Notice of Proposed Sale · 144
SOPHiA GENETICS SA
SOPHNASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- SOPHIA GENETICS SA
- Issuer CIK
- 0001840706
- SEC file number
- 001-40627
- Phone
- 41216941060
- Person for whose account securities are to be sold
- ZHENYU XU
- Relationships to issuer
- Officer
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common | 22,000 | 147,180.00 | 85,127,825 | 08/07/2026 | NASDAQ | Morgan Stanley Smith Barney LLC Executive Financial Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Executive Financial Services
- Street
- 1 New York Plaza
- Street (continued)
- 8th Floor
- City
- New York
- State / country code
- NY
- Postal code
- 10004
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common | 08/07/2026 | Exercise of Stock Options | Issuer | 2,000 | N | 08/07/2026 | Cash |
| Common | 06/20/2012 | Founders Shares | Issuer | 20,000 | N | 06/20/2012 | N/A |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| 10b5-1 Sales for ZHENYU XU | Common | 08/05/2026 | 3,000 | 21,012.90 |
| 10b5-1 Sales for ZHENYU XU | Common | 08/04/2026 | 10,000 | 69,168.00 |
| 10b5-1 Sales for ZHENYU XU | Common | 07/13/2026 | 4,000 | 22,819.20 |
| 10b5-1 Sales for ZHENYU XU | Common | 07/06/2026 | 7,393 | 38,241.77 |
| 10b5-1 Sales for ZHENYU XU | Common | 06/15/2026 | 4,000 | 20,056.40 |
| 10b5-1 Sales for ZHENYU XU | Common | 05/19/2026 | 608 | 2,797.71 |
| 10b5-1 Sales for ZHENYU XU | Common | 05/13/2026 | 4,000 | 18,168.40 |
Seller — prior-sale row 1, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Seller — prior-sale row 2, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Seller — prior-sale row 3, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Seller — prior-sale row 4, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Seller — prior-sale row 5, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Seller — prior-sale row 6, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Seller — prior-sale row 7, entry 1
- Name
- 10b5-1 Sales for ZHENYU XU
- Street
- La Piece 12 ch-1180
- City
- Rolle
- State / country code
- V8
- Postal code
- 00000
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Notice signature
- Notice date
- 08/07/2026
- Signed
- /s/ Zhenyu Xu
- Plan adoption dates
- 09/11/2025
Company context
SOPHiA GENETICS (Nasdaq: SOPH) is a cloud-native healthcare technology company on a mission to expand access to data-driven medicine by using AI to deliver world-class care to patients with cancer and rare disorders across the globe. It is the creator of SOPHiA DDM™, a platform that analyzes complex genomic and multimodal data and generates real-time, actionable insights for a broad global network of hospital, laboratory, and biopharma institutions.