SEC Form 4 · accession 0001840706-26-000275
SOPHiA GENETICS SA · SOPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zhenyu Xu
Officer — Chief Scientific Officer
Period of report
Aug 5, 2026
Accepted (ET)
Aug 7, 2026 · 5:35 pm EDT
Rule 10b5-1 plan
yes — trade under a plan
Issuer CIK
0001840706
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Aug 5, 2026 | M | 3,000 | $3.28 | A | 603,887 | D | |
| Ordinary SharesF1 | Aug 5, 2026 | S | 3,000 | $7.0043 | D | 600,887 | D | |
| Ordinary SharesF1 | Aug 7, 2026 | M | 7,000 | $3.28 | A | 607,887 | D | |
| Ordinary SharesF1,F2 | Aug 7, 2026 | S | 7,000 | $7.0217 | D | 600,887 | D | |
| Ordinary SharesF1,F3 | Aug 7, 2026 | S | 10,000 | $7.4759 | D | 590,887 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share Option (Right to Buy)F1,F5,F4 | $3.28 | Aug 5, 2026 | M | 3,000 | D | — | Sep 5, 2027 | Ordinary Shares | 3,000 | 7,000 | D |
| Share Option (Right to Buy)F6,F4 | $3.28 | Aug 7, 2026 | M | 7,000 | D | — | Sep 5, 2027 | Ordinary Shares | 7,000 | 0 | D |
Explanation of responses
- F1Transaction made pursuant to duly adopted trading plan under Rule 10b5-1(c).
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $7.00 to $7.08, 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.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $7.40 to $7.56, 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.
- F4The share options are fully vested and exercisable.
- F5Following the transaction reported on this line, the Reporting Person holds an aggregate total of 982,041 derivative share options across all remaining grant tranches with varying exercise prices.
- F6Following the transaction reported on this line, the Reporting Person holds an aggregate total of 975,041 derivative share options across all remaining grant tranches with varying exercise prices.