SOPHiA GENETICS (SOPH) president details option, RSU and trust stakes
Filing Impact
Filing Sentiment
Form Type
3
Rhea-AI Filing Summary
SOPHiA GENETICS SA President Ross Muken filed an initial Form 3 reporting his equity holdings in the company. The filing shows multiple share option grants over ordinary shares with exercise prices ranging from $3.29 to $18.00 and expiration dates between 2031 and 2035.
The report also lists direct ownership of 273,093 ordinary shares, which includes 249,158 ordinary shares issuable upon settlement of five RSU grants that vest in installments through dates extending to 2028. In addition, 200,000 ordinary shares are held indirectly by the Ross Muken 2026 Irrevocable Trust, for which Muken disclaims beneficial ownership except for any pecuniary interest.
Positive
- None.
Negative
- None.
Insider Trade Summary
8 transactions reported
Mixed
8 txns
Insider
Muken Ross
Role
President
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Share Option (Right to Buy) | -- | -- | -- |
| holding | Share Option (Right to Buy) | -- | -- | -- |
| holding | Share Option (Right to Buy) | -- | -- | -- |
| holding | Share Option (Right to Buy) | -- | -- | -- |
| holding | Share Option (Right to Buy) | -- | -- | -- |
| holding | Share Option (Right to Buy) | -- | -- | -- |
| holding | Ordinary Shares | -- | -- | -- |
| holding | Ordinary Shares | -- | -- | -- |
Holdings After Transaction:
Share Option (Right to Buy) — 640,000 shares (Direct);
Ordinary Shares — 200,000 shares (Indirect, By Family Trust);
Ordinary Shares — 273,093 shares (Direct)
Footnotes (1)
- Shares are held by the Ross Muken 2026 Irrevocable Trust. The Reporting Person's spouse is the beneficiary. The trust is irrevocable and the Reporting Person does not have the power to direct the trustees with respect to the voting or disposition of the securities held by the trust. A friend of the Reporting Person and an independent attorney serve as co-trustees. The Reporting Person retains the power to remove and replace the trustees. The Reporting Person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein. Includes 249,158 ordinary shares issuable upon settlement of five restricted stock unit ("RSU") grants. Each RSU represents a contingent right to receive one ordinary share of the Issuer, vesting subject to the Reporting Person's continued service with the Issuer, as follows: (i) 6,196 ordinary shares from a May 18, 2022 grant vesting in equal monthly installments through May 18, 2026; (ii) 68,100 ordinary shares from an April 3, 2023 grant vesting in equal quarterly installments through April 3, 2027; (iii) 64,053 ordinary shares from an April 2, 2024 grant vesting in equal quarterly installments through April 2, 2028; (iv) 14,358 ordinary shares from a December 18, 2024 grant vesting in equal quarterly installments through December 18, 2028; and (v) 96,451 ordinary shares from an April 2, 2025 grant, with 50% vesting on April 2, 2026 and the remainder vesting in equal quarterly installments through April 2, 2027. The share options are fully vested and exercisable. The share option vests and becomes exercisable as to 25% of the ordinary shares on April 3, 2024, and then in equal monthly installments through April 3, 2027. The share option vests and becomes exercisable as to 25% of the ordinary shares on April 2, 2025, and then in equal monthly installments through April 2, 2028. The share option vests and becomes exercisable as to 25% of the ordinary shares on December 18, 2025, and then in equal monthly installments through December 18, 2028. The share option vests and becomes exercisable as to 50% of the ordinary shares on April 2, 2026, and then in equal monthly installments through April 2, 2027.
FAQ
What does Ross Muken’s Form 3 for SOPHiA GENETICS (SOPH) report?
The Form 3 reports President Ross Muken’s existing equity holdings in SOPHiA GENETICS. It lists multiple share option grants over ordinary shares, direct ordinary share ownership, and indirect holdings through a family trust, without reporting any new purchases or sales.
Do the RSU grants reported for Ross Muken in SOPH vest over time?
Yes. The filing notes 249,158 ordinary shares issuable upon settlement of five RSU grants, each vesting in installments. Vesting occurs monthly or quarterly under separate grants, with final vesting dates extending through April 2028, contingent on Muken’s continued service with SOPHiA GENETICS.
Does Ross Muken’s Form 3 for SOPHiA GENETICS show any insider buying or selling?
No. The Form 3 functions as an initial statement of beneficial ownership and shows only existing holdings. The transaction summary indicates no buy or sell transactions, instead listing eight holding entries that describe option positions and share ownership as of the reported date.