SOPHiA GENETICS (SOPH) CSO executes 4,000-share sale under 10b5-1 plan

Rhea-AI Filing Summary

SOPHiA GENETICS SA Chief Scientific Officer Zhenyu Xu sold 4,000 Ordinary Shares in an open-market transaction at a weighted average price of $4.5421 per share. The sale was executed under a pre-established Rule 10b5-1(c) trading plan, and Xu held 626,888 shares directly after the transaction.

Insider Trade Summary 10b5-1

Net Seller: 4,000 shares ($18,168)

Net Sell 1 txn

Insider Xu Zhenyu

Role Chief Scientific Officer

Sold 4,000 shs ($18K)

Type	Security	Shares	Price	Value
Sale	Ordinary Shares	4,000	$4.5421	$18K

Holdings After Transaction: Ordinary Shares — 626,888 shares (Direct, null)

Footnotes (1)

1. Transaction made pursuant to duly adopted trading plan under Rule 10b5-1(c). The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.48 to $4.65, 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.

Key Figures

Shares sold: 4,000 shares Average sale price: $4.5421 per share Post-transaction holdings: 626,888 shares +1 more

4 metrics

Shares sold 4,000 shares Open-market sale of Ordinary Shares on 2026-05-13

Average sale price $4.5421 per share Weighted average sale price across multiple trades

Post-transaction holdings 626,888 shares Directly held by Zhenyu Xu after the sale

Trade price range $4.48–$4.65 per share Range of prices for individual transactions in the sale

Key Terms

Rule 10b5-1(c) trading plan, weighted average price, open-market sale, Ordinary Shares

4 terms

Rule 10b5-1(c) trading plan regulatory

"Transaction made pursuant to duly adopted trading plan under Rule 10b5-1(c)."

A Rule 10b5-1(c) trading plan is a legally defined, pre-set schedule that lets company insiders automatically buy or sell stock at specified times or under set formulas when they are not in possession of undisclosed, sensitive information. Think of it like an automatic payment plan for trades: because the instructions are written in advance, trades under the plan help protect insiders from allegations of trading on secret information and give investors clearer expectations about when insiders will transact, which can affect liquidity and perceived transparency.

weighted average price financial

"The price reported in Column 4 is a weighted average price."

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 sale financial

"transaction_action: "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Ordinary Shares financial

"security_title: "Ordinary Shares""

Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 05/14/2026 - 04:02 PM Accepted by SEC EDGAR 05/14/2026 - 04:01 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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)

ROLLE 1180

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/13/2026

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

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Ordinary Shares	05/13/2026		S		4,000(1)	D	$4.5421(2)	626,888	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Transaction made pursuant to duly adopted trading plan under Rule 10b5-1(c).

2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.48 to $4.65, 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 Xu	05/14/2026
	** 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 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)

FAQ

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

SOPHiA GENETICS reported that Chief Scientific Officer Zhenyu Xu sold 4,000 Ordinary Shares. The transaction was an open-market sale under a Rule 10b5-1 trading plan, leaving him with 626,888 shares held directly afterward.

At what price did Zhenyu Xu sell SOPHiA GENETICS (SOPH) shares?

The shares were sold at a weighted average price of $4.5421 per share. Individual trades occurred in multiple transactions at prices ranging from $4.48 to $4.65, as disclosed in the transaction footnotes to the insider filing.

How many SOPHiA GENETICS (SOPH) shares does Zhenyu Xu hold after the sale?

After the reported sale, Chief Scientific Officer Zhenyu Xu directly holds 626,888 Ordinary Shares. This post-transaction holding figure is disclosed in the Form 4 and provides context on his remaining equity position in the company.

Was Zhenyu Xu’s SOPHiA GENETICS (SOPH) share sale pre-planned?

Yes. The filing notes that the sale was made under a duly adopted Rule 10b5-1(c) trading plan. Such plans pre-schedule trades, indicating the transaction timing was set in advance rather than decided opportunistically around short-term market moves.

What does the price range in the SOPHiA GENETICS (SOPH) Form 4 footnote mean?

The filing reports a weighted average price because shares were sold in multiple trades. These trades occurred at prices between $4.48 and $4.65. The insider has agreed to provide detailed trade-by-trade pricing information upon written request.