EX-10.33



 Exhibit 10.33 

CONFIDENTIAL TREATMENT REQUESTED 
  

															
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	 	 1. CONTRACT ID CODE

N/A
	 	
PAGE OF PAGES

1        |        2

	 2. AMENDMENT/MODIFICATION NO.

0004
	 	 3. EFFECTIVE DATE

January 5, 2015
	 	 4. REQUISITION/PURCHASE REQ. NO

3639014
	 	 5. PROJECT NO.
(If applicable)
 N/A

	
6. ISSUED BY                       
           CODE  
  
	 	 	 	 	 	7. ADMINISTERED BY (IF OTHER THAN ITEM 6)	 	CODE  	 	N/A
	 National Institutes of Health

National Institute of Allergy and Infectious Diseases
 DEA, Office
of Acquisitions
 Room 3214, MSC 7612
 6700-B Rockledge Drive

Bethesda, MD 20892-7612
	 	MID RCB-B	 	 	 	 
	  

8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State, and Zip Code)

Pfenex, Inc.
 10790 Roselle Street

San Diego, CA 92121
	 	   ̈  	 	  

9A. AMENDMENT OF SOLICITATION NO.
  

	 	 	 	  

9B. DATED (SEE ITEM 11)
  

	 	  x  	 	  

10A. MODIFICATION OF CONTRACT/ORDER NO.

HHSN272201200033C

	  

CODE:
	 	  

FACILITY CODE:
	 	 	 	  

10B. DATED (SEE ITEM 11)

	 	 	 	 	 	 	 09/27/2012

 

	
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: 

(e) By completing Items 8 and 15, and returning one (1) copy 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 ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND
DATA 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 data specified, 
  

															
	 12. ACCOUNTING AND APPROPRIATION DATA (If
Required)
  

	
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO., AS DESCRIBED IN ITEM 14

	 ̈  	 	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:
 Mutual Agreement of the Parties

	 ̈  	 	D. OTHER (Specify type of modification and authority)
	  

E. IMPORTANT: Contractor   ̈  is
NOT  x   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.
  

PURPOSE: The purpose of this modification is to exercise quantity Option 1, [***], raise the contract ceiling, revise the SOW, and update various
articles.



													
	  	 	Total Funds Currently Obligated	 	Total Estimated Amount of Contract
	  	 	Cost	 	Fee	 	Total	 	Cost	 	Fee	 	Total
	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]
	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]
	Revised Total	 	[***]	 	[***]	 	$3,031,414	 	[***]	 	[***]	 	$3,031,414
	FUNDED THROUGH DATE: December 31. 2015 (Unchanged)	 	COMPLETION DATE: December 31. 2015 (Unchanged)


											
	  

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
 Bertrand C. Liang, MD

Chief Executive Officer
	 	 16A. NAME
AND TITLE OF CONTRACTING OFFICER
 Michael P. Welsh

Contracting Officer, MID RCB-B, OA, DEA, NIAID, NIH, DHHS

	 15B. CONTRACTOR/OFFEROR

 
 /s/ Bertrand C. Liang, MD

 
	 		 	 15C. DATE SIGNED

12-22-2014
	 	 16B. UNITED STATES OF AMERICA
 /s/
michael.finn@nih.gov
	 		 	 16C. DATE SIGNED

12-22-2014



  
 [***] 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. 
  









											
	(Signature of person authorized to sign)	 	 	 	12/20/14	 	(Signature of Contracting Officer)	 	 	 	12/22/2014


					
	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. 
  









					
	Contract No: HHSN272201200033C	 	Modification No: 04	 	Page 2 of 2

 ARTICLE B.2. ESTIMATED COST is modified to read as follows: 

a. The estimated cost of this contract is [***]. 

b. The fixed fee of this contract is [***]. The fixed fee shall be subject to the withholding provisions of the clauses ALLOWABLE COST
AND PAYMENT and FIXED FEE referenced in the General Clauses Listing in Part II, ARTICLE I.1. of this contract. 
 c. The total estimated
amount of the contract, represented by the sum of the estimated cost plus the fixed fee for the Base Period and Option 1 is $3,031,414. 

d. If the Government exercises its option pursuant to the OPTION PROVISIONS Article in SECTION H of this contract, the Government’s
total estimated contract amount represented by the sum of the estimated cost plus the fixed fee will be increased as follows: 
  

													
	 	  	Estimated Cost	 	  	Fixed Fee	 	  	Estimated Cost
Plus Fixed Fee	 
	 Base Period (exercised)
	  	 	[***	] 	  	 	[***	] 	  	$	2,180,144	  
	 Option 1 (exercised)
	  	 	[***	] 	  	 	[***	] 	  	$	851,270	  
	 Option 2
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 3
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 4
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 5
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 6
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 7
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 8
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 9
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 10
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 11
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 12
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 13
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total
		 	[***	] 		 	[***	] 		 	[***	] 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

 e. Payments shall be made from the PRISM / NBS Line Item Numbers as follows: 

 

									
	 PRISM /NBS Line Item No.
	  	 Option / Increment

Description
	  	 PRISM / NBS Line Item

Period of Performance
	  	Funded
Amount	 
	 Line 1
	  	Base Period	  	09/27/2012 – 12/31/2015	  	$	2,180,144	  
	 Line 2
	  	Option 1	  	01/05/2015 – 04/05/2015	  	$	851,270	  

 SECTION J, LIST OF ATTACHMENTS is modified to incorporate a revised Statement of Work as follows: 

1. Statement of Work, revised December 16, 2014. (See Attached) 

  
  

[***] 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. 
 HHS-556 








 STATEMENT OF WORK 

Base Period 
 [***] 

  
 [***] 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.