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  4. [Form 4] SOPHiA GENETICS SA Insider Trading Activity

SOPHiA GENETICS (SOPH) CSO sells 5,100 shares under 10b5-1 plan

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

SOPHiA GENETICS SA Chief Scientific Officer Zhenyu Xu reported open-market sales of ordinary shares tied to tax withholding on recently vested restricted stock units. The transactions covered a total of 5,100 shares at weighted average prices around $4.86 per share.

According to the disclosure, the sales were executed under a pre-established Rule 10b5-1 trading plan and are described as non-discretionary trades to satisfy tax obligations. Following these transactions, Xu directly holds 644,952 ordinary shares.

Positive

  • None.

Negative

  • None.
Insider Xu Zhenyu
Role Chief Scientific Officer
Sold 5,100 shs ($25K)
Type Security Shares Price Value
Sale Ordinary Shares 2,400 $4.8663 $12K
Sale Ordinary Shares 2,700 $4.852 $13K
Holdings After Transaction: Ordinary Shares — 644,952 shares (Direct)
Footnotes (1)
  1. Represents shares sold by the Reporting Person in the open market to satisfy tax withholding obligations arising in connection with the vesting of restricted stock units on April 2 and 3, 2026. These sales were effected pursuant to a pre-established Rule 10b5-1 trading plan adopted by the Reporting Person and do not represent discretionary trades. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.67 to $4.95, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.69 to $4.98, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Shares sold on 2026-04-07 2,400 shares at $4.8663 Open-market sale of ordinary shares
Shares sold on 2026-04-06 2,700 shares at $4.8520 Open-market sale of ordinary shares
Total shares sold 5,100 shares Net open-market sales reported in this Form 4
Shares held after transactions 644,952 shares Direct ownership of ordinary shares post-transaction
Price range 2026-04-06 $4.69–$4.98 Weighted average sale price range per footnote
Price range 2026-04-07 $4.67–$4.95 Weighted average sale price range per footnote
Rule 10b5-1 trading plan financial
"These sales were effected pursuant to a pre-established Rule 10b5-1 trading plan adopted by the Reporting Person"
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
restricted stock units financial
"tax withholding obligations arising in connection with the vesting of restricted stock units on April 2 and 3, 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.
weighted average price financial
"The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions"
Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.
open market financial
"Represents shares sold by the Reporting Person in the open market to satisfy tax withholding obligations"
An open market is a system where buying and selling of goods, services, or financial assets happen freely without restrictions or special controls. For investors, it means they can trade assets easily and quickly, which helps determine fair prices based on supply and demand. This environment encourages transparency and competition, making it easier to buy or sell with confidence.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Xu Zhenyu
(Last)(First)(Middle)
C/O SOPHIA GENETICS SA
LA PIECE 12
(Street)
ROLLE1180
(City)(State)(Zip)
SWITZERLAND
(Country)		2. Issuer Name and Ticker or Trading Symbol
SOPHiA GENETICS SA [ SOPH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Scientific Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/06/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Ordinary Shares04/06/2026S2,700(1)D$4.852(2)647,352D
Ordinary Shares04/07/2026S2,400(1)D$4.8663(3)644,952D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Represents shares sold by the Reporting Person in the open market to satisfy tax withholding obligations arising in connection with the vesting of restricted stock units on April 2 and 3, 2026. These sales were effected pursuant to a pre-established Rule 10b5-1 trading plan adopted by the Reporting Person and do not represent discretionary trades.
2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.67 to $4.95, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
3. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.69 to $4.98, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Remarks:
/s/ Elimara Brunetto as Attorney-in-fact for Zhenyu Xu04/08/2026
** Signature of Reporting PersonDate
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 4 (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 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did SOPHiA GENETICS (SOPH) report for Zhenyu Xu?

SOPHiA GENETICS reported that Chief Scientific Officer Zhenyu Xu sold 5,100 ordinary shares in two open-market transactions. These sales were linked to tax withholding on vested restricted stock units and were executed under a pre-established Rule 10b5-1 trading plan.

At what prices were the SOPH shares sold by executive Zhenyu Xu?

The reported sales occurred at weighted average prices of $4.8663 and $4.8520 per share. Footnotes state each trade involved multiple transactions within ranges of $4.67–$4.95 and $4.69–$4.98, respectively, with full price breakdowns available on request to the company.

Why did SOPHiA GENETICS’ Chief Scientific Officer sell shares in this Form 4?

The filing states the sales were made to satisfy tax withholding obligations from restricted stock units that vested on April 2 and 3, 2026. It characterizes the trades as non-discretionary transactions executed automatically under a pre-established Rule 10b5-1 trading plan.

How many SOPH shares does Zhenyu Xu hold after these reported sales?

After completing the disclosed transactions, Zhenyu Xu directly holds 644,952 ordinary shares of SOPHiA GENETICS SA. This post-transaction balance is shown in the Form 4 and provides context for the relatively small size of the 5,100 shares sold.

Were the SOPHiA GENETICS insider sales part of a Rule 10b5-1 plan?

Yes. The footnotes explain that the sales were effected under a pre-established Rule 10b5-1 trading plan adopted by the reporting person. Such plans schedule trades in advance, which the filing notes means these specific sales do not represent discretionary trading decisions.