SOPHiA GENETICS (SOPH) CSO pre‑planned sale covers RSU tax bill
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
SOPHiA GENETICS SA Chief Scientific Officer Zhenyu Xu reported open‑market sales of 8,120 Ordinary Shares of SOPH. The shares were sold on April 10 and April 13, 2026 at weighted average prices around $4.68–$4.76 per share.
According to the disclosure, these sales were made to satisfy tax withholding obligations tied to restricted stock units that vested on April 2 and 3, 2026, and were carried out under a pre‑established Rule 10b5‑1(c) trading plan. Following the transactions, Xu continues to hold 632,096 Ordinary Shares directly.
Positive
- None.
Negative
- None.
Insights
CSO’s stock sales are small, pre‑planned, and driven by tax obligations.
The Chief Scientific Officer of SOPHiA GENETICS SA, Zhenyu Xu, reported selling 8,120 Ordinary Shares of SOPH in three open‑market transactions at weighted average prices around $4.68–$4.76 per share. All transactions involve non‑derivative Ordinary Shares.
Footnotes state the sales were executed to cover tax withholding obligations from vesting restricted stock units and took place under a pre‑established Rule 10b5‑1(c) trading plan. That makes the timing largely mechanical rather than discretionary, reducing the informational value of these sales as a signal of management’s view on the stock.
After these trades, Xu still directly holds 632,096 Ordinary Shares, indicating that the sales represent only a small portion of his visible equity position. From an investment perspective, these transactions appear routine and compensation‑related rather than a strategic reduction of ownership.
Insider Trade Summary 10b5-1
Net Seller: 8,120 shares ($38,374)
Net Sell
3 txns
Insider
Xu Zhenyu
Role
Chief Scientific Officer
Sold
8,120 shs ($38K)
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Sale | Ordinary Shares | 1,014 | $4.7637 | $5K |
| Sale | Ordinary Shares | 3,400 | $4.7637 | $16K |
| Sale | Ordinary Shares | 3,706 | $4.6808 | $17K |
Holdings After Transaction:
Ordinary Shares — 635,496 shares (Direct)
Footnotes (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(c) 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 $4.61 to $4.77, 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 $4.63 to $4.88, 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. Transaction made pursuant to duly adopted trading plan under Rule 10b5-1(c).
Key Figures
Shares sold: 8,120 shares
Price per share (April 10 trade): $4.6808 per share
Price per share (April 13 trades): $4.7637 per share
+3 more
6 metrics
Shares sold
8,120 shares
Ordinary Shares sold in three open-market transactions
Price per share (April 10 trade)
$4.6808 per share
Weighted average sale price on April 10, 2026
Price per share (April 13 trades)
$4.7637 per share
Weighted average sale price on April 13, 2026
Post-transaction holdings
632,096 shares
Ordinary Shares directly held after final reported sale
Price range (first weighted average footnote)
$4.61–$4.77
Range of individual trade prices in one transaction group
Price range (second weighted average footnote)
$4.63–$4.88
Range of individual trade prices in another transaction group
Key Terms
Rule 10b5-1(c), restricted stock units, weighted average price, tax withholding obligations, +1 more
5 terms
Rule 10b5-1(c) regulatory
"These sales were effected pursuant to a pre-established Rule 10b5-1(c) trading plan adopted by the Reporting Person"
Rule 10b5-1(c) is an SEC guideline that lets company insiders set up a written, pre-planned schedule to buy or sell their company stock when they are not in possession of material, nonpublic information. For investors, it matters because such plans can reduce the appearance of insider trading by separating decisions from inside knowledge—like putting your trades on autopilot—while also requiring scrutiny since pre-planned trades can still affect market confidence and share value.
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."
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.
tax withholding obligations financial
"shares sold ... to satisfy tax withholding obligations arising in connection with the vesting of restricted stock units"
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.
FAQ
What did SOPHiA GENETICS (SOPH) Chief Scientific Officer Zhenyu Xu report in this Form 4?
He reported selling 8,120 Ordinary Shares of SOPHiA GENETICS in three open‑market transactions. The sales occurred on April 10 and 13, 2026 at weighted average prices around $4.68–$4.76 per share, and were tied to recent restricted stock unit vesting.
Were the SOPHiA GENETICS (SOPH) insider sales made under a Rule 10b5-1 trading plan?
Yes. The disclosure specifies the transactions were effected pursuant to a duly adopted Rule 10b5‑1(c) trading plan. Such pre‑arranged plans schedule trades in advance, making the timing more mechanical and reducing the signaling value of these particular sales for outside investors.
Do these SOPHiA GENETICS (SOPH) insider transactions appear routine or strategic?
They appear routine. The filing links the sales directly to tax withholding for vested restricted stock units and confirms they were executed under a pre‑established Rule 10b5‑1 plan. Xu continues to hold 632,096 shares, indicating only a modest reduction in his reported holdings.