Document:

EX-10.3

 Exhibit 10.3 

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

N/A
	 	 PAGE OF PAGES

1        |        1

	 2. AMENDMENT/MODIFICATION NO.

0007
	 	  3. EFFECTIVE DATE       

 (see block 16C below)
	 	 4. REQUISITION/PURCHASE REQ. NO.

 
	 	 5 PROJECT NO, (If applicable)

N/A
  

	5. 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
  

	 	 	 	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 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 MODIFICATION 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 x is required to sign this document and return   2   copies to the issuing office. 

 
 14. DESCRIPTION OF AMENDMENT/MODIFICATION
(Organized by UCF section headings, including solicitation/contract subject matter where feasible.) 
 PURPOSE: To correct the
funded through date and completion date on page 1 of Modification 5 to read May 31, 2016, so it is in agreement with pages 2-4 of said modification. 
  

					
	TOTAL FUNDS CURRENTLY ALLOTTED [***] (Unchanged)	  		  	FUNDED THROUGH DATE: May 31, 2016 (Unchanged)
	TOTAL ESTIMATED COST: [***] (Unchanged)	  		  	COMPLETION DATE: May 31, 2016 (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)	  	 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or
print)

	PATRICK LUCY, Chief Business Officer	  	 Michael P. Welsh

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

	15B. CONTRACTOR/OFFEROR	 		 	15C. DATE SIGNED  	  	 16B. UNITED STATES OF AMERICA

	 		 	16C. DATE SIGNED
			 	 			 
	 /s/ Patrick Lucy

(Signature of person authorized to sign)
	 	 	 	 02/16/2016
  
	  	 By:
  

 
  
	  	 /s/ Michael P. Welsh

(Signature of Contracting Officer)
  
	 	 	 	 2/22/2016
  

					
	  
 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.EX-10.4

 Exhibit 10.4 

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        |        1

	 2. AMENDMENT/MODIFICATION NO.  

0015
	 	  3. EFFECTIVE DATE

 See Block 16C
	 	 4. REQUISITION/PURCHASE REQ. NO.  
	 	 5 PROJECT NO, (If applicable)

 

	6. ISSUED BY	 	CODE   	 	 ASPR-BARDA	 	7. ADMINISTERED BY (If other than Item 6)	 	CODE  	 	ASPR-BARDA02
	  
 ASPR-BARDA

200 Independence Ave., S.W.
 Room 640-G

Washington DC 20201
  

 
	 	  
 ASPR-BARDA

330 Independence Ave, SW, Rm G640
 Washington DC 20201

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

 
 PFENEX, INC 1358378

FENEX BIOPHARMACEUTICALS, INC.
 10790 ROSELLE ST

SAN DIEGO CA 921211718
  

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

 

	 	x  	 	 10A. MODIFICATION OF CONTRACT/ORDER NO.

HHSO100201000045C
  

	 	 	 	10B. DATED (SEE ITEM 13)
	CODE  1358378	 	 	 	 FACILITY CODE

 
	 	 	 	 07/30/2010

 

 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.
  

	 	 
	X	 	 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:
  

	 	 	 D.    OTHER (Specify type
of modification and authority)
  

 E. IMPORTANT: Contractor              is not
    X     is required to sign this document and return   2   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 
 A. The purpose
of this modification is to transfer the inventory on the attached list from this expired contract HHS0100201000045C to active contract HHSO100201500011C. 

SEE ATTACHED 
 B. This is a bilateral administrative no-cost
modification. The total contract amount and all other terms and conditions remain the same. 
 Period of Performance: 07/30/2010 to 08/31/2015 

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

 

	 PATRICK LUCY, CBO

 
	  	 THOMAS P. HASTINGS

 

	15B. CONTRACTOR/OFFEROR	 		 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	 		 	16C. DATE SIGNED
	 /s/ Patrick Lucy
  

(Signature of person authorized to sign)
	 	 	 	 3/11/16
  
	  	  
 /s/ Thomas P.
Hastings
 (Signature of Contracting Officer)

 
	 	 	 	 3/14/16
  

 

  

					
	 NSN 7540-01-152-8070
 Previous edition
unusable
	 		  	 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. 

 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 “[***]”. 
 Pfenex

 Government Property - BARDA 
 500-200-200-100 

Purchased under HHSO100201000045C 
  

																			
	Month/Year	  	 	 	  	Invoice Number	 	Description	 	Vendor	 	 	  	 	  	Amount	 	 
	 Aug-2010
	  	 	08/09/2010	  	  	Inv # 9850653	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #2
	 Aug-2010
	  	 	08/09/2010	  	  	Inv # 9850653	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #2
	 Aug-2010
	  	 	08/09/2010	  	  	Inv # 9850653	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #2
	 Aug-2010
	  	 	08/09/2010	  	  	Inv # 9850653	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #2
	 Sep-2010
	  	 	08/06/2010	  	  	Inv # 00002422	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #4
	 Sep-2010
	  	 	08/06/2010	  	  	Inv # 00002422	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #4
	 Sep-2010
	  	 	08/06/2010	  	  	Inv # 00002422	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #4
	 Sep-2010
	  	 	08/09/2010	  	  	Inv # 9850653	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #2
	 Oct-2010
	  	 	09/30/2010	  	  	Inv # 140098091	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #3
	 Oct-2010
	  	 	09/30/2010	  	  	Inv # 140098091	 	[***]	 	[***]	 		  		  	[***]	 	
	 Oct-2010
	  	 	09/30/2010	  	  	Inv # 140098091	 	[***]	 	[***]	 		  		  	[***]	 	
	 Oct-2010
	  	 	10/13/2010	  	  	Inv No. 3506765	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #5
	 Oct-2010
	  	 	10/13/2010	  	  	Inv No. 3506765	 	[***]	 	[***]	 		  		  	[***]	 	
	 Nov-2010
	  	 	10/27/2010	  	  	Inv # 7187	 	[***]	 	[***]	 		  		  	[***]	 	Equipment COA #7
	 Nov-2010
	  	 	10/27/2010	  	  	Inv # 7187	 	[***]	 	[***]	 		  		  	[***]	 	
	 Dec-2010
	  	 	8/31/2010	  	  	Inv # SI00036149	 	[***]	 	[***]	 		  		  	[***]	 	
	 Jan-2011
	  	 	2BARDA.00563.611.1.AB.LA	  	  	INV00003343	 	[***]	 	[***]	 	Proj Start Up AB Lab	  	PO-0000075	  	[***]	 	
	 Mar-2011
	  	 	2BARDA.00563.611.1.AB.LA	  	  	140103744	 	[***]	 	[***]	 	Proj Start Up AB Lab	  	PO-0000063	  	[***]	 	
	 Apr-2011
	  	 	2BARDA.00563.623.1.DS.LA	  	  	3607625	 	[***]	 	[***]	 	WT DSP Dev DS Lab	  	PO-0000061	  	[***]	 	
	 May-2011
	  	 	2BARDA.00563.613.2.AB.NL	  	  	S100036785	 	[***]	 	[***]	 	WT Purification AB No Lab	  	C-10453	  	[***]	 	
	 Aug-2011
	  	 	2BARDA.00563.613.4.AB.LA	  	  	11-1405A	 	[***]	 	[***]	 	Sample Analysis AB Lab	  		  	[***]	 	
	 Sep-2011
	  	 	2BARDA.00563.613.4.AB.NL	  	  	104277-RC	 	[***]	 	[***]	 	Sample Analysis AB No Lab	  		  	[***]	 	
	 Sep-2011
	  	 	2BARDA.00563.613.4.AB.NL	  	  	269516538-RC	 	[***]	 	[***]	 	Sample Analysis AB No Lab	  		  	[***]	 	
	 Sep-2011
	  	 	2BARDA.00563.623.2.DS.NL	  	  	311896-RC	 	[***]	 	[***]	 	Mutant DSP Dev DS No Lab	  		  	[***]	 	
	 Oct-2011
	  	 	2BARDA.00563.613.4.AB.LA	  	  	11-1372RC	 	[***]	 	[***]	 	Sample Analysis AB Lab	  		  	[***]	 	
	 Oct-2011
	  	 	2BARDA.00563.613.4.AB.LA	  	  	11-1373-RC	 	[***]	 	[***]	 	Sample Analysis AB Lab	  		  	[***]	 	
		  				  		 		 		 		  		  	  
	 	
		  				  		 		 		 		  	Total	  	[***]	 	

  

	[***]	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.

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