EX-10.2





 Exhibit 10.2 

CONFIDENTIAL TREATMENT REQUESTED 
 CONFIDENTIAL PORTIONS OF
THIS DOCUMENT HAVE BEEN REDACTED AND HAVE BEEN SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION. INFORMATION THAT WAS OMITTED IN THE EDGAR VERSION HAS BEEN NOTED IN THIS DOCUMENT WITH A PLACEHOLDER IDENTIFIED BY THE MARK
“[***]”. 
  

																			
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	  	1. CONTRACT ID CODE	 	 	 	        PAGE        OF        PAGES
	 	  	 	  
 1
	  	  
 2

	  
 2. AMENDMENT/MODIFICATION
NO.
 0007
  
	  	  
  


	  
 3. EFFECTIVE DATE

   See Block 16C
	  
  

 
	  	  
 4. REQUISITION/PURCHASE
REQ. NO.
	 	  

  5. PROJECT NO (If applicable)

	6. ISSUED BY	 	CODE    	  	  
  
	  

HHS/OS/ASPR/BARDA
	  
  
	  	  
 7. ADMINISTERED BY (If other than Item 6) CODE
	 		 	ASPR-BARDA02
	 US DEPT OF HEALTH & HUMAN SERVICES

ASST SEC OF PREPAREDNESS & RESPONSE
 ACQ MANAGEMENT,
CONTRACTS, & GRANTS
 O’NEILL HOUSE OFFICE BUILDING

Washington DC 20515
  
	  

 

 

 

 
 
	  	 US DEPT OF HEALTH & HUMAN SERVICES

ASST SEC OF PREPAREDNESS & RESPONSE
 ACQ MANAGEMENT, CONTRACTS,
& GRANTS
 O’NEILL HOUSE OFFICE BUILDING
 Washington DC
20515
  

	 8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP code)

 
 PFENEX, INC 1358378

PFENEX, INC.       10790 ROSELLE ST

10790 ROSELLE ST
 SAN DIEGO CA 921211508

 
	  
 

 

 

 

 
 
	  	  

(x) 
	  	  
 9A. AMENDMENT OF
SOLICITATION NO.
	  	 
	  	 	  	 9B. DATED (SEE ITEM 11)

 
	  	 
	  	     

x 
	  	 10A. MODIFICATION OF CONTRACT/ORDER NO.

 
 HHSO100201500011C

 
	  	 
	  		 		 		 		  	
		 		  				  	 10B. DATED (SEE ITEM 13)

08/14/2015
	  	
	  

CODE 1358378
	 	  

  FACILITY CODE
	 

 
	  	 	  	 

  

											
	 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

 

	  
 ☐ The above
numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers         ☐     is extended,
        ☐     is not extended.
  

	 Offers must acknowledge receipt of this amendment prior to the hour and date specified in the
solicitation or as amended, by one of the following methods: (a) By completing Items 8 and 15, and returning              copies of the amendment; (b) By acknowledging
receipt of this amendment on each copy of the offer submitted; or (c) By
 separate letter or telegram which includes a reference to the solicitation and amendment
numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT
 THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION
OF YOUR OFFER. If by
 virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram
or letter makes
 reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.



													
	 12. ACCOUNTING AND APPROPRIATION DATA (if required)

 
 See Schedule

	  

13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.

 
  



													
	  
   CHECK ONE
	  	 A. THIS CHANGE ORDER IS ISSUED
PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT ORDER NO. IN ITEM 10A.

	 
		 
	 	  	 B. THE ABOVE NUMBERED CONTRACT/ORDER IS
MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

		 
	x	  	 C.   THIS SUPPLEMENTAL AGREEMENT IS
ENTERED INTO PURSUANT TO AUTHORITY OF:
 52.243-5 Alternate 1 Changes-Cost-reimbursement and Mutual agreement of the parties

	 	  	 D.   OTHER (Specify type of
modification and authority)
  



													
		
	 E. IMPORTANT: Contractor                     ☐     is
not                 ☒     is required to sign this document and return
    1   copies to the issuing office.
  
	  	 


													
	14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
	  
 Tax ID
Number:27-1356759
 DUNS Number: 013603710
 The purpose of this
modification is to extend the period of performance of contract and CLIN 0001, Phase 1A Study and Continuation of Stability Studies and CLIN 006, [***] at no additional cost to the government.

 
 -

Discount Terms: NET 30P
 Delivery Location Code: HHS

HHS
 200 Independence Avenue, SW

Continued ...
  

Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and
effect.



													
		 
	 15A. NAME AND TITLE OF SIGNER (Type or print)

SUSAN A. KNUDSON, CFO
	  	 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

WENDELL CONYERS

		 	 	 
	 15B. CONTRACTOR/OFFEROR
  

/s/ Susan A.
Knudson                                

                (Signature of person authorized to sign)
	  	15C. DATE SIGNED        
 
 09/13/18
	  	 16B. UNITED STATES OF AMERICA
  

/s/ Wendell
Conyers                                        
        
                 (Signature of
Contracting Officer)
	  	16C. DATE SIGNED          

9/14/18


  

			
	NSN 7540-01-152-8070	  	STANDARD FORM 30 (REV. 10-83)
	Previous edition unusable	  	Prescribed by GSA
		  	FAR (48 CFR) 53.243

 [***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested with respect to the omitted portions. 













							
	
            CONTINUATION SHEET

 
	  	  

REFERENCE NO. OF DOCUMENT BEING CONTINUED

HHSO100201500011C/0007
	 	  
 PAGE 
	 	  
 OF

	 	2	 	2


													
	     NAME OF OFFEROR OR CONTRACTOR

    PFENEX, INC 1358378

	  
 ITEM
NO.
 (A)
  
	  	  

SUPPLIES/SERVICES
 (B)

 
	  	  

QUANTITY 
 (C)

 
	  	  

UNIT
 (D)

 
	  	  

UNIT PRICE  
 (E)

 
	 	  

AMOUNT
 (F)

 

	 	  	 Washington DC 20201 US
  

FOB: Destination
 Period of Performance: 08/14/2015 to
08/09/2020
  
 Change Item 1 to read as follows (amount shown is the obligated
amount):
	  	 	  		  	 	 	
	 		 		 	
	1	  	 Base Year – PHASE 1A STUDY AND CONTINUATION OF STABILITY STUDIES

Obligated Amount: $0.00
	  	 	  		  	 	 	0.00
	 		 		 	
	 	  	 Accounting Info:
 2015.1992015.25103 Appr.
Yr.: 2015 CAN: 1992015
 Object Class: 25103
 Funded:
$0.00
	  	 	  		  	 	 	
	 		 		 	
	 	  	Change Item 6 to read as follows (amount shown is the obligated amount):	  	 	  		  	 	 	
	 		 		 	
	6	  	 Option 5 - [***]
 Obligated Amount:
$0.00
	  	 	  		  	 	 	0.00
	 		 		 	
	 	  	 Accounting Info:
 2017.1992017.25103 Appr.
Yr.: 2017 CAN: 1992017
 Object Class: 25103
 Funded:
$0.00
	  	 	  		  	 	 	
	 	  	     

    
     
	  	 	  		  	 	 	
	 	  	     

    
     
	  	 	  		  	 	 	
	 	  	     

    
     

    
     
	  	 	  		  	 	 	
	 	  	  

                
	  	    	  	 	  	 	 	 

  

			
	NSN 7540-01-152-8067	  	 OPTIONAL FORM 336 (4-86)
 Sponsored by GSA

FAR (48 CFR) 53.110


 [***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested with respect to the omitted portions. 













					
	 Contract No.
HHSO100201500011C
 Modification #07
  
	  	Continuation Sheet Block 14	  	Page 3 of 4

 SUMMARY OF CHANGES 
 Beginning with the effective date
of this modification, the Government and Contractor mutually agree as follows: 
  

	 	1.	 The purpose of this modification is to (1) extend the period of performance of the contract and 2) extend the period of performance
of CLIN 0001 and 0006. This is a ‘No Cost Extension’ strictly to allow Pfenex time to complete the planned scope of work and finalizes all reports. 



 

	 	2.	 Delete and replace ARTICLE B.2. BASE PERIOD due to the extension of CLIN 0001 period of performance: 



 

													
	CLIN  	  	Estimated
Period of
Performance	  	Supplies/Services	  	Total

Estimated 
Cost
	  	Fixed Fee	  	Total
Estimated
Cost Plus
Fixed Fee	  	Awarded
	0001  	  	 08/13/2015-    

09/30/2019    
	  	
PHASE 1A STUDY
AND
CONTINUATION
OF STABILITY
STUDIES

 
	  	$14,992,075  	  	$899,525  	  	$15,891,600  	  	14 Aug 2015  

  

	 	a.	 Extend the period of performance (PoP) for CLIN 0001:From: August 14, 2015 thru September 30,
2018To: August 14, 2015 thru September 30, 2019 


  

	 	b.	 Reason for extension: CLIN0001: A $675K reservation fee was approved in Aug. 2017 for a GMP suite. Following an IPR
meeting in Nov 2017, this GMP suite could not be utilized during the planned time, but Pfenex has been able to negotiate repurposing the majority of the fee for method optimization activities covered under CLIN 0001. Method qualification and
verification activities will now be completed in 2Q CY2019. 


  

	 	3.	 Delete and replace ARTICLE 8.3. OPTION PRICES due to the extension of CLIN 0006 Option 5 period of performance: 



 

															
	CLIN	  	Opt	  	 Estimated
Period of

Parf.
	  	Supplies/
Services	  	Total Est
Cost	  	Fixed Fee	  	 Total
Est. Cost

Plus
Fixed Fee
	  	 Exercised

Yes/No

	
0002
	  	1	  	 08/12/2015-

11/03/2016
	  	[***]	  	$2,480,823	  	$148,849	  	$2,629,672	  	No
	
0003
	  	2	  	 11/24/2016-

02/24/2019
	  	[***]	  	$12,966,402	  	$777,984	  	$13,744,386	  	No
	
0004
	  	3	  	 05/27/2018-

08/02/2020
	  	[***]	  	$44,230,173	  	$2,653,810	  	$46,883,983	  	No
	
0005
	  	4	  	 12/22/2016-

12/31/2019
	  	[***]	  	$4,037,244	  	$137,984	  	$4,175,228	  	Yes

 [***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission.
Confidential treatment has been requested with respect to the omitted portions. 













															
	 0006
	  	5	  	 12/22/2016-

12/30/2019
	  	[***]	  	$2,304,571	  	$138,274	  	$2,442,845	  	Yes
	
0007
	  	6	  	 01/09/2016-

08/05/2020
	  	[***]	  	$14,107,610	  	$846,457	  	$14,954,067	  	No
	
0008
	  	7	  	 11/24/2016-

08/09/2020
	  	[***]	  	$41,202,354	  	$2,472,141	  	$43,674,496	  	No
	
0009
	  	8	  	 12/24/2016-

05/13/2017
	  	[***]	  	$750,622	  	$45,037	  	$795,659	  	No

  

	 	a.	 Extend the contract period of performance (PoP) for CLIN 0006: 



	 	  	 From: December 22, 2016 thru September 30, 2018 



	 	  	 To: December 22, 2016 thru December 30, 2019 



 

	 	b.	 Reason for extension: CLIN0006: [***]. 



 

	 	4.	 Funding Total Summary: the total funded amount on the contract has not changed from $22,509,673.23. 



 

	 	5.	 Contract Total Summary (if all options are exercise): the total contract value has not changed from $145,191,936. 



[***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested
with respect to the omitted portions.