does the Form 144 filing disclose for SOPH?

The filing discloses that officer Zhenyu Xu intends to sell 14,000 shares of SOPHiA GENETICS SA common stock under Rule 144, identified as Founders Shares, with an aggregate value of $119,420.00, executed through Morgan Stanley Smith Barney LLC.

How many SOPH shares are planned to be sold under this Form 144?

The notice covers a planned sale of 14,000 shares of SOPHiA GENETICS SA common stock. These shares are listed as Founders Shares to be sold for the account of officer Zhenyu Xu under Rule 144.

What is the reported value of the SOPH shares in this Form 144?

The Form 144 lists an aggregate market value of $119,420.00 for the 14,000 SOPHiA GENETICS SA common shares subject to this planned Rule 144 sale, based on the information provided in the securities section.

How many SOPH shares are reported outstanding in this notice?

The filing reports 85,127,825 SOPHiA GENETICS SA common shares outstanding. This figure is presented in the securities information section and serves as a reference, separate from the 14,000 shares covered by the planned sale.

Were there recent 10b5-1 sales by Zhenyu Xu in SOPH stock?

Yes. The notice lists multiple Rule 10b5-1 sales of SOPHiA GENETICS common stock for Zhenyu Xu, including transactions such as 17,000 shares for $123,910.90 on 08/07/2026 and 10,000 shares for $79,427.00 on 08/19/2026, among other dated sales.

On which market is SOPHiA GENETICS SA common stock traded in this filing?

The securities information section identifies SOPHiA GENETICS SA common stock as trading on NASDAQ. The planned Rule 144 sale of 14,000 shares references this market in connection with the issuer’s common shares.

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

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Available on EDGAR 08/27/2026 - 04:25 PM Accepted by SEC EDGAR 08/27/2026 - 04:24 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	14000	119420.00	85127825	08/27/2026	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			14000	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	08/21/2026	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
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	08/27/2026
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)