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 “[***].” 
 .OMB Approval
2700-0042 
  

							
	            AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT	  	  

1. CONTRACT ID CODE            
	 	  
 PAGE OF PAGES

	  	N/A	 	    1    	 	    2    


											
	  

2. AMENDMENT/MODIFICATION NO.    

0009
	 	  

  3. EFFECTIVE DATE      

  [See block 16C, below]
	 	  

  4. REQUISITION/PURCHASE REQ. NO        

      
	 	  

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 3B49, MSC 9821
 5601
Fishers Lane
 Bethesda, MD 20892-9821
  
	 	  
 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)
  

		 		 		 	  

☒  
	 	  

10A. MODIFICATION OF CONTRACT/ORDER    

NO. HHSN272201200033C
  

	 CODE:

 
	 	 	 	 FACILITY CODE:

 
	 	 	 	  
 10B. DATED
(SEE ITEM 13)
 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: 

(a) 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 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)
	
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).

 

	☒  	 	 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    ☒    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 update ARTICLE G.2. Key Personnel.
  



			
	 TOTAL FUNDS CURRENTLY OBLIGATED: $[***]

TOTAL ESTIMATED COST: $[***]
	 	 FUNDED THROUGH DATE: December 31, 2017 (Unchanged)

COMPLETION DATE: December 31, 2017 (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	 	 	  	 16A. NAME
AND TITLE OF CONTRACTING OFFICER
 Michael P. Welsh
 Contracting
Officer, MID RCB-B, OA, DEA, NIAID, NIH, DHHS
  

	 15B. CONTRACTOR/OFFEROR

 
 /s/ Patrick Lucy

(Signature of person authorized to sign)
	 	 15C. DATE SIGNED

9/27/16
	  	 16B. UNITED STATES OF AMERICA

 
 /s/ Michael P. Welsh

(Signature of Contracting Officer)
  
	 	 16C. DATE SIGNED

9/28/16


  

					
	NSN 7540-01-152-8070	 	30-105	 	STANDARD FORM 30 (REV. 10-83)
	Previous Edition Unusable	 	Computer Generated	 	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: 09

 
	  	  
 
            Page 2 of 
 2
            
  



 

 ARTICLE G.2. KEY PERSONNEL (HHSAR 352.242-70 (January 2006) is hereby modified to update
key personnel as follows: 
  

			
	 Name
	  	 Title

	 [***]
	  	Principal Investigator
	
[***]                  
  
	  	Deputy Principle Investigator
	 [***]
	  	Clinician focused on pre-clinical and clinical studies
	 [***]
	  	Director Downstream Processing (DSP) and Analytical Biochemistry
	 [***]
	  	Project Manager
	 [***]
	  	Project Control Manager


  
  

HHS-556 
 [***] 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.