SOPHiA GENETICS (SOPH) CSO details ordinary share and option stakes

Rhea-AI Filing Summary

SOPHiA GENETICS SA filed an initial ownership report for Chief Scientific Officer Xu Zhenyu, detailing his existing equity position. He directly holds 537,724 ordinary shares, including 115,002 shares issuable under restricted stock units that vest over time, and 147,840 shares that have been pledged under lending arrangements. He also holds multiple share options over ordinary shares with expirations ranging from 2027 to 2035; some options are already fully vested, while others vest in monthly or quarterly installments through dates specified in the footnotes. The filing lists these holdings and does not show any new purchases or sales.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Xu Zhenyu

(Last) (First) (Middle)

C/O SOPHIA GENETICS SA

LA PIECE 12

(Street)

ROLLE 1180

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
SOPHiA GENETICS SA [ SOPH ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Scientific Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares	537,724(1)(2)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Share Option (Right to Buy)	(3)	09/05/2027	Ordinary Shares	10,000	$3.28	D
Share Option (Right to Buy)	(3)	07/24/2028	Ordinary Shares	40,000	$3.17	D
Share Option (Right to Buy)	(3)	09/26/2029	Ordinary Shares	30,000	$4.03	D
Share Option (Right to Buy)	(3)	01/28/2031	Ordinary Shares	40,000	$6.31	D
Share Option (Right to Buy)	(3)	07/22/2031	Ordinary Shares	75,472	$18	D
Share Option (Right to Buy)	(4)	04/03/2033	Ordinary Shares	185,874	$4.72	D
Share Option (Right to Buy)	(5)	04/02/2034	Ordinary Shares	251,524	$4.96	D
Share Option (Right to Buy)	(6)	04/02/2035	Ordinary Shares	187,500	$3.29	D

Explanation of Responses:

1. 147,840 ordinary shares have been pledged pursuant to lending arrangements.

2. Includes 115,002 ordinary shares issuable upon settlement of four 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) 2,704 ordinary shares from a May 18, 2022 grant vesting in equal monthly installments through May 18, 2026; (ii) 37,833 ordinary shares from an April 3, 2023 grant vesting in equal quarterly installments through April 3, 2027; (iii) 32,027 ordinary shares from an April 2, 2024 grant vesting in equal quarterly installments through April 2, 2028; and (iv) 42,438 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.

3. The share options are fully vested and exercisable.

4. 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.

5. 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.

6. 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.

Remarks:

Exhibit list - Exhibit 24 - Power of Attorney

	/s/ Elimara Brunetto as Attorney-in-fact for Zhenyu Xu	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

FAQ

What does SOPH's Form 3 show about Chief Scientific Officer Xu Zhenyu's holdings?

The Form 3 shows that Chief Scientific Officer Xu Zhenyu directly holds 537,724 ordinary shares of SOPHiA GENETICS SA. This total includes shares subject to restricted stock units and reflects his existing equity position, rather than new purchases or sales.

How many SOPH restricted stock units does Xu Zhenyu hold according to the Form 3?

Xu Zhenyu holds 115,002 ordinary shares issuable upon settlement of four restricted stock unit grants. These RSUs vest monthly or quarterly between May 2026 and April 2028, with one grant vesting 50% on April 2, 2026 before continuing in installments.

Are any of Xu Zhenyu’s SOPH shares pledged as collateral?

Yes. The filing notes that 147,840 ordinary shares held by Xu Zhenyu have been pledged under lending arrangements. This means those shares serve as collateral for borrowing, while still being included in his reported beneficial ownership stake.

What stock options in SOPHiA GENETICS does Xu Zhenyu report on the Form 3?

Xu Zhenyu reports several share options giving rights to buy SOPHiA GENETICS ordinary shares. These options cover multiple grants with expirations from 2027 through 2035, with some fully vested and others vesting in monthly or quarterly installments as described in the footnotes.

Does SOPH's Form 3 indicate any recent buying or selling by Xu Zhenyu?

No. The Form 3 functions as an initial statement of beneficial ownership and lists existing share and option positions. The summarized data shows holding entries only, with no reported open‑market purchases, sales, or option exercises by Xu Zhenyu.

How do the RSU grants for Xu Zhenyu at SOPHiA GENETICS vest over time?

Four RSU grants vest over several years: one vests monthly through May 18, 2026, two vest quarterly through April 3, 2027 and April 2, 2028, and one vests 50% on April 2, 2026 with the remainder in quarterly installments through April 2, 2027.