EX-10.53



 Exhibit 10.53 

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

 
         N/A
	 	
PAGE     OF     PAGES    

 

1        |        2

	 2. AMENDMENT/MODIFICATION NO.

 
   0010
	 	 3. EFFECTIVE DATE    

 
   October 31, 2016
	 	 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)

 

	 	X  	 	 10A. MODIFICATION OF CONTRACT/ORDER NO.

 
       HHSN272201200033C

 

		 		 		 		 	 	 	10B. DATED (SEE ITEM 13)
	CODE        	 	  FACILITY CODE	 	 	 	 	 	 	 	  

      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 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)
  
	  



	 13. THIS ITEM ONLY APPLIES 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
	  

	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,          ☒     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
extend the Period of Performance of Option 1 through June 30, 2017 and update Article B.2.
  
	  
 

 
 



			
	 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 (Type or print)

 
 Patrick Lucy

Chief Business Officer
	 	 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or
print)
 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

 
 10/27/2016
	 	 16B: UNITED STATES OF AMERICA
  

BY /s/ Michael P.
Welsh                                        

             (Signature of Contracting Officer)
	 	 16C. DATE SIGNED

 
 10/31/2016



 

					
	 NSN
7540-01-152-8070
 PREVIOUS EDITION
UNUSABLE
	 	 30-105

Computer Generated
	 	 STANDARD FORM 30 (REV. 10-83)

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: 10

 
	  	 Page 2 of
2  
  


 ARTICLE B.2. ESTIMATED COST, paragraph e. is modified as follows: 

 

	 	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  	 	$	[***	] 
	 Line
2
	 	  Option 1  	 	  01/05/2015 — 06/30/2017  	 	$	[***	] 
	
Line 3
  
	 	   Option 2  

 
	 	
  05/15/2016 — 12/31/2017  

 
	 	 $ 
	 [*** 
	 ]  


 [***] 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.