Document:

Exhibit 10.22

 

 

 

EMPLOYMENT AGREEMENT

BETWEEN

Party A (Employer)

  Heilongjiang Xinda Enterprise Group Company Limited

                     Address:

                     Legal representative:

                     Responsible person:

AND

Party B (Employee)

                       Name: Kenan Gong

                       Residence:

                       ID Card No.:

Party A and Party B hereby agree to enter into the present contract (this "Contract") in good faith and based on the principle of equality, voluntariness, mutual agreement through negotiation in accordance with the Employment Law of the People's Republic of China, Employment Contract Law of the People's Republic of China and other related laws and regulations and will comply with the terms and conditions set forth hereunder.

1. Type and duration of the contract (all numerals in the capital form)

Article 1 Party A and Party B agree to determine the duration of this Contract by selecting the first form of contract as follows:

(1) Fixed-term contract: This Contract has a duration of FIVE year (SIXTY months) commencing from January 1, 2012 to December 31, 2016, without probation period.

2. Content and place of work

Article 2 Pursuant to the needs of Party A, Party B agrees to perform the work of________________(job description). The job position (or type of the job) may be changed by mutual agreement of the parties hereto.

Article 3 Party B shall meet the requirements of Party A for this position in respect of time, quality and quantity of the work.

Article 4 Party B agrees to work at the place of No. 9 Dalian North Road, Haping Road Centralized Industrial Park, Harbin Development Zone, Heilongjiang Province arranged by Party A. The place of work may be changed by mutual consent pursuant to the needs of Party A.

3. Working hours and holidays

Article 5 The working hours of Party B are based on the system of cumulative working hours (standard working hours, irregular working hours and cumulative working hours).

 

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Article 6 Where Party A extends the working hours of Party B, then Party B shall be given compensatory leave of an equivalent number of hours or overtime wages for the extended hours.

Article 7 Party B shall enjoy nationally designated legal holidays and paid leaves and Party A shall ensure that Party B takes at least one day off work per week.

Article 8 Party A shall, in strict compliance with all applicable national and local laws, rules and regulations relating to labor protection, provide all necessary working conditions and tools for Party B, establish and improve manufacturing processes, formulate standard operating procedures, work requirements as well as a work safety and sanitation system and related standards.

Article 9 Where Party B engages in any occupational-disease-inductive businesses, Party A shall arrange occupational health inspections before Party B takes up the post and at the time when Party B leaves the post according to applicable national regulations and during the term of the contract, provide health inspections for Party B at regular times.

Article 10 Party A is obligated to provide Party B with education and training in respect of professional ethics, vocational skills, work safety and sanitation as well as relevant rules and regulations.

Article 11 Party B shall have the right to refuse to follow Party A's instructions in violation of safety regulations. With respect to any act of Party A and its management staff in disregard of the safety and health of Party B, then Party B shall have the right to criticize, expose and accuse such acts to the competent authority.

 

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5. Remunerations

Article 12 The wages of the employee during the probation period may not be less than the lowest wage level for the same job or less than 80% of the wage agreed upon in Article 13 hereunder. In no event shall the wage be less than the minimum wage in the place where the employer is located.

Article 13 Upon expiry of the probation period for Party B, Party A shall adopt the first form of wages for Party B according to its wage-related regulations as follows:

(1) Remuneration based on working time. The remuneration of Party B consists of: monthly salary and year-end bonus at the rate of RMB 42,600/month from January to March 2014 and RMB 28,400/month from April to December 2014 and RMB 511,200/year . New rates of remuneration shall apply in the event of any amendments to Party A's wage system or any change of the job position of Party B.

Article 14 Party A shall pay to Party B a monthly salary in a legal form of currency on the eighteenth day of each month, without deductions or delays for no reasons whatsoever.

Article 15 If Party A arranges Party B to work longer hours, it shall pay the wage which is not less than 150% of the wage of Party B; if Party B is arranged to work on rest days and compensatory leave cannot be arranged, then Party B shall be paid with the wage which is not less than 200% of the wage of Party B; if Party B is arranged to work on legal holidays, Party B shall be paid with the wage which is not less than 300% of the wage of Party B.

Article 16 If Party A undergoes any shutdown, halt of production or close down for not more than one (1) month for reasons that are unrelated to Party B, then Party A shall pay wages to Party B as per the wage standard agreed upon hereunder; if such scenarios persist more than one (1) month and Party A does not arrange any work for Party B, then Party A shall pay Party B living expenses no less than the standard of local unemployment insurance benefits.

Article 17 Where Party A extends the working hours of Party B, then Party B shall be given compensatory leave of an equivalent number of hours or overtime wages for the extended hours.

 

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Article 18 Party B shall enjoy annual leave, home leave, funeral leave, etc. according to the law and Party A shall pay all wages as per applicable national and local regulations or the standards agreed upon hereunder.

6. Social insurance and welfare

Article 19 Party A shall pay for Party B the insurance premium covering retirement, medical, unemployment, work-related injuries, maternity and other social insurance in accordance with applicable national and local laws, regulations and polices relating to social insurance. For the portion of insurance premium payable by an individual, Party A may withhold the amount from Party's salary before such payment. In the event of cancellation or termination of this Contract by the parties thereto, Party A shall handle the transfer of personal files and social insurance for Party B.

Article 20 The medical treatment benefits available to Party B who suffers diseases or non-work-related injuries shall be dealt with according to applicable national and local policies.

Article 21 The treatment of work-related injuries available to Party B shall be dealt with according to applicable national and local policies.

Article 22 [omitted]

Article 23 Party A shall provide Party B with the following welfare benefits: as per the company's rules and regulations.

7. Labor disciplines, rules and regulations

Article 24 Party A shall make public and notify Party B of all rules and regulations formulated by it according to the law.

Article 25 Party B shall strictly abide by the rules and regulations formulated by Party A, complete work tasks, improve professional skills, enforce labor safety and sanitation regulations and comply with labor disciplines and professional ethics.

Article 26 If Party B violates any labor disciplines, Party A may impose relevant administrative resolution, administrative sanction, economic punishment up until termination of the contract.

8. Amendment, termination and renewal of the contract

Article 27 In the event the objective circumstances relied on at the time of the conclusion of the employment contract have materially changed, making performance thereof impossible, both Parties shall negotiate to amend the relevant provisions hereof.

Article 28 The Contract can be rescinded upon mutual agreement between both Parties.

Article 29 Party A may terminate the Contract if Party B (i) failed to satisfy the recruitment requirement of Party A during the probationary period, (ii) seriously violated the Party A's rules and policies, (iii) simultaneously had an employment relationship with another Employer, seriously affecting the completion of his/her work tasks with the Employer, or, after having the same mentioned to him/her by the Employer, he/she refused to rectify the matter; (v)used means such as deceit, or took advantage of the Party A's plight, to cause it to conclude an employment contract or amend the same in a manner contrary to its true intent; (vi) has criminal liability pursued against him/her in accordance with the law.

 

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Article 30 In the following circumstance, Party A may nullify the Contract by sending a 30 days prior written notice or paying one month salary to Party B:

(i)            Party B has fallen ill or has sustained off-duty injury and cannot engage in the original work or cannot or is not willing to engage in any other work assigned by Party A to him upon the conclusion of his medical treatment;

(ii)           Party B has been incapable of doing his job and remains incapable of doing so after receiving training or being transferred to another post, and refused to accept the arrangement;

(iii)           Both parties fail to reach agreement as to the amendment to the Contract according to article 27.

Article 31 If Party A is in a period of statutory reorganization due to its imminent bankruptcy or encounters major difficulties in its operations, it shall inform the trade union or all workers of the situation thirty (30) days in advance, hear the opinions of the trade union or all workers, and report to the labor and social security authority before rescinding the Agreement。

Article 32 Party A shall not nullify this Contract in accordance with article 30 and article 31 in any of the following situations:

(1)           Party B is engaged in operations that would expose him to occupational disease hazards and has not undergone an occupational health check-up before leaving work, or is suspected of having contracted an occupational disease and is being diagnosed or under medical observation;

(2)           Party B suffers from an occupational disease or has sustained work-related injury and has been determined to be disabled;

(3)           Party B suffers from an illness or non-work-related injury and the proscribed time period of medical treatment has not expired;

(4)           Party B, in case of a female employee, is in her pregnancy, confinement or nursing period;

(5)           Party B has been working for the employer for 15 or more consecutive years and is less than 5 years away from the statutory age for his retirement;

(6)           Party B acts as and is performing his duty of collective bargaining representative;

(7)          other circumstances as set forth by laws.

 

  

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Article 33 In any of the following situations, Party B may terminate this Contract at any time and Party A shall pay the remuneration and social insurance contribution as required by law:

(i)          Party A fails to provide work protection or working conditions in accordance with the employment contract;

(ii)         Party A fails to pay labour compensation on time and in full;

(iii)        Party A fails to pay social insurance premiums for Party B in accordance with the law;

(iv)        the rules of Party A violate laws or regulations, harming the rights and interests of Party B;

(v)         Party A is in any of the circumstances as described in article 26 of the Labor Contract Law of the PRC, which makes the Contract invalid;

(vi)        other circumstances under which Party B can terminate the Contract according to the applicable laws.

Article 34 Party B shall terminate the Contract by sending a 30 days prior written notice to Party A.

Article 35 The Contract shall terminate automatically upon its expiration. The Contract can also be renewed by mutual agreement between both Parties.

 

Article 36 In the event that both Parties still maintain the employment relationship upon expiration of this Contract, both Parties shall renew the Contract in a timely manner. In the event that both Parties fail to reach agreement upon the term of the renewed Contract, such new or renewed contract shall be valid at least for a period of 60 months as of the date of execution. If Party B satisfies the conditions for an open-ended contract, Party A shall execute such open-ended contract with Party B.

 

 

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Article 37 The Contract, in case of open-ended contract, shall terminate upon occurrence of any statutory termination conditions or any termination conditions as agreed upon between both Parties.

9. Severance pay and economic compensation

Article 38 In the event that Party A fails to pay remuneration in full in a timely manner or does not pay for overtime work according to any provisions hereunder or national rules and regulations, apart from full payment of remuneration within designated timeframe, Party A shall also pay a compensation more than 50% but less than 100% of the amounts payable. Where the rate of remuneration paid by Party A is less than the local minimum salary, then it shall top up the portion of the amount less than the local minimum salary and further pay a compensation more than 10% but less than 100% of the amounts payable.

Article 39 If Party A terminates this Contract, except to the extent set forth in Article 29 hereunder, Party shall pay Party B severance pay in accordance with Article 47 of the Employment Contract Law of the People's Republic of China.

Article 40 In cases where Party B's termination of this Contract in violation of said regulations or provisions agreed upon hereunder has caused losses to Party A, then Party B shall compensate the losses sustained by Party A as follows:

(a)  the training fee and recruitment costs paid for it by Party A;

(b) direct economic losses in respect of the production, management and business of Party A;

(c)  other costs and expenses subject to compensation as agreed upon hereunder.

10. Liability for breach of contract

Article 41  The liability for any breach of contract by whichever party hereto shall be dealt with according to the Contract Law and relevant rules of the company.

11. Other matters agreed upon by parties hereto

 

Article 42   _____[none]_________________________________

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 12. Labor dispute settlement

Once a labor dispute occurs, the parties hereto may apply to the labor dispute mediation committee of the employer for mediation; if it cannot be settled through mediation and a party hereto requests arbitration, then the dispute shall be submitted within sixty (60) days of the date of such dispute to a labor dispute arbitration committee for arbitration. Any party hereto may also directly apply to a labor dispute arbitration committee for arbitration. The party who objects to the ruling of the committee may lodge the case before a people's court.

13. Miscellaneous

Article 43  The following agreement for special purposes and the rules and regulations are provided as the attachments hereto and shall have equal legal effect.

 

Article 44  The parties hereto may settle through negotiation all matters that are not covered hereunder; matters in disagreement with any future national laws or administrative regulations shall be dealt with in accordance therewith.

Article 45  This Contract is made in two copies, one for each.

 

Article 46 Party B hereby confirms the following address as the address for service of all document and instruments relating to employment relations. Party B shall notify in writing Party A of any change of the address in a timely manner.

8EX-10.15

 Exhibit 10.15 

CONFIDENTIAL TREATMENT REQUESTED 
  

															
	AWARD/CONTRACT	 	 1. THIS CONTRACT IS A RATED ORDER

UNDER DPAS (15 CFR
350)                                         
       u
	 	 RATING  

  N/A
	 	 PAGE OF PAGES

 

1        |        65

	 2. CONTRACT (Proc. Inst. Ident.) NO.

HHSO100201000045C
	 	 3. EFFECTIVE DATE

See Block 20C (below)
	 	 	 	 4.   REQUISITION/PURCHASE REQUEST/PROJECT NO.

OS37265

																			
	  
 5. ISSUED
BY
	 	  
 CODE  
	 	 	 	 	 	 	 	6 ADMINISTERED BY (If other than Item 6) 	 	CODE  	 	 
	  

Office of Acquisition Management Contracts and Grants (AMCG)
 DHHS,
Contracts Division
 330 Independence Ave., S.W. Room G640

Washington, D.C. 20201
  
	 	See Block 5	 		 		 		 	
	 		 		 		 		 	 
	 	 	 	 	 	 	 	 	 	 
	7. NAME AND ADDRESS OF CONTRACTOR (No. street, county, state and ZIP Code)	 	 8.   DELIVERY

	  
 Pfenex Biopharmaceuticals.

Incorporated 5501 Oberlin Drive
 San Diego, CA 92121

	 	 See Schedule

 

	 	 9/   DISCOUNT FOR PROMPT PAYMENT

N/A 
  

		 		 		 		 		 		 	10. SUBMIT INVOICES ADDRESS SHOWN IN: 	 	 ITEM
  

See Section G

	CODE DUNS No. 013603710	 	FACILITY CODE 	 	 	 	 	 	 	 	 	 	 
	11.   SHIP TO/MARK FOR	 		 		 	CODE  	 	 N/A
	 	 12.   PAYMENT WILL BE MADE BY
	 	CODE  	 	N/A
	  
 See Block 5

 
	 		 		 		 		 	  
 See Block 5
	 		 	

															
	 13.   AUTHORITY FOR USING OTHER FULL AND OPEN
COMPETITION:         N/A
	 	 14. ACCOUNTING AND APPROPRIATION DATA

	       ̈ 10 U.S.C. 2304(c)(    )	 	  ̈ 41 U.S.C.
253(c)(    ) 
	 	 Object Class 25106

CAN#1990087 75-1011-0140  FY10        $10,088.986 

	15A. ITEM NO.	 	15B. SUPPLIES/SERVICES	 	15C. UNIT PRICE	 	 	 	15D. AMOUNT	 	15E. UNIT PRICE	 	15F. AMOUNT
	Title: Development of rPA Expression Technology	 	FY 2010	 		 	$    10,088,986	 		 	
	Performance Period. July 30, 2010 through December 12, 2011	 	Option 1	 		 	$      1,590,218	 		 	
	Contract Type: COST PLUS FIXED FEE	 	Option 2	 		 	$      1,025,164	 		 	
	BARDA-BAA-09-100-SOL-0010	 	Option 3	 		 	$      4,289,230	 		 	
		 	Option 4	 		 	$      1,084,229	 		 	
	 	 	Option 5	 	 	 	$         737,812	 	 	 	 
	15G. TOTAL AMOUNT OF
CONTRACT                                
u	 	$10,088,986
	16. TABLE OF CONTENTS

															
	(ü)	 	SEC	 	 DESCRIPTION 
	 	PAGE(S)	 	(ü)	 	SEC	 	DESCRIPTION	 	PAGE(S)
	 PART I - THE SCHEDULE
	 	 PART II - CONTRACT CLAUSES

	x	 	A	 	SOLICITATION/CONTRACT FORM 	 	1	 	x	 	I	 	CONTRACT CLAUSES	 	23
	x	 	B	 	SUPPLIES OR SERVICES AND PRICE/COST 	 	3	 	 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

	x	 	C	 	DESCRIPTION / SPECS I WORK STATEMENT 	 	7	 	x	 	J	 	 LIST OF ATTACHMENTS
	 	29
	x	 	D	 	PACKAGING AND MARKING 	 	11	 	       PART IV - REPRESENTATIONS AND
INSTRUCTIONS

	x	 	E	 	INSPECTION AND ACCEPTANCE 	 	11	 	 ̈	 	K	 	 REPRESENTATIONS, CERTIFICATIONS 
	 	
	x	 	F	 	DELIVERIES OR PERFORMANCE 	 	11	 	 	 	 	 	AND OTHER STATEMENTS OF OFFERORS	 	 
	x	 	G	 	CONTRACT ADMINISTRATION DATA 	 	14	 	 ̈	 	L	 	INSTRS., CONDS., AND NOTICES TO OFFERORS	 	 
	x	 	H	 	SPECIAL CONTRACT REQUIREMENTS 	 	17	 	 ̈	 	M	 	EVALUATION FACTORS FOR AWARD	 	 
	CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
	
17.  x  CONTRACTOR’S NEGOTIATED AGREEMENT (Contractor is required to sign this document
and return     2     copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets
for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award/contract, (b) the solicitation, it any, and (c) such provisions,
representations, certifications, and specifications, as are attached or incorporated by reference herein. (Attachments are listed herein.)
  
	 	18.   ̈  AWARD (Contractor is not required to sign this document) Your offer on Solicitation Number
                                        ,
including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the
following documents: (a) the Government’s solicitation and your offer, and (b) this award/contract No further contractual document is necessary.

  
 [***] 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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	 19A.   NAME AND TITLE OF SIGNER
(Type or print)
	 	 20A.   NAME OF CONTRACTING
OFFICER

	 	 
	   BERTRAND LIANG, MD, MBA,
CEO
	 	 MICHAEL A. YOUNKINS AMCG,
ASPR, OS, DHHS

	 19B.   NAME OF CONTRACTOR
	 		 	19C. DATE SIGNED  	 	 20B.   UNITED STATES OF AMERICA
	 		 	20C.   DATE SIGNED
	 			 	 			 
	 	 	 /s/    Bertrand C.
Liang        
	 		 	7/27/2010	 	BY	 	 /s/    Michael A.
Younkins        
	 		 	7/30/2010
	 	 	 (Signature of person authorized to sign)

 
	 	 	 	 	 	 	 	 (Signature of Contracting Officer)

 
	 	 	 	 

					
	 NSN 7540-01-152-8069
 PREVIOUS EDITION
UNUSABLE
	 	 28-107

Computer Generated
	  	 STANDARD FORM 26 (REV. 4-85)

Prescribed by GSA
 FAR (48
CFR) 53.214(a)

  
 [***] 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. 

-2- 

 CONTRACT TABLE OF CONTENTS 

 

									
			 PART I — THE SCHEDULE
		 	3	  
					SECTION B - SUPPLIES OR SERVICES AND PRICES/COSTS		 	3	  
					SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT		 	7	  
					SECTION D - PACKAGING, MARKING AND SHIPPING		 	11	  
					SECTION E - INSPECTION AND ACCEPTANCE		 	11	  
					SECTION F - DELIVERIES OR PERFORMANCE		 	11	  
					SECTION G - CONTRACT ADMINISTRATION DATA		 	14	  
					SECTION H - SPECIAL CONTRACT REQUIREMENTS		 	17	  
			
			 PART II — CONTRACT CLAUSES
		 	23	  
					SECTION I - CONTRACT CLAUSES		 	23	  
			
			 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS
		 	29	  
					SECTION J - LIST OF ATTACHMENTS		 	29	  
			
			 PART IV - REPRESENTATIONS AND INSTRUCTIONS
		 	30	  
					SECTION K - REPRESENTATIONS AND CERTIFICATIONS		 	30	  

  
 [***] 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. 

-3- 

 PART I - THE SCHEDULE 

PART B - SUPPLIES OR SERVICES AND PRICES/COSTS 
 ARTICLE
B.1. BRIEF DESCRIPTION OF SUPPLIES OR SERVICES 
 The purpose of the contract is to further develop a strain and process to manufacture recombinant
protective antigen (rPA) for use in anthrax vaccine development using a microbial system. 
 ARTICLE B.2. ESTIMATED COST AND FIXED FEE 

 

	 	a.	The total estimated cost of the base period of performance contract is $[***]. 

  

	 	b.	The total fixed fee for the base period of performance contract is $[***]. The fixed fee shall be paid in installments based on the percentage of completion of work, as determined by the Contracting Officer, and
subject to the withholding provisions of the clauses ALLOWABLE COST AND PAYMENT and FIXED FEE referenced in the General Clause Listing in Part II, ARTICLE 1.1 of this contract. Payment of fixed fee shall not be made in less than monthly increments.

  

	 	c.	The total amount of the contract, represented by the sum of the total estimated cost plus fixed fee is $[***]. 

  

	 	d.	It is estimated that the amount currently allotted will cover performance of the contract through December 12, 2011. 

  

													
	 CLIN
	  	 Base Period
	  	 Supplies/Services
	  	Quantity
(Units)	  	Cost	 	Fixed Fee	 	Total Estimated
Cost Plus Fixed
Fee
	 0001
	  	07/30/2010-12/12/2011	  	[***]	  	1 Job	  	[***]	 	[***]	 	[***]

 ARTICLE B.3. OPTION PRICES 
  

	 	a.	Unless the Government exercises its option pursuant to the option clause referenced in ARTICLE I.1. GENERAL CLAUSES FOR A COST PLUS FIXED FEE RESEARCH AND DEVELOPMENT CONTRACT, the contract consists only of the Base
Period specified in the Statement of Work as defined in SECTIONS C and F, for the price set forth in ARTICLE B.2. of the contract. 

  

	 	b.	Pursuant to FAR Clause 52.217-7 (Options for Increased Quantity -Separately Priced Line Item), the Government may, by unilateral contract modification, require the Contractor to perform the Option Period(s) specified in
the Statement of Work as defined in SECTIONS C and F of this contract. If the Government exercises this/these option(s), notice must be given before the expiration date of the contract. Specific information regarding the time frame for this notice
is set forth in the OPTION CLAUSE Article in SECTION H of this contract. The estimated cost of the contract will be increased as set forth below: 

OPTIONS 
 CLIN 1001 [***]. 

CLIN 2001 [***]. 
  

  
 [***] 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. 

-4- 

													
	 CLIN
	  	 Option Period
	  	 Supplies/Services
	  	 Quantity
(Units)
	  	 Cost
	  	 Fixed Fee
	  	 Estimated
Cost

	 1001
	  	12/13/2011-04/11/2013	  	Stage 2b: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	 1002
	  	04/12/2013-09/17/2014	  	Stage, 2c: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	 2001
	  	12/13/2011-06/02/2013	  	Stage 3a: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	 2002
	  	06/03/2013-06/01/2014	  	Stage 3b: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	 2003
	  	06/02/2014-07/06/2015	  	Stage 3c: [***]	  	1 Job	  	[***]	  	[***]	  	[***]

 ARTICLE B.4. PROVISIONS APPLICABLE TO DIRECT COSTS 

a. Items Unallowable Unless Otherwise Provided 

Notwithstanding the clauses, ALLOWABLE COST AND PAYMENT, and FIXED FEE, incorporated in this contract, unless authorized in writing by the Contracting Officer,
the costs of the following items or activities shall be unallowable as direct costs: 
  

	 	1.	Acquisition, by purchase or lease, of any interest in real property; 

  

	 	2.	Special rearrangement or alteration of facilities; 

  

	 	3	Purchase or lease of any item of general purpose office furniture or office equipment regardless of dollar value. (General purpose equipment is defined as any items of personal property which are usable for purposes
other than research, such as office equipment and furnishings, pocket calculators, etc.); 

  

	 	4.	Travel to attend general scientific meetings; 

  

	 	5.	Unapproved foreign travel—Subject to the procedure specified under subparagraph b.2. below; 

  

	 	6.	Consultant costs; 

  

	 	7.	Subcontracts; 

  

	 	8.	Patient care costs; 

  

	 	9.	Accountable Government property (defined as both real and personal property with an acquisition cost of $1,000 or more and a life expectancy of more than two years) and “sensitive items” (defined and listed in
the Contractor’s Guide for Control of Government Property), regardless of acquisition value. 

  

	 	10.	Printing Costs (as defined in the Government Printing and Binding Regulations). 

  

	 	11.	Light Refreshment and Meal Expenditures 

 Requests to use contract funds to provide light
refreshments and/or meals to either federal or nonfederal employees must be submitted to the Contracting Officer’s Technical Representative (COTR), with a copy to 

  
 [***] 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. 

-5- 

 
the Contracting Officer, at least six (6) weeks in advance of the event. The request shall contain the following information: (a) name, date, and location of the event at which the
light refreshments and/or meals will be provided; (b) a brief description of the purpose of the event; (c) a cost breakdown of the estimated light refreshment and/or meal costs; (d) the number of nonfederal and federal attendees
receiving light refreshments and/or meals; and (e) if the event will be held somewhere other than a government facility, provide an explanation of why the event is not being held at a government facility. 

b. Travel Costs 
 1. Domestic Travel

  

	 	a.	Total expenditures for domestic travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed [***] during the base period
(07/30/2010-12/12/2011) without the prior written approval of the Contracting Officer. 

  

	 	b.	Subject to the annual dollar limitation specified under B.4.b.1.a. above the Contractor shall invoice and be reimbursed for all travel costs in accordance with OMB Circular A-122 - “Cost Principles for
Nonprofit Organizations.” 

 2. Foreign Travel 

Requests for foreign travel must be submitted at least six weeks in advance and shall contain the following: (a) meeting(s) and place(s)
to be visited, with costs and dates; (b) name(s) and title(s) of Contractor personnel to travel and their functions in the contract project; (c) contract purposes to be served by the travel; (d) how travel of Contractor personnel will
benefit and contribute to accomplishing the contract project, or will otherwise justify the expenditure of BARDA contract funds; (e) how such advantages justify the costs for travel and absence from the project of more than one person if such
are suggested; and (f) what additional functions may be performed by the travelers to accomplish other purposes of the contract and thus further benefit the project. 

ARTICLE B.5. ADVANCE UNDERSTANDINGS 

a. Security Plan - Reserved 

b. The Contractor agrees to provide data generated from this contract to the Contracting Officer upon request either in the form of an
email attachment or via delivery to a secured Government eRoom. 
 c. Invoices - Cost and Personnel Reporting, and Variances from the
Negotiated Budget 
 The Contractor agrees to provide a detailed breakdown on invoices of the following cost categories (as applicable):

  

	 	1.	Direct Labor - List individuals by name, title/position, hourly/annual rate, level of effort, and amount claimed. 

  

	 	2.	Fringe Benefits - Cite rate and amount 

  

	 	3.	Overhead - Cite rate and amount 

  

	 	4.	Materials & Supplies - Include detailed breakdown when unit price is over [***]. 

  

	 	5.	Travel - Identify travelers, dates, destination, purpose of trip, and amount. Cite COA, if appropriate. List separately, domestic travel, general scientific meeting travel, and foreign travel. 

 

	 	6.	Consultant Fees - Identify individuals and amounts. 

  

	 	7.	Subcontracts - Attach subcontractor invoice(s). 

  

	 	8.	Equipment - Cite authorization and amount 

  

	 	9.	G&A - Cite rate and amount. 

  

	 	10.	Total Cost 

  

	 	11.	Fixed Fee 

  

	 	12.	Total CPFF 

  
 [***] 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. 

-6- 

 Monthly invoices must include the cumulative total expenses to date, adjusted (as applicable) to
show any amounts suspended by the Government. 
 d. Reserved 

e. Confidential Treatment of Sensitive Information 

The Contractor shall guarantee strict confidentiality of the information/data that it is provided by the Government during the performance of
the contract. The Government has determined that the information/data that the Contractor will be provided during the performance of the contract is of a sensitive nature. 

Disclosure of the information/data, in whole or in part, by the Contractor can only be made after the Contractor receives prior written
approval from the Contracting Officer. Whenever the Contractor is uncertain with regard to the proper handling of information/data under the contract, the Contractor shall obtain a written determination from the Contracting Officer. 

f. Equipment 
 All
Equipment purchases must receive prior written consent of the Contracting Officer. Upon review of quotes and supporting documentation the Contracting Officer may provide written consent for the equipment purchases. 

g. Site Visits and Inspections 

At the discretion of the USG and independent of activities conducted the Contractor, with ten (10) business days notice to the contractor,
the USG reserves the right to conduct site visits and inspections on an as needed basis, including collection of product samples and intermediates held by the contractor, or subcontractor. In case of subcontractor visits and inspections that are
independent of activities conducted by the Contractor, the USG shall demonstrate cause for such visit and/or inspection. These visits shall be coordinated through the Prime Contractor. Under time-sensitive or critical situations, the USG reserves
the right to suspend the 10 day notice to the Contractor. The areas included under the site visit could include, but are not limited to: security, regulatory and quality systems, and cGMP/GLP/GCP compliance. 

h. Establishment of Indirect Cost Rates 

In accordance with AMCG internal review at Pfenex Biopharmaceuticals, Inc., letter dated June 18, 2010; the Contractor may bill
indirect costs at the following rates: 
 Fringe Benefit Rate [***] 

Overhead Rate [***] 
 The
Government is not obligated to pay any additional amount over the above billing rates until such time that DCAA negotiates revised rates. In the event that the DCAA negotiated final indirect cost rates are less than the billing rates, the
Government’s obligation shall be reduced to conform to the lower rates. 

  
 [***] 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. 

-7- 

 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT 

ARTICLE C.1. STATEMENT OF WORK 
 Independently and not as
an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material, equipment, and facilities not otherwise provided by the Government as needed to perform the Statement of Work dated June 24,
2010 set forth in SECTION J-List of Attachments, attached hereto and made a part of the contract. 
 ARTICLE C.2. REPORTING REQUIREMENTS 

Technical Reports 
 In addition to those reports required
by the other terms of this contract, the Contractors shall prepare and submit the following reports in the manner state below and in accordance with the DELIVERIES Article in SECTION F of this contract. 

1. Monthly Progress Report 
 This report shall include a
description of the activities during the reporting period, and the activities planned for the ensuing reporting period. The first reporting period consists of the first full month of performance plus any fractional part of the initial month.
Thereafter, the reporting period shall consist of each calendar month. 
 The Contractor shall submit a Monthly Progress Report on or before the 15th
calendar day following the last day of each reporting period and shall include the following: 
 A cover page that includes the contract number and title;
the type of report and period that it covers; the Contractor’s name, address, telephone number, fax number, and e-mail address; and the date of submission; 

SECTION I - An introduction covering the purpose and scope of the contract effort; 

SECTION II - PROGRESS 
 SECTION II Part A: OVERALL PROGRESS-A
description of overall progress; 
 SECTION II Part B: MANAGEMENT AND ADMINISTRATIVE UPDATE-A description of all meetings, conference calls, etc. that have
taken place during the reporting period. Include progress on administration and management issues (e.g. evaluating, and managing subcontractor performance); 

SECTION II Part C: TECHNICAL PROGRESS-For each activity, document the results of work completed and cost incurred during the period covered in relation to
proposed progress, effort and budget. The report shall be in sufficient detail to explain comprehensively the results achieved. The description shall include pertinent data and/or graphs in sufficient detail to explain any significant results
achieved and preliminary conclusions resulting from analysis and scientific evaluation of data accumulated to date under the contract. The report shall include a description of problems encountered and proposed corrective action; differences between
planned and actual progress, why the differences have occurred and what corrective actions are planned; preliminary conclusions resulting from analysis and scientific evaluation of data accumulated to date under the project; 

SECTION II Part D; PROPOSED WORK-A summary of work proposed for the next reporting period and preprints/reprints of papers and abstracts. 

A Monthly Progress Report will not be required in the same month that the Quarterly or Annual Technical Progress Report is submitted. 

2. Quarterly Progress Report 
 This report shall include a
description of the activities during the reporting period, and the activities planned for the ensuing reporting period. The first reporting period consists of the first full quarter of performance plus any fractional part of the initial quarter.
Thereafter, the reporting period shall consist of each calendar quarter. 
 The Contractor shall submit a Quarterly Progress Report on or before the 15th calendar day following the last day of each reporting period and shall include the following: 
 A cover
page that includes the contract number and title; the type of report and period that it covers; the Contractor’s name, address, telephone number, fax number, and e-mail address; and the date of submission; 

SECTION I - An introduction covering the purpose and scope of the contract effort; 

SECTION II - PROGRESS 

  
 [***] 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. 

-8- 

 
SECTION II Part A: OVERALL PROGRESS-A description of overall progress; 
 SECTION II Part B:
MANAGEMENT AND ADMINISTRATIVE UPDATE-A description of all meetings, conference calls, etc. that have taken place during the reporting period. Include progress on administration and management issues (e.g. evaluating, and managing subcontractor
performance); 
 SECTION II Part C: TECHNICAL PROGRESS-For each activity, document the results of work completed and cost incurred during the period covered
in relation to proposed progress, effort and budget. The report shall be in sufficient detail to explain comprehensively the results achieved. The description shall include pertinent data and/or graphs in sufficient detail to explain any significant
results achieved and preliminary conclusions resulting from analysis and scientific evaluation of data accumulated to date under the contract. The report shall include a description of problems encountered and proposed corrective action; differences
between planned and actual progress, why the differences have occurred and what corrective actions are planned; preliminary conclusions resulting from analysis and scientific evaluation of data accumulated to date under the project; 

SECTION II Part D; PROPOSED WORK- A summary of work proposed for the next reporting period; and preprints/reprints of papers, abstracts and a current GANTT
chart. A Quarterly Progress Report will not be required in the same month that the Annual Progress Report is submitted. 
 a. Draft Final
Technical Progress Report and Final Technical Progress Report 
 These reports are to include a summation of the work performed and
results obtained for the entire contract period of performance. This report shall be in sufficient detail to describe comprehensively the results achieved. The Draft Final Report and Final Report shall be submitted in accordance with the DELIVERIES
Article in SECTION F of the contract. The Draft Final Technical Progress Report shall be submitted one hundred twenty (120) calendar days before completion date of the contract and the Revised Final Technical Progress Report shall be submitted
at sixty (60) calendar days before the completion date of the contract. The report shall conform to the following format: 

(1) Cover page to include the contract number, contract title, performance period covered, Contractor’s name and address,
telephone number, fax number, e-mail address and submission date; 
 (2 ) SECTION I: EXECUTIVE SUMMARY-Summarize the purpose
and scope of the contract effort including a summary of the major accomplishments relative to the specific activities set forth in the Statement of Work. 

(3) SECTION II: RESULTS-A detailed description of the work performed, the results obtained, and the impact of the results on
the scientific and/or public health community, including a listing of all manuscripts (published and in preparation) and abstracts presented during the entire period of performance, and a summary of all inventions. 

Draft Final Technical Progress Report: The Contractor is required to submit the Draft Final Technical Progress Report to
the Contracting Officer’s Technical Representative and Contracting Officer. This report is due 120 calendar days before the completion date of the contract. The Contracting Officer’s Technical Representative and Contracting Officer will
review the Draft Final Technical Progress Report and provide the Contractor with comments within 45 calendar days after receipt. 

Final Technical Progress Report: The Contractor will deliver the final version of the Final Technical Progress Report on
or before the completion date of the contract. 
 b. Summary of Salient Results 

The Contractor shall submit, with the Final Technical Progress Report, a summary (not to exceed 200 words) of salient results achieved during
the performance of the contract. 
 c. Audit Reports 

Within thirty (30) calendar days of an audit related to conformance to FDA regulations and guidance, including adherence to GLP, GMP, or
GCP guidelines, the Contractor shall provide copies of the audit report and a 

  
 [***] 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. 

-9- 

 
plan for addressing areas of nonconformance to FDA regulations and guidance for GLP, GMP or GCP guidelines as identified in the final audit report. 

d. Clinical Trial Protocols 

BARDA has a responsibility to ensure that mechanisms and procedures are in place to protect the safety of participants in BARDA-funded clinical
trials. Therefore, as described in the NIAID Clinical Terms of Award (http://www.niaid.nih.gov/ncn/pdf/clinterm.pdf), the Contractor shall develop a protocol for each clinical trial and submit all protocols and protocol amendments for
approval by the BARDA Contracting Officer’s Technical Representative. Important information regarding performing human subjects research is available at http://www3.niaid.nih.gov/healthscience/clinicalstudies/. 

Any updates to technical reports are to be addressed in the Monthly, Quarterly and Annual Progress Reports. The Contractor shall advise the
Contracting Officer’s Technical Representative or designee in writing and via electronic communication in a timely manner of any issues potentially affecting contract performance. 

e. Other Reports/Deliverables 

(1) Copies of FDA Correspondence and Meeting Summaries 

(a) For any formal meeting with the FDA, the contractor shall forward initial draft minutes and subsequently final meeting
minutes appropriately formatted within thirty (30) calendar days of the FDA meeting to the BARDA Contracting Officer’s Technical Representative. 

(b) The contractor shall forward the final draft minutes of any informal meeting with the FDA to BARDA. 

(c) The contractor shall forward the dates and times of any meeting with the FDA to BARDA at least 30 days prior to the meeting
and make arrangements for appropriate BARDA staff to attend FDA meetings. 
 (d) The contractor shall provide BARDA the
opportunity to review and comment upon any documents to be submitted to the FDA. The contractor shall provide BARDA with five (5) business days in which to review and provide comments back to the contractor. 

(2) Technology Transfer 

Technology packages developed under the contract that include complete protocols and critical reagents developed and/or improved with contract
funding must be submitted at the request of the BARDA Contracting Officer’s Technical Representative. See FAR clause 52.227-11 (Patent Rights-Ownership by the Contractor). 

(3) Institutional Biosafety Approval 

The Contractor shall provide documentation of materials submitted for Institutional Biosafety Committee Review and documentation of approval of
experiments at the request of the BARDA Contracting Officer’s Technical Representative. 
 (4) Study/Experiment/Test Plans 

The contractor shall submit all study/experiment/test plans, designs, and protocols upon request by the COTR. 

(5) Data 
 The contractor
shall provide raw data or specific analysis of data generated with contract funding at the request of the BARDA Contracting Officer’s Technical Representative. See FAR clause 52.227-14 (Rights in Data-General). 

(6) Meeting Minutes 
 The
Contractor shall provide an electronic copy of conference call meeting minutes/summaries to the BARDA Contracting Officer’s Technical Representative, Contracting Officer and Contracting Specialist within seven (7) calendar days after the
conference call is held. 

  
 [***] 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. 

-10- 

 (7) Audits/Site Visits 

AMCG/BARDA Audits 

The United States Government (USG) reserves the right to conduct an audit of the Contractor with 48 hours notice. The USG reserves the right to
accompany the Contractor on routine and for-cause site-visits/audits of subcontractors. At the discretion of the USG and independent of testing conducted by the Contractor, AMCG/BARDA reserves the right to conduct site visits/audits and collect
samples of product held by the Contractor and subcontractors. 
 ARTICLE C.3. SUBJECT INVENTION REPORTING REQUIREMENT 

All reports and documentation required by FAR Clause 52.227-11, including, but not limited to, the invention disclosure report, the confirmatory license, and
the Government support certification, shall be directed to the Extramural Inventions and Technology Resources Branch, OPERA, NIH, 6705 Rockledge Drive, Room 2207, MSC 7987, Bethesda, Maryland 20892-7987 (Telephone: [*]). In addition, one copy of an
annual utilization report, and a copy of the final invention statement, shall be submitted to the Contracting Officer. The final invention statement (see FAR 27.303(b)(2)(ii)) shall be submitted to the Contracting Officer on the expiration date of
the contract. See also FAR clause 52.227-11 (Patent Rights-Ownership by the Contractor). 
 Reports and documentation submitted to the Contracting Officer
shall be sent to the following address: 
 Contracting Officer 

[*] 
 Office of Acquisitions Management, Contracts, and Grants
(AMCG) 
 330 Independence Avenue, S.W. 
 Room G640 

Washington, D.C. 20201 
 If no invention is disclosed or no
activity has occurred on a previously disclosed invention during the applicable reporting period, a negative report shall be submitted to the Contracting Officer at the address listed above. 

To assist contractors in complying with invention reporting requirements of the clause, “Interagency Edison,” an electronic invention reporting
system has been developed. Use of Interagency Edison is encouraged as it streamlines the reporting process and greatly reduces paperwork. Access to the system is through a secure interactive Web site to ensure that all information submitted is
protected. Interagency Edison and information relating to the capabilities of the system can be obtained from the Web (http://www.iedison.gov), or by contacting the Extramural Inventions and Technology Resources Branch, OPERA, NIH. 

ARTICLE C.4. TWICE MONTHLY CONFERENCE CALLS 
 A conference
call between the Contracting Officer’s Technical Representative and the principal investigator shall occur bi-monthly or as directed by the Contracting Officer’s Technical Representative. During this call the principal investigator will
discuss the activities during the reporting period, any problems that have arisen and the activities planned for the ensuing reporting period. The first reporting period consists of the first full month of performance plus any fractional part of the
initial month. Thereafter, the reporting period shall consist of each calendar month. The principal investigator may choose to include other key personnel on the conference call to give detailed updates on specific projects or this may be requested
by the Contracting Officer’s Technical Representative. 
 ARTICLE C.5. PROJECT MEETINGS 

The Contractor shall participate in Project Meetings to coordinate the performance of the contract, as requested by the Contracting Officer’s Technical
Representative. These meetings may include face-to-face meetings with BARDA/AMCG in Washington, D.C. and at work sites of the Contractor and its subcontractors. Such meetings may include, but are not limited to, meetings of the Contractor (and
subcontractors invited by the Contractor) to discuss study designs, site visits to the Contractor’s and subcontractor’s facilities, and meetings with the 

  
 [***] 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. 

-11- 

 
Contractor and HHS officials to discuss the technical, regulatory, and ethical aspects of the program. The Contractor must provide data, reports, and presentations to groups of outside experts
and USG personnel as required by the Contracting Officer’s Technical Representative in order to facilitate review of contract activities. 
 SECTION
D - PACKAGING, MARKING AND SHIPPING 
 All deliverables required under this contract shall be packaged, marked and shipped in accordance
with Government specifications. At a minimum, all deliverables shall be marked with the contract number and Contractor name. The Contractor shall guarantee that all required materials shall be delivered in immediate usable and acceptable condition.

 SECTION E - INSPECTION AND ACCEPTANCE 

1. The Contracting Officer or the duly authorized representative will perform inspection and acceptance of materials and services to be
provided. 
 2. For the purpose of this SECTION, the designated Contracting Officer’s Technical Representative is the authorized
representative of the Contracting Officer. 
 3. Inspection and acceptance will be performed at: 

Biomedical Advanced Research and Development Authority (BARDA)/ Office of Acquisition 

Management, Contracts, and Grants (AMCG) 

Office of the Assistant Secretary for Preparedness and Response 

U.S. Department of Health and Human Services 

330 Independence Avenue, S.W., Room G644 

Washington, D.C. 20201 
 4. The
contract incorporates the following clause by reference with the same force and effect as if it were given in full text. Upon request, the Contracting Officer will make its full text available. 

FAR Clause 52.246-8, Inspection of Research and Development - Cost-Reimbursement (May 2001). (Note: Work is deemed acceptable 90 days
after delivery.) 
 SECTION F - DELIVERIES OR PERFORMANCE 

ARTICLE F.1. PERIOD OF PERFORMANCE 
 a. The base period of
performance of this contract shall be from July 30, 2010 through December 12, 2011. 
 b. If the Government exercises its options pursuant to the
OPTION CLAUSE Article in Section H of the contract the period of performance will be increased as listed below: 
  

													
	 CLIN
	  	 Option Period
	  	 Supplies/Services
	  	 Quantity
(Units)
	  	 Cost
	  	 Fixed

Fee
	  	 Estimated

Cost

	1001	  	12/13/2011-04/11/2013	  	Stage 2b: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	1002	  	04/12/2013-09/17/2014	  	Stage 2c: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	2001	  	12/13/2011-06/02/2013	  	Stage 3a: [***]	  	1 Job	  	[***]	  	[***]	  	[***]

  
 [***] 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. 

-12- 

															
	2002	  	 	06/03/2013-06/01/2014	  	  	Stage 3b: [***]	  	1 Job	  	[***]	  	[***]	  	[***]
	2003	  	 	06/02/2014-07/06/2015	  	  	Stage 3c: [***]	  	1 Job	  	[***]	  	[***]	  	[***]

 ARTICLE F.2. DELIVERIES 

Successful performance of the final contract shall be deemed to occur upon performance of the work described in the Statement of Work Article in SECTION C of
this contract and upon delivery and acceptance by the Contracting Officer, or the duly authorized representative, of the following items in accordance with the stated delivery schedule: 

a. The items specified below as described in the REPORTING REQUIREMENTS Article in SECTION C of this contract will be required to be delivered F.O.B.
Destination as set forth in FAR 52.247-35, F.O.B. DESTINATION, WITHIN CONSIGNEES PREMISES (APRIL 1984), and in accordance with and by the date(s) specified below and any specifications stated in SECTION D, PACKAGING, MARKING AND SHIPPING, of this
contract. 
  

									
	 Item
	  	 Description
	  	 Quantity
	  	 Addresses
	  	 Delivery Schedule

	Technical Progress Reports
					
		  	Monthly Progress Report	  	2 electronic	  	 CO: (1) electronic copy
 COTR:
One (1) electronic
	  	The 15th calendar day of each month following the first full month of the contract award. The Monthly Progress Report will not be required on months when an Annual or Quarterly
Progress Report is due.
					
		  	Quarterly Progress Report	  	2 electronic	  	Same as CO and COTR above	  	15th calendar day of the month following the end of each 3 month performance period. The Quarterly Progress Report will not be required on months when an Annual Progress Report
is due.
					
	4)	  	Draft Final Technical Progress Report	  	2 electronic	  	Same as CO and COTR above	  	120 calendar days before the completion date of the contract
					
	5)	  	Final Technical Progress Report	  	2 electronic	  	Same as CO and COTR above	  	On or before the expiration date of the contract
					
	6)	  	Summary of Salient Results	  	2 electronic	  	Same as CO and COTR above	  	On or before the expiration date of the contract
	
	Other Technical Reports
					
	7)	  	Audit Reports	  	2 electronic	  	Same as CO and COTR above	  	Within 30 Calendar days of the audit
					
	8)	  	 RCB Characterization
 Report
	  	2 electronic	  	Same as CO and COTR above	  	Within 30 Calendar days of completing RCB Characterization
					
	9)	  	 MCB/WCB Characterization
 Report
	  	2 electronic	  	Same as CO and COTR above	  	Within 30 Calendar days of completing MCB/WCB Characterization

  
 [***] 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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	10)		 Stage milestone
 reports (and

addendums)
		2 electronic		Same as CO and COTR above		 60 calendar days before the completion of
 the
milestone (or option period)

	
	Other Reports
					
	11)
		FDA Correspondence and Meeting Summaries		1 electronic		Same as COTR		Within 30 calendar days of receiving correspondence or meeting with the FDA
					
	12)		Invention Report Annual Utilization Report		2 electronic		1 electronic to OPERA. CO: 1 electronic		Due on or before the 30m of the month following each anniversary date of the contract.
					
	13)		Final Invention Report		2 electronic		1 electronic to OPERA. 1 CO: 1 electronic		Due on or before the completion date of the contract.

 b. The above items shall be addressed and delivered to: Contracting Officer’s address: 

 

			
	Contracting Officer’s address:		 AMCG

330 Independence Avenue, S.W.
 Room G640

Washington, D.C. 20201

		
	Contracting Officer’s Technical Representative’s address:		 BARDA
 330 Independence Avenue, S.W. Room
G644
 Washington, D.C. 20201
 See G.1. for e-mail
address

		
	BARDA Security Specialist		 Office of the Assistant Secretary for Preparedness and

Response
 Office of Public Health Emergency Medical

Countermeasures
 409
3rd Street, S.W. Suite 320
 Washington, DC 20201

E-mail: [*]

	
	Address for the Extramural Inventions and Technology Resources Branch (EITRB), Office of Biodefense Research Affairs:
		
			 OPERA
 NIH

6705 Rockledge Drive
 Room 1040-A

MSC 7980
 Bethesda, Maryland 20892-7980

 ARTICLE F.3. CLAUSES INCORPORATED BY REFERENCE, FAR 52.252-2 (FEBRUARY 1998) 

The contract incorporates the following clause(s) by reference, with the same force and effect as if it were given in full text. Upon request, the Contracting
Officer will make its full text available. Also, the full text of a clause may be accessed electronically at this address: httb://www.acouisition.gov/comp/far/index.html  

  
 [***] 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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 FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSE: 

52.242-15, Stop Work Order (August 1989) with Alternate I (April 1984). 

SECTION G - CONTRACT ADMINISTRATION DATA 
 ARTICLE G.1.
CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (COTR) 
 The following Contracting Officer’s Technical Representative (COTR) will represent the
Government for the purpose of this contract: 
 [*] 

Contracting Officer Technical Representative 
 Biomedical Advanced
Research and Development Authority (BARDA) 
 Office of the Assistant Secretary for Preparedness and Response 

Department of Health and Human Services 
 Mailing Address: 

330 Independence Avenue, SW, Room G640 
 Washington, D.C. 20201

 [*] (Office) 
 [*] 

Alternate COTR: 
 [*] 

Acting Director Strategic Science and Technology Division 

Biomedical Advanced Research and Development Authority (BARDA) 

Office of the Assistant Secretary for Preparedness and Response 

Department of Health and Human Services 
 Mailing Address: 

330 Independence Avenue, SW, Room G640 
 Washington, D.C. 20201

 [*] (Office) 
 [*] 

The COTR is responsible for: (1) monitoring the Contractor’s technical progress, including the surveillance and assessment of performance and
recommending to the Contracting Officer changes in requirements; (2) interpreting the statement of work and any other technical performance requirements; (3) performing technical evaluation as required; (4) performing technical
inspections and acceptances required by this contract; and (5) assisting in the resolution of technical problems encountered during performance. 
 The
Government may unilaterally change its COTR designation. 

  
 [***] 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. 

-15- 

 ARTICLE G.2. CONTRACTING OFFICER 
  

	a.	The Contracting Officer (CO) is the only individual who can legally commit the Government to the expenditure of public funds. No person other than the Contracting Officer can make any changes to the terms, conditions,
general provisions or other stipulations of this contract. 

  

	b.	The Contracting Officer is the only person with authority to act as agent of the Government under this contract. Only the Contracting Officer has authority to: (1) direct or negotiate any changes in the statement
of work; (2) modify or extend the period of performance; (3) change the delivery schedule; (4) authorize reimbursement to the Contractor for any costs incurred during the performance of this contract; or (5) otherwise change any
terms and conditions of this contract. 

  

	c.	No information, other than that which may be contained in an authorized modification to this contract duly issued by the Contracting Officer, shall be considered grounds for deviation from this contract. The Government
may unilaterally change its CO designation 

 ARTICLE G.3. KEY PERSONNEL, HHSAR 352.270-5 (January 2006) 

The key personnel specified in this contract are considered to be essential to work performance. At least 30 days prior to diverting any of the specified
individuals to other programs or contracts (or as soon as possible, if an individual must be replaced, for example, as a result of leaving the employ of the Contractor), the Contractor shall notify the Contracting Officer and shall submit
comprehensive justification for the diversion or replacement request (including proposed substitutions for key personnel) to permit evaluation by the Government of the impact on performance under this contract. The Contractor shall not divert or
otherwise replace any key personnel without the written consent of the Contracting Officer. The Government may modify the contract to add or delete key personnel at the request of the Contractor or Government. 

(End of Clause) 
 The following individual is considered to be
essential to the work being performed hereunder: 
  

			
	 Name
	  	 Title

	[*]	  	Principal Investigator
	[*]	  	Deputy PI & Fermentation
	[*]	  	Administrative Contact
	[*]	  	Analytical Biochemistry
	[*]	  	Downstream Processing
	[*]	  	Molecular Biology
	[*]	  	LBERI Animal Studies Principal Investigator

 ARTICLE G.4. INVOICE SUBMISSION 

The Contractor shall submit one electronic copy of the contract invoices to the address shown below: 

 

			
	DHHS/OS/ASPR/AMCG	  	DHHS/OS/ASPR/AMCG
	Attn: Contracting Officer	  	Attn: Contract Specialist
	330 Independence Ave., S.W.	  	Email: [*]
	Room G640	  	
	Washington, D.C. 20201	  	
	E-mail: [*]	  	

 ARTICLE G.5. CONTRACT FINANCIAL REPORT 
  

	 	a.	Financial reports on the attached Financial Report of Individual Project/Contract shall be submitted by the Contractor in accordance with the instructions for completing this form, which accompany the form, in an
original and one electronic copy, not later than the 30th working day after the close of the reporting period. The line entries for subdivisions of work and elements of cost (expenditure categories) which shall be reported within the total contract
are discussed in paragraph e., below. Subsequent changes and/or additions in the line entries shall be made in writing. 

  
 [***] 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. 

-16- 

	 	b.	Unless otherwise stated in that part of the instructions for completing this form, entitled “PREPARATION INSTRUCTIONS,” all columns A through J, shall be completed for each report submitted.

  

	 	c.	The first financial report shall cover the period consisting of the first full three calendar months following the date of the contract, in addition to any fractional part of the initial month. Thereafter,
reports will be on a quarterly basis. 

  

	 	d.	The Contracting Officer may require the Contractor to submit detailed support for costs contained in one or more interim financial reports. This clause does not supersede the record retention requirements in FAR
Part 4.7. 

  

	 	e.	The listing of expenditure categories to be reported is incorporated within the Attachment entitled, “Financial Report of Individual Project/Contract,” located in SECTION J and made a part of this
contract. 

  

	 	f.	The Government may unilaterally revise the “Financial Report of Individual Project/Contract” to reflect the allotment of additional funds. 

ARTICLE G.6. INDIRECT COST RATES 
 a. In accordance
with Federal Acquisition Regulation (FAR) (48 CFR Chapter 1) Clause 52.216-7 (d)(2), Allowable Cost and Payment incorporated by reference in this contract in PART II, SECTION I, the cognizant Contracting Officer representative responsible for
negotiating provisional and/or final indirect cost rates is identified as follows: 
 [*] 

AMCG 
 330 Independence Ave., S.W.

 Room G640 
 Washington, D.C.
20201 
 b. These rates are hereby incorporated without further action of the Contracting Officer. 

ARTICLE G.7. GOVERNMENT PROPERTY 
  

	 	a.	In addition to the requirements of the clause, GOVERNMENT PROPERTY, incorporated in SECTION I of this contract, the Contractor shall comply with the provisions of HHS Publication, “Contractor’s Guide
for Control of Government Property,” which is incorporated into this contract by reference. This document can be accessed at: 

htto://www.hhs.gov/oamp/policies/contractors guide for control of gov property.pdf 

Among other issues, this publication provides a summary of the Contractor’s responsibilities regarding purchasing authorizations and
inventory and reporting requirements under the contract. 
  

	 	b.	Notwithstanding the provisions outlined in the HHS Publication, “Contractor’s Guide for Control of Government Property,” which is incorporated in this contract in paragraph a. above, the Contractor
shall use the form entitled, “Report of Government Owned, Contractor Held Property” for submitting summary reports required under this contract, as directed by the Contracting Officer or his/her designee. This form is included as an
attachment in SECTION J of this contract. 

  

	 	c.	Title will vest in the Government for equipment purchased as a direct cost. 

 ARTICLE G.8. POST AWARD
EVALUATION OF CONTRACTOR PERFORMANCE 
  

	 	a.	Contractor Performance Evaluations 

 Interim and final evaluations of Contractor
performance will be prepared on this contract in accordance with FAR Subpart 42.15. The final performance evaluation will be prepared at the time of completion of work. In addition to the final evaluation, an interim evaluation shall be submitted
December 31, 2011. 
 Interim and final evaluations will be provided to the Contractor as soon as practicable after completion of the
evaluation. The Contractor will be permitted thirty days to review the document and to submit additional information or a rebutting statement. If agreement cannot be reached between the parties, the matter will be referred to an individual one level
above the Contracting Officer whose decision will be final. 

  
 [***] 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. 

-17- 

 
Copies of the evaluations, Contractor responses, and review comments, if any, will be retained as part of the contract file, and may be used to support future award decisions. 

 

	 	b.	Electronic Access to Contractor Performance Evaluations 

 Contractors that have
Internet capability may access evaluations through a secure Web site for review and comment by completing the registration form that can be obtained at the following address:  

http://oamp.od.nih.gov/OD/CPS/cps.asp 

The registration process requires the Contractor to identify an individual that will serve as a primary contact and who will be authorized
access to the evaluation for review and comment. In addition, the Contractor will be required to identify an alternate contact who will be responsible for notifying the cognizant contracting official in the event the primary contact is unavailable
to process the evaluation within the required 30-day time frame. 
 SECTION H - SPECIAL CONTRACT REQUIREMENTS 

ARTICLE H.1. PROTECTION OF HUMAN SUBJECTS, HHSAR 352.270-4 (January 2006) 

a. The Contractor agrees that the rights and welfare of human subjects involved in research under this contract shall be protected in
accordance with 45 CFR Part 46 and with the Contractor’s current Assurance of Compliance on file with the Office for Human Research Protections (OHRP), Office of Public Health and Science (OPHS). The Contractor further agrees to provide
certification at least annually that the Institutional Review Board has reviewed and approved the procedures, which involve human subjects in accordance with 45 CFR Part 46 and the Assurance of Compliance. 

b. The Contractor shall bear full responsibility for the performance of all work and services involving the use of human subjects under this
contract and shall ensure that work is conducted in a proper manner and as safely as is feasible. The parties hereto agree that the Contractor retains the right to control and direct the performance of all work under this contract. Nothing in this
contract shall be deemed to constitute the Contractor or any subcontractor, agent or employee of the Contractor, or any other person, organization, institution, or group of any kind whatsoever, as the agent or employee of the Government. The
Contractor agrees that it has entered into this contract and will discharge its obligations, duties, and undertakings and the work pursuant thereto, whether requiring professional judgment or otherwise, as an independent contractor without imputing
liability on the part of the Government for the acts of the Contractor or its employees. 
 c. If at any time during the performance of this
contract, the Contracting Officer determines, in consultation with the OHRP, OPHS, ASH, that the Contractor is not in compliance with any of the requirements and/or standards stated in paragraphs (a) and (b) above, the Contracting Officer
may immediately suspend, in whole or in part, work and further payments under this contract until the Contractor corrects the noncompliance. Notice of the suspension may be communicated by telephone and confirmed in writing. If the Contractor fails
to complete corrective action within the period of time designated in the Contracting Officer’s written notice of suspension, the Contracting Officer may, in consultation with OHRP, OPHS, ASH, terminate this contract in a whole or in part, and
the Contractor’s name may be removed from the list of those contractors with approved Health and Human Services Human Subject Assurances. 

(End of clause) 
 ARTICLE H.2. HUMAN MATERIALS
(ASSURANCE OF OHRP COMPLIANCE) 
 The acquisition and supply of all human specimen material (including fetal material) used under this
contract shall be obtained by the Contractor in full compliance with applicable Federal, State and Local laws and the provisions of the Uniform Anatomical Gift Act in the United States, and no undue inducements, monetary or otherwise, will be
offered to any person to influence their donation of human material. 
 The Contractor shall provide written documentation that all human
materials obtained as a result of research involving human subjects conducted under this contract, by collaborating sites, or by subcontractors identified under this contract, were obtained with prior approval by the Office for Human Research
Protections (OHRP) of an Assurance to comply with the requirements of 45 CFR 46 to protect human research subjects. This restriction applies to all collaborating sites without OHRP-approved Assurances, whether domestic or foreign, and compliance
must be ensured by the Contractor. 

  
 [***] 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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 Provision by the Contractor to the Contracting Officer of a properly completed “Protection
of Human Subjects Assurance ldentification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263(formerly Optional Form 310), certifying IRB review and approval of the protocol from which the human materials were obtained
constitutes the written documentation required. The human subject certification can be met by submission of a self designated form provided that it contains the information required by the “Protection of Human Subjects Assurance
Identification/IRB Certification/Declaration of Exemption”, Form OMB No. 0990-0263(formerly Optional Form 310). 
 ARTICLE H.3. RESEARCH
INVOLVING HUMAN FETAL TISSUE 
 All research involving human fetal tissue shall be conducted in accordance with the Public Health Service
Act, 42 U.S.C. 289g-1 and 289g-2. Implementing regulations and guidance for conducting research on human fetal tissue may be found at 45 CFR 46, Subpart B and http://grants1.nih.gov/grants/quide/notice-files/not93-235.html and any subsequent
revisions to this NIH Guide to Grants and Contracts (“Guide”) Notice. 
 The Contractor shall make available, for audit by the
Secretary, HHS, the physician statements and informed consents required by 42 USC 289g-1(b) and (c), or ensure HHS access to those records, if maintained by an entity other than the Contractor. 

ARTICLE H.4. NEEDLE EXCHANGE 
 The
Contractor shall not use contract funds to carry out any program of distributing sterile needles or syringes for the hypodermic injection of any illegal drug. 

ARTICLE H.5. CARE OF LIVE VERTEBRATE ANIMALS, HHSAR 352.270-5(b) (October 2009) 

a. Before undertaking performance of any contract involving animal related activities, the Contractor shall register with the Secretary of
Agriculture of the United States in accordance with 7 U.S.C. 2136 and 9 CFR 2.25 through 2.28. The Contractor shall furnish evidence of the registration to the Contracting Officer. 

b. The Contractor shall acquire vertebrate animals used in research from a dealer licensed by the Secretary of Agriculture under 7 U.S.C. 2133
and 9 CFR 2.1 through 2.11, or from a source that is exempt from licensing under those sections. 
 c. The Contractor agrees that the care
and use of any live vertebrate animals used or intended for use in the performance of this contract will conform with the PHS Policy on Humane Care of Use of Laboratory Animals, the current Animal Welfare Assurance, the Guide for the Care and Use of
Laboratory Animals prepared by the Institute of Laboratory Animal Resources and the pertinent laws and regulations of the United States Department of Agriculture (see 7 U.S.C. 2131 et seq . and 9 CFR Subchapter A, Parts 1 - 4). In case of conflict
between standards, the more stringent standard shall be used. 
 d. If at any time during performance of this contract, the Contracting
Officer determines, in consultation with the Office of Laboratory Animal Welfare (OLAW), National Institutes of Health (NIH), that the Contractor is not in compliance with any of the requirements and/or standards stated in paragraphs
(a) through (c) above, the Contracting Officer may immediately suspend, in whole or in part, work and further payments under this contract until the Contractor corrects the noncompliance. Notice of the suspension may be communicated by
telephone and confirmed in writing. If the Contractor fails to complete corrective action within the period of time designated in the Contracting Officer’s written notice of suspension, the Contracting Officer may, in consultation with OLAW,
NIH, terminate this contract in whole or in part, and the Contractor’s name may be removed from the list of those contractors with approved PHS Animal Welfare Assurances. 

Note: The Contractor may request registration of its facility and a current listing of licensed dealers from the Regional Office of the Animal
and Plant Health Inspection Service (APHIS), USDA, for the region in which its research facility is located. The location of the appropriate APHIS Regional Office, as well as information concerning this program may be obtained by contacting the
Animal Care Staff, USDA/APHIS, 4700 River Road, Riverdale, Maryland 20737. 
 (End of Clause) 

  
 [***] 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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 ARTICLE H.6. ANIMAL WELFARE 

All research involving live, vertebrate animals shall be conducted in accordance with the Public Health Service Policy on Humane Care and Use
of Laboratory Animals. This policy may be accessed at: 
 http://grants1.nih.qov/grants/olaw/references/phspol.htm. 

ARTICLE H.7. PROTECTION OF PERSONNEL WHO WORK WITH NONHUMAN RIMATES 

All Contractor personnel who work with nonhuman primates or enter rooms or areas containing nonhuman primates shall comply with the procedures
set forth in NIH Policy Manual 3044-2, entitled, “Protection of NIH Personnel Who Work with Nonhuman Primates,” located at the following URL: 

http/www1.od.nih.gov/oma/manualchapters/intramura1/3044-2/ 

ARTICLE H.8. IDENTIFICATION AND DISPOSITION OF DATA 

The Contractor will be required to provide certain data generated under this contract to the Department of Health and Human Services (DHHS).
DHHS reserves the right to review any other data determined by DHHS to be relevant to this contract. The contractor shall keep copies of all data required by the Food and Drug Administration (FDA) relevant to this contract for the time specified by
the FDA. 
 ARTICLE H.9. INFORMATION ON COMPLIANCE WITH ANIMAL CARE REQUIREMENTS 

Registration with the U. S. Dept. of Agriculture (USDA) is required to use regulated species of animals for biomedical purposes. USDA is
responsible for the enforcement of the Animal Welfare Act (7 U.S.C. 2131 et. seq.),  
 http //www.nal.
usda.gov/awic/legislat/awa.htm. 
 The Public Health Service (PHS) Policy is administered by the Office of Laboratory Animal Welfare
(OLAW) http://qrants2.nih.qov/qrants/olaw/olaw.htm. An essential requirement of the PHS Policy http://qrants2.nih.qov/qrants/olaw/references/phspol.htm is that every institution using live vertebrate animals must obtain an approved
assurance from OLAW before they can receive funding from any component of the U. S. Public Health Service. 
 The PHS Policy requires that
Assured institutions base their programs of animal care and use on the Guide for the Care and Use of Laboratory Animals http://www.nap.edu/readinqroom/books/labrats/ and that they comply with the regulations (9 CFR, Subchapter A)
http://www.nal.usda.gov/awic/leqislat/usdalegl.htm issued by the U.S. Department of Agriculture (USDA) under the Animal Welfare Act. The Guide may differ from USDA regulations in some respects. Compliance with the USDA regulations is an
absolute requirement of this Policy. 
 The Association for Assessment and Accreditation of Laboratory Animal Care International (AAALAC)
http://www.aaalac.orq is a professional organization that inspects and evaluates programs of animal care for institutions at their request. Those that meet the high standards are given the Accredited status. As of the 2002 revision of the PHS
Policy, the only accrediting body recognized by PHS is the AAALAC. While AAALAC Accreditation is not required to conduct biomedical research, it is highly desirable. AAALAC uses the Guide as their primary evaluation tool. They also use the Guide
for the Care and Use of Agricultural Animals in Agricultural Research and Teaching. It is published by the Federated of Animal Science Societies http://www.fass.org. 

ARTICLE H.10. APPROVAL OF REQUIRED ASSURANCE BY OLAW 

Under governing regulations, federal funds which are administered by the Department of Health and Human Services, Office of Biomedical Advanced
Research and Development Authority (BARDA) shall not be expended by the contractor for research involving live vertebrate animals, nor shall live vertebrate animals be involved in research activities by the contractor under this award unless a
satisfactory assurance of compliance with 7 U.S.C. 2316 and 9 CFR Sections 2.25-2.28 is submitted within 30 days of the date of this award and approved by the Office of Laboratory Animal Welfare (OLAW). Each performance site (if any) must also
assure compliance with 7 U.S.C. 2316 and 9 CFR Sections 2.25-2.28 with the following restriction: Only activities which do not directly involve live vertebrate animals (i.e. are clearly severable and independent from those activities that do involve
live vertebrate animals) may be conducted by the contractor or individual performance sites pending OLAW approval of their respective assurance of compliance with 7 U.S.C. 2316 and 9 CFR Sections 2.25-2.28. Additional information regarding OLAW may
be obtained via the Internet at http.//qrants2.nih.gov/qrants/olaw/references/phspol.htm  

  
 [***] 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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 ARTICLE H.11. REGISTRATION WITH THE SELECT AGENT PROGRAM FOR WORK INVOLVING THE POSSESSION, USE, AND/OR
TRANSFER OF SELECT BIOLOGICAL AGENTS OR TOXINS 
 Work involving select biological agents or toxins shall not be conducted under this
contract until the contractor and any affected subcontractor(s) are granted a certificate of registration or are authorized to work with the applicable select agents. 

For prime or subcontract awards to domestic institutions who possess, use, and/or transfer Select Agents under this contract, the institution
must complete registration with the Centers for Disease Control and Prevention (CDC), Department of Health and Human Services (DHHS) or the Animal and Plant Health Inspection Services (APHIS), U.S. Department of Agriculture (USDA), as applicable,
before performing work involving Select Agents, in accordance with 42 CFR 73. No Government funds can be used for work involving Select Agents, as defined in 42 CFR 73, if the final registration certificate is denied. 

For prime or subcontract awards to foreign institutions who possess, use, and/or transfer Select Agents under this contract, the institution
must provide information satisfactory to the Government that a process equivalent to that described in 42 CFR 73 (http://www.cdc.gov/od/sap/docs/42cfr73.pdf) for U.S. institutions is in place and will be administered on behalf of all Select
Agent work sponsored by these funds before using these funds for any work directly involving the Select Agents. The contractor must provide information addressing the following key elements appropriate for the foreign institution: safety, security,
training, procedures for ensuring that only approved/appropriate individuals have access to the Select Agents, and any applicable laws, regulations and policies equivalent to 42 CFR 73. The Government will assess the policies and procedures
for comparability to the U.S. requirements described in 42 CFR Part 73. When requested by the contracting officer, the contractor shall provide key information delineating any laws, regulations, policies, and procedures applicable to the
foreign institution for the safe and secure possession, use, and transfer of Select Agents. This includes summaries of safety, security, and training plans, and applicable laws, regulations, and policies. For the purpose of security risk
assessments, the contractor must provide the names of all individuals at the foreign institution who will have access to the Select Agents and procedures for ensuring that only approved and appropriate individuals have access to Select Agents under
the contract. 
 Listings of HHS select agents and toxins, biologic agents and toxins, and overlap agents or toxins as well as information
about the registration process, can be obtained on the Select Agent Program Web site at http://www.cdc.qov/od/sa  
 ARTICLE H.12. EXPORT CONTROL
NOTIFICATION 
 Offerors are responsible for ensuring compliance with all export control laws and regulations that maybe applicable to
the export of and foreign access to their proposed technologies. Offerors may consult with the Department of State with any questions regarding the International Traffic in Arms Regulation (ITAR) (22 CRF Parts 120-130) and /or the Department of
Commerce regarding the Export Administration Regulations (15 CRF Parts 730-774). 
 ARTICLE H.13. OPTION CLAUSE 

Unless the Government exercises its option pursuant to the Option Clause set forth in SECTION I, ARTICLE 1.1., the contract will consist only
of the base period and/or any option period of the Statement of Work as defined in Sections C and F of the contract. Pursuant to FAR Clause 52.217-9, Option to Extend the Term of the Contract, the Government may, by unilateral contract modification,
require the contractor to perform additional options set forth in the Statement of Work and also defined in Sections C and F of the contract. If the Government exercises this option, notice must be given at least 60 days prior to the expiration date
of this contract and the estimated cost plus fixed fee of the contract will be increased as set forth in the ESTIMATED COST PLUS FIXED FEE price of the contract as noted in Article B.3 in SECTION B of this contract. 

ARTICLE H.14. REPORTING MATTERS INVOLVING FRAUD, WASTE AND ABUSE 

Anyone who becomes aware of the existence or apparent existence of fraud, waste and abuse in AMCG funded programs is encouraged to report such
matters to the HHS Inspector General’s Office in writing or on the Inspector General’s Hotline. The toll free number is 1-800-HHS-TIPS (1-800-447-8477). All telephone calls will be handled confidentially. The e-mail address is
Htipsa@os.dhhs.gov and the mailing address is: 

  
 [***] 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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 Office of Inspector General 

Department of Health and Human Services 

TIPS HOTLINE 
 P.O. Box 23489 

Washington, D.C. 20026 
 ARTICLE H.15.
PROHIBITION ON CONTRACTOR INVOLVEMENT WITH TERRORIST ACTIVITIES 
 The Contractor acknowledges that U.S. Executive Orders and Laws,
including but not limited to E.O. 13224 and P.L. 107-56, prohibit transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the Contractor to ensure
compliance with these Executive Orders and Laws. This clause must be included in all subcontracts issued under this contract. 
 ARTICLE H.16 CONFLICT OF
INTEREST 
 a. The Contractor warrants that to the best of its knowledge and belief except as otherwise disclosed, no actual or apparent
organizational, financial or employee conflict of interest exists as defined below: 
 (i) a situation in which the nature of work under a
Government contract and a Contractor’s organization and any of its affiliate organizations or their successors in interest (hereinafter collectively referred to as the “Contractor”), financial, contractual or other interests are such
that the appearance of the Contractor’s objectivity in performing the contract work may be impaired, may otherwise result in a biased work product, or may result in the contractor being given an unfair competitive advantage; or 

(ii) a financial interest or relationship, professional or otherwise, of an employee, subcontractor employee, or consultant (hereinafter
referred to as “employee”) with an entity that may actually impair or have the appearance of impairing the objectivity of the employee in performing the contract work, or 

(iii) an employee has had, currently has, or is reasonably expected to have, official responsibilities with an outside organization, or some
other financial interest or business affiliation, such that a reasonable person with knowledge of the relevant facts might question the employee’s objectivity/impartiality in performing the contract. 

(iv) For purposes of paragraphs a(i) - (a)(iii), the financial interests and business affiliations of the employee’s spouse, minor
children, and business partners are imputed to the employee. 
 Prior to commencement of any work, the Contractor agrees to notify the
Contracting Officer promptly that, to the best of its knowledge and belief, no actual or potential conflict of interest exists or to identify to the Contracting Officer any actual or potential conflict of interest the firm may have. In emergency
situations, however, work may begin but notification shall be made within five (5) working days. The Contractor agrees that if an actual or potential organizational, financial or employee conflict of interest is identified during performance,
the Contractor shall promptly make a full disclosure in writing to the Contracting Officer. This disclosure shall include a description of actions, which the Contractor has taken or proposes to take, after consultation with the Contracting Officer,
to avoid, mitigate, or neutralize the actual or potential conflict of interest. The Contractor shall continue performance until notified by the Contracting Officer of any contrary action to be taken. Remedies include termination of this contract for
convenience, in whole or in part, if the Contracting Officer deems such termination necessary to avoid an organizational, financial or employee conflict of interest. If the Contractor was aware of a potential organizational, financial or employee
conflict of interest prior to award or discovered an actual or potential conflict after award and did not disclose it or misrepresented relevant information to the Contracting Officer, the Government may terminate the contract for default, debar the
Contractor from Government contracting, or pursue such other remedies as may be permitted by law or this contract. 
 ARTICLE H.17. PROHIBITION ON THE
USE OF APPROPRIATED FUNDS FOR LOBBYING ACTIVITIES AND HHSAR 352.203-70 ANTI-LOBBYING (Jan 2006) 
 The Contractor is hereby notified of
the restrictions on the use of Department of Health and Human Service’s funding for lobbying of Federal, State and Local legislative bodies. 

  
 [***] 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. 

-22- 

 Section 1352 of Title 31, United Stated Code (Public Law 101-121, effective 12/23/89), among
other things, prohibits a recipient (and their subcontractors) of a Federal contract, grant, loan, or cooperative agreement from using appropriated funds (other than profits from a federal contract) to pay any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions; the awarding of any Federal contract;
the making of any Federal grant; the making of any Federal loan; the entering into of any cooperative agreement; or the modification of any Federal contract, grant, loan, or cooperative agreement. For additional information of prohibitions against
lobbying activities, see FAR Subpart 3.8 and FAR Clause 52.203-12. 
 In addition, as set forth in HHSAR 352.270-10 “Anti-Lobbying”
(January 2006), the current Department of Health and Human Services Appropriations Act provides that no part of any appropriation contained in this Act shall be used, other than for normal and recognized executive-legislative relationships, for
publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, radio, television, or video presentation designed to support, or defeat legislation pending before the Congress, or any State or
Local legislature except in presentation to the Congress, or any State or Local legislative body itself. 
 The current Department of Health
and Human Services Appropriations Act also provides that no part of any appropriation contained in this Act shall be used to pay the salary or expenses of any contract or grant recipient, or agent acting for such recipient, related to any activity
designed to influence legislation or appropriations pending before the Congress, or any State or Local legislature. 
 (End of Clause) 

  
 [***] 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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 PART II - CONTRACT CLAUSES 

SECTION I - CONTRACT CLAUSES 
 ARTICLE 1.1. General
Clauses for a Cost-Reimbursement Research and Development Contract 
 This contract incorporates the following clauses by reference, with
the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this address: http://www.arnet.gov/far/. 

a. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES: 
  

					
	 FAR

CLAUSE NO.
	  	 DATE
	  	 TITLE

	52.202-1	  	Jul 2004	  	Definitions (Over $100,000)
	52.203-3	  	Apr 1984	  	Gratuities (Over $100,000)
	52.203-5	  	Apr 1984	  	Covenant Against Contingent Fees (Over $100,000)
	52.203-6	  	Sep 2006	  	Restrictions on Subcontractor Sales to the Government (Over $100,000)
	52.203-7	  	Jul 1995	  	Anti-Kickback Procedures (Over $100,000)
	52.203-8	  	Jan 1997	  	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over $100,000)
	52.203-10	  	Jan 1997	  	Price or Fee Adjustment for Illegal or Improper Activity (Over $100,000)
	52.203-12	  	Sep 2007	  	Limitation on Payments to Influence Certain Federal Transactions (Over $100,000)
	52.203-13	  	Apr 2010	  	Contractor Code of Business Ethics and Conduct
	52.203-14	  	Dec 2007	  	Display of Hotline Poster(s)
	52.204-4	  	Aug 2000	  	Printed or Copied Double-Sided on Recycled Paper (Over $100,000)
	52.204-7	  	Apr 2008	  	Central Contractor Registration
			
	52.209-6	  	Sep 2006	  	Protecting the Government’s Interests When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $30,000)
	52.212-4	  	Mar 2009	  	Contract Terms and Conditions-Commercial Items
	52.215-2	  	Mar 2009	  	Audit and Records - Negotiation [Note: Applies to ALL contracts funded in whole or in part with Recovery Act funds, regardless of dollar value, AND contracts over $100,000 funded exclusively with non-Recovery Act
funds.]
	52.215-8	  	Oct 1997	  	Order of Precedence - Uniform Contract Format
	52.215-10	  	Oct 1997	  	Price Reduction for Defective Cost or Pricing Data (Over $650,000)
	52.215-12	  	Oct 1997	  	Subcontractor Cost or Pricing Data (Over $650,000)
	52.215-14	  	Oct 1997	  	Integrity of Unit Prices (Over $100,000)
	52.215-15	  	Oct 2004	  	Pension Adjustments and Asset Reversions
	52.215-18	  	Jul 2005	  	Reversion or Adjustment of Plans for Post-Retirement Benefits (PRB) other than Pensions
	52.215-19	  	Oct 1997	  	Notification of Ownership Changes
	52.215-21	  	Oct 1997	  	Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data - Modifications
	52.216-7	  	Dec 2002	  	Allowable Cost and Payment
	52.216-8	  	Mar 1997	  	Fixed Fee
	52.217-9	  	Mar 2000	  	Option to Extend the Term of the Contract
	52.219-8	  	May 2004	  	Utilization of Small Business Concerns (Over $100,000)
	52.219-9	  	Apr 2008	  	Small Business Subcontracting Plan (Over $550,000, $1,000,000 for Construction)
	52.219-16	  	Jan 1999	  	Liquidated Damages - Subcontracting Plan (Over $550,000, $1,000,000 for Construction)
	52.222-1	  	Jun 2003	  	Convict Labor
	52.222-21	  	Feb 1999	  	Prohibition of Segregated Facilities
	52.222-26	  	Mar 2007	  	Equal Opportunity
	52.222-35	  	Sep 2006	  	Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Over $100,000)
	52.222-36	  	Jun 1998	  	Affirmative Action for Workers with Disabilities
	52.222-37	  	Sep 2006	  	Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Over $100,000)

  
 [***] 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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	 FAR

CLAUSE NO.
	  	 DATE
	  	 TITLE

	 52.222-39
	  	Dec 2004	  	Notification of Employee Rights Concerning Payment of Union Dues or Fees.
	 52.222-50
	  	Feb 2009	  	Combating Trafficking in Persons
	 52.222-54
	  	May 2001	  	Drug-Free Workplace
	 52.223-14
	  	Aug 2003	  	Toxic Chemical Release Reporting (Over $100,000)
	 52.225-1
	  	Feb 2009	  	Buy American Act - Supplies
	 52.225-13
	  	Jun 2008	  	Restrictions on Certain Foreign Purchases
	 52.227-1
	  	Dec 2007	  	Authorization and Consent, Alternate I (Apr 1984)
	 52.227-2
	  	Dec 2007	  	Notice and Assistance Regarding Patent and Copyright Infringement
	 52.227-11
	  	Dec 2007	  	Patent Rights - Ownership by the Contractor (Note: In accordance with FAR 27.303(b)(2), paragraph (e) is modified to include the requirements in FAR 27.303(b)(2)(i) through (iv). The frequency of reporting in (i) is
annual.
	 52.227-14
	  	Dec 2007	  	Data Rights Alt II
	 52.229-3
	  	Apr 2003	  	Federal, State and Local Taxes
			
	 52.232-9
	  	Apr 1984	  	Limitation on Withholding of Payments
	 52.232-17
	  	Oct 2008	  	Interest (Over $100,000)
	 52.232-20
	  	Apr 1984	  	Limitation of Cost
	 52.232-23
	  	Jan 1986	  	Assignment of Claims
	 52.232-25
	  	Oct 2008	  	Prompt Payment, Alternate I (Feb 2002)
	 52.232-33
	  	Oct 2003	  	Payment by Electronic Funds Transfer—Central Contractor Registration
	 52.233-1
	  	Jul 2002	  	Disputes
	 52.233-3
	  	Aug 1996	  	Protest After Award, Alternate I (Jun 1985)
	 52.233-4
	  	Oct 2004	  	Applicable Law for Breach of Contract Claim
	 52.242-1
	  	Apr 1984	  	Notice of Intent to Disallow Costs
	 52.242-3
	  	May 2001	  	Penalties for Unallowable Costs (Over $650,000)
	 52.242-4
	  	Jan 1997	  	Certification of Final Indirect Costs
	 52.242-13
	  	Jul 1995	  	Bankruptcy (Over $100,000)
	 52.243-2
	  	Aug 1987	  	Changes - Cost Reimbursement, Alternate V (Apr 1984)
	 52.244-2
	  	Jun 2007	  	Subcontracts, Alternate I (June 2007)
	 52.244-5
	  	Dec 1996	  	Competition in Subcontracting (Over $100,000)
	 52.244-6
	  	Apr 2010	  	Subcontracts for Commercial Items
	 52.245-1
	  	Jun 2007	  	Government Property
	 52.245-9
	  	Jun 2007	  	Use and Charges
	 52.246-23
	  	Feb 1997	  	Limitation of Liability (Over $100,000)
	 52.249-6
	  	May 2004	  	Termination (Cost-Reimbursement)
	 52.249-14
	  	Apr 1984	  	Excusable Delays
	 52.253-1
	  	Jan 1991	  	Computer Generated Forms

 b. DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CFR CHAPTER 3) CLAUSES: 

 

					
	 HHSAR

CLAUSE NO.
	  	 DATE
	  	 TITLE

	 352.202-1
	  	Jan 2006	  	Definitions - with Alternate paragraph (h) (Jan 2006)
	 352.216-70
	  	Jan 2006	  	Additional Cost Principles
	 352.224-70
	  	Jan 2006	  	Privacy Act
	 352.228-7
	  	Dec 1991	  	Insurance - Liability to Third Persons
	 352.242-73
	  	Jan 2006	  	Withholding of Contract Payments
	 352.233-71
	  	Jan 2006	  	Litigation and Claims
	 352.242-74
	  	Apr 1984	  	Final Decisions on Audit Findings
	 352.242-70
	  	Jan 2006	  	Key Personnel
	 352.227-70
	  	Jan 2006	  	Publications and Publicity
	 352.203-70
	  	Jan 2006	  	Anti-Lobbying (Over $100,000)

  
 [***] 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. 

-25- 

 [End of GENERAL CLAUSES FOR A NEGOTIATED COST-REIMBURSEMENT RESEARCH AND DEVELOPMENT CONTRACT-Rev. 03/2009]. 

  
 [***] 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. 

-26- 

 ARTICLE I.2. AUTHORIZED SUBSTITUTION OF CLAUSES 

(Reserved) 
 ARTICLE I.3. Additional Contract
Clauses 
 This contract incorporates the following clauses by reference, with the same force and effect, as if they were given in full
text. Upon request, the Contracting Officer will make their full text available. 
 a. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER
1) CLAUSES 
 1. FAR Clause 52.215-17, Waiver of Facilities Capital Cost of Money (October 1997). 

2. FAR Clause 52.219-25, Small Disadvantaged Business Participation Program—Disadvantaged Status and Reporting (April 2008). 

3. FAR Clause 52.227-16, Additional Data Requirements (June 1987). 

b. DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CHAPTER 3) CLAUSES: 

3. HHSAR Clause 352.223-70, Safety and Health (January 2006). 

4. HHSAR Clause 352.224-70, Privacy Act (January 2006). 

3. HHSAR Clause 352.201-70, Paperwork Reduction Act (January 2006). 

4. HHSAR Clause 352.270-4, Protection of Human Subjects (January 2006) 

ARTICLE I.4. ADDITIONAL FAR CONTRACT CLAUSES INCLUDED IN FULL TEXT 

This contract incorporates the following clauses in full text. 

FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES: 
  

	 	a.	FAR Clause 52.219-28, Post-Award Small Business Program Representation (April 2009). 

(a) Definitions As used in this clause— 

Long-term contract means a contract of more than five years in duration, including options. However, the term does not include contracts
that exceed five years in duration because the period of performance has been extended for a cumulative period not to exceed six months under the clause at 52.217-8, Option to Extend Services, or other appropriate authority. 

Small business concern means a concern, including its affiliates that is independently owned and operated, not dominant in the field of
operation in which it is bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR part 121 and the size standard in paragraph (c) of this clause. Such a concern is “not dominant in its field of
operation” when it does not exercise a controlling or major influence on a national basis in a kind of business activity in which a number of business concerns are primarily engaged. In determining whether dominance exists, consideration shall
be given to all appropriate factors, including volume of business, number of employees, financial resources, competitive status or position, ownership or control of materials, processes, patents, license agreements, facilities, sales territory, and
nature of business activity. 
 (b) If the Contractor represented that it was a small business concern prior to award of this contract, the
Contractor shall represent its size status according to paragraph (e) of this clause or, if applicable, paragraph (g) of this clause, upon the occurrence of any of the following: 

  
 [***] 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. 

-27- 

 (1) Within 30 days after execution of a novation agreement or within 30 days after modification
of the contract to include this clause, if the novation agreement was executed prior to inclusion of this clause in the contract. 
 (2)
Within 30 days after a merger or acquisition that does not require a novation or within 30 days after modification of the contract to include this clause, if the merger or acquisition occurred prior to inclusion of this clause in the contract. 

(3) For long-term contracts— 

(i) Within 60 to 120 days prior to the end of the fifth year of the contract; and (ii) Within 60 to 120 days prior to the
date specified in the contract for exercising any option thereafter. 
 (c) The Contractor shall represent its size status in accordance with
the size standard in effect at the time of this representation that corresponds to the North American Industry Classification System (NAICS) code assigned to this contract. The small business size standard corresponding to this NAICS code can be
found at http://www.sba.govicontractingopportunities/officials/size/index.html  
 (d) The small business size standard for a
Contractor providing a product which it does not manufacture itself, for a contract other than a construction or service contract, is 500 employees. 

(e) Except as provided in paragraph (g) of this clause, the Contractor shall make the representation required by paragraph (b) of
this clause by validating or updating all its representations in the Online Representations and Certifications Application and its data in the Central Contractor Registration, as necessary, to ensure that they reflect the Contractor’s current
status. The Contractor shall notify the contracting office in writing within the timeframes specified in paragraph (b) of this clause that the data have been validated or updated, and provide the date of the validation or update. 

(f) If the Contractor represented that it was other than a small business concern prior to award of this contract, the Contractor may, but is
not required to, take the actions required by paragraphs (e) or (g) of this clause. 
 (g) If the Contractor does not have
representations and certifications in ORCA, or does not have a representation in ORCA for the NAICS code applicable to this contract, the Contractor is required to complete the following representation and submit it to the Contracting Office, along
with the contract number and the date on which the representation was completed: 
 The Contractor represents that it
[    ] is, [    ] is not a small business concern under NAICS Code assigned to contract number. 

[Contractor to sign and date and insert authorized signer’s name and title]. 

(End of clause) 
 b. FAR Clause
52.222-39, Notification Of Employee Rights Concerning Payment Of Union Dues Or Fees (December 2004) 
 (a) Definition. As used
in this clause— 
 United States means the 50 States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, American
Samoa, Guam, the U.S. Virgin Islands, and Wake Island. 
 (b) Except as provided in paragraph (e) of this clause, during the term of
this contract, the Contractor shall post a notice, in the form of a poster, informing employees of their rights concerning union membership and payment of union dues and fees, in conspicuous places in and about all its plants and offices, including
all 

  
 [***] 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. 

-28- 

 
places where notices to employees are customarily posted. The notice shall include the following information (except that the information pertaining to National Labor Relations Board shall not be
included in notices posted in the plants or offices of carriers subject to the Railway Labor Act, as amended (45 U.S.C. 151-188)). 
 Notice
to Employees 
 Under Federal law, employees cannot be required to join a union or maintain membership in a union in order
to retain their jobs. Under certain conditions, the law permits a union and an employer to enter into a union-security agreement requiring employees to pay uniform periodic dues and initiation fees. However, employees who are not union members can
object to the use of their payments for certain purposes and can only be required to pay their share of union costs relating to collective bargaining, contract administration, and grievance adjustment. 

If you do not want to pay that portion of dues or fees used to support activities not related to collective bargaining,
contract administration, or grievance adjustment, you are entitled to an appropriate reduction in your payment. If you believe that you have been required to pay dues or fees used in part to support activities not related to collective bargaining,
contract administration, or grievance adjustment, you may be entitled to a refund and to an appropriate reduction in future payments. 

For further information concerning your rights, you may wish to contact the National Labor Relations Board (NLRB) either at
one of its Regional offices or at the following address or toll free number: 
 National Labor Relations Board 

Division of Information 
 1099
14th Street, N.W. 
 Washington, DC 20570 

1-866-667-6572 
 1-866-316-6572
(TTY) 
 To locate the nearest NLRB office, see NLRB’s website at http://www.nlrb.gov. 

(c) The Contractor shall comply with all provisions of Executive Order 13201 of February 17, 2001, and related implementing regulations
at 29 CFR part 470, and orders of the Secretary of Labor. 
 (d) In the event that the Contractor does not comply with any of the
requirements set forth in paragraphs (b), (c), or (g), the Secretary may direct that this contract be cancelled, terminated, or suspended in whole or in part, and declare the Contractor ineligible for further Government contracts in accordance with
procedures at 29 CFR part 470, Subpart B—Compliance Evaluations, Complaint Investigations and Enforcement Procedures. Such other sanctions or remedies may be imposed as are provided by 29 CFR part 470, which implements Executive Order 13201, or
as are otherwise provided by law. 
 (e) The requirement to post the employee notice in paragraph (b) does not apply to— 

(1) Contractors and subcontractors that employ fewer than 15 persons; 

(2) Contractor establishments or construction work sites where no union has been formally recognized by the Contractor or
certified as the exclusive bargaining representative of the Contractor’s employees; 
 (3) Contractor establishments or
construction work sites located in a jurisdiction named in the definition of the United States in which the law of that jurisdiction forbids enforcement of union-security agreements; 

  
 [***] 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. 

-29- 

 (4) Contractor facilities where upon the written request of the Contractor, the
Department of Labor Deputy Assistant Secretary for Labor-Management Programs has waived the posting requirements with respect to any of the Contractor’s facilities if the Deputy Assistant Secretary finds that the Contractor has demonstrated
that— 
 (i) The facility is in all respects separate and distinct from activities of the Contractor related to the
performance of a contract; and 
 (ii) Such a waiver will not interfere with or impede the effectuation of the Executive
order; or 
 (5) Work outside the United States that does not involve the recruitment or employment of workers within the
United States. 
 (f) The Department of Labor publishes the official employee notice in two variations; one for contractors covered by the
Railway Labor Act and a second for all other contractors. The Contractor shall— 
 (1) Obtain the required employee
notice poster from the Division of Interpretations and Standards, Office of Labor-Management Standards, U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5605, Washington, DC 2021, or from any field office of the Department’s Office
of Labor-Management Standards or Office of Federal Contract Compliance Programs; 
 (2) Download a copy of the poster from
the Office of Labor-Management Standards website at http://www.olms.dol.gov; or 
 (3) Reproduce and use exact
duplicate copies of the Department of Labor’s official poster. 
 (g) The Contractor shall include the substance of this clause in
every subcontract or purchase order that exceeds the simplified acquisition threshold, entered into in connection with this contract, unless exempted by the Department of Labor Deputy Assistant Secretary for Labor-Management Programs on account of
special circumstances in the national interest under authority of 29 CFR 470.3(c). For indefinite quantity subcontracts, the Contractor shall include the substance of this clause if the value of orders in any calendar year of the subcontract is
expected to exceed the simplified acquisition threshold. Pursuant to 29 CFR part 470, Subpart B—Compliance Evaluations, Complaint Investigations and Enforcement Procedures, the Secretary of Labor may direct the Contractor to take such action in
the enforcement of these regulations, including the imposition of sanctions for noncompliance with respect to any such subcontract or purchase order. If the Contractor becomes involved in litigation with a subcontractor or vendor, or is threatened
with such involvement, as a result of such direction, the Contractor may request the United States, through the Secretary of Labor, to enter into such litigation to protect the interests of the United States. 

(End of Clause) 

  
 [***] 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. 

-30- 

 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 

SECTION J - LIST OF ATTACHMENTS 
 The following documents
are attached and incorporated in this contract: 
  

	1.	Statement of Work 

 Statement of Work, dated June 24, 2010, 32 pages 

 

	2.	Invoice/Financing Request Instructions for BARDA Cost-Reimbursement Type Contracts, 

 Invoice/Financing
Request Instructions for BARDA Cost-Reimbursement Type Contracts, 4 pages. 
  

	3.	Financial Report of Individual Project/Contract, 1 page 

  

	4.	Instructions for Completing Financial Report of Individual Project/Contract, 3 pages 

  

	5.	Report of Government Owned, Contractor Held Property (Not Attached) 

 Report of Government Owned,
Contractor Held Property, dated 3/2008, 1 page. Located at: 
 http://rcb.cancer.gov/rcb-internet/forms/Govt-Owned-Prop.pdf 

Sections C - J of the contract 
 Attachment 1,
Statement of Work, dated June 24, 2010 
 Attachment 2, Invoice/Financing Request Instructions for BARDA Cost-Reimbursement Type Contracts

 Attachment 3, Financial Report of Individual Project/Contract 

Attachment 4, Instructions for Completing Financial Report of Individual Project/Contract 

Attachment 5, Report of Government Owned, Contractor Held Property, dated 3/2008 

  
 [***] 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. 

-31- 

 PART IV - REPRESENTATIONS AND INSTRUCTIONS 

SECTION K - REPRESENTATIONS AND CERTIFICATIONS 
 The
following documents are incorporated by reference in this contract: 
  

	1.	Annual Representations and Certifications completed and located at the Online Representations and Certifications Application (ORCA) website. 

 

	2.	Representations & Certifications dated January 12, 2010 

  

	3.	Animal Welfare Assurance Number: LBERI - A3083-01 

 END of the SCHEDULE 

(CONTRACT) 

  
 [***] 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. 

-32- 

 Attachment 1 

Statement of Work for the Development of rPA using Pfenex Expression Technology 

[***] 
  

  
 [***] 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. 

-33- 

 ATTACHMENT 2 

INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING 

INSTRUCTIONS FOR BARDA COST-REIMBURSEMENT CONTRACTS 

Format: Payment requests shall be submitted on the Contractor’s self-generated form in the manner and format prescribed herein and as illustrated
in the Sample Invoice/Financing Request. Standard Form 1034, Public Voucher for Purchases and Services Other Than Personal, may be used in lieu of the Contractor’s self-generated form provided it contains all of the information shown on the
Sample Invoice/Financing Request. DO NOT include a cover letter with the payment request. 
 Number of Copies: Payment requests shall be submitted in
the quantity specified in the Invoice Submission Instructions in Section G of the Contract Schedule. 
 Frequency: Payment requests shall not be
submitted more frequently than once every two weeks in accordance with the Allowable Cost and Payment Clause incorporated into this contract. Small business concerns may submit invoices/financing requests more frequently than every two weeks when
authorized by the Contracting Officer. 
 Cost Incurrence Period: Costs incurred must be within the contract performance period or covered by
precontract cost provisions. 
 Billing of Costs Incurred: If billed costs include (1) costs of a prior billing period, but not previously
billed, or (2) costs incurred during the contract period and claimed after the contract period has expired, the Contractor shall site the amount(s) and month(s) in which it incurred such costs. 

Contractor’s Fiscal Year: Payment requests shall be prepared in such a manner that the Government can identify costs claimed with the
Contractor’s fiscal year. 
 Currency: All BARDA contracts are expressed in United States dollars. When the Government pays in a currency other
than United States dollars, billings shall be expressed, and payment by the Government shall be made, in that other currency at amounts coincident with actual costs incurred. Currency fluctuations may not be a basis of gain or loss to the
Contractor. Notwithstanding the above, the total of all invoices paid under this contract may not exceed the United States dollars authorized. 
 Costs
Requiring Prior Approval: Costs requiring the Contracting Officer’s approval, which are not set forth in an Advance Understanding in the contract, shall be identified and reference the Contracting Officer’s Authorization (COA) Number.
In addition, the Contractor shall show any cost set forth in an Advance Understanding as a separate line item on the payment request. 

Invoice/Financing Request Identification: Each payment request shall be identified as either: 

 

	(a)	Interim Invoice/Contract Financing Request: These are interim payment requests submitted during the contract performance period. 

 

	(b)	Completion Invoice: The completion invoice shall be submitted promptly upon completion of the work, but no later than one year from the contract completion date, or within 120 days after settlement of the final
indirect cost rates covering the year in which the contract is physically complete (whichever date is later). The Contractor shall submit the completion invoice when all costs have been assigned to the contract and it completes all performance
provisions. 

  

	(c)	Final Invoice: A final invoice may be required after the amounts owed have been settled between the Government and the Contractor (e.g., resolution of all suspensions and audit exceptions). 

Preparation and Itemization of the Invoice/Financing Request: The Contractor shall furnish the information set forth in the instructions below. The
instructions are keyed to the entries on the Sample Invoice/Financing Request. 
  

	(a)	Designated Billing Office Name and Address: Enter the designated billing office name and address, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. 

  
 [***] 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. 

-1- 

	(b)	Contractor’s Name, Address, Point of Contact, VIN, and DUNS or DUNS+4 Number: Show the Contractor’s name and address exactly as they appear in the contract, along with the name, title, phone number, and
e-mail address of the person to notify in the event of an improper invoice or, in the case of payment by method other than Electronic Funds Transfer, to whom payment is to be sent. Provide the Contractor’s Vendor Identification Number (VIN),
and Data 

 Universal Numbering System (DUNS) number or DUNS+4. The DUNS number must identify the Contractor’s name and address exactly
as stated on the face page of the contract. When an approved assignment has been made by the Contractor, or a different payee has been designated, provide the same information for the payee as is required for the Contractor (i.e., name, address,
point of contact, VIN, and DUNS). 
  

	(c)	Invoice/Financing Request Number: Insert the appropriate serial number of the payment request. 

  

	(d)	Date Invoice/Financing Request Prepared: Insert the date the payment request is prepared. 

  

	(e)	Contract Number and Order Number (if applicable): Insert the contract number and order number (if applicable). 

  

	(f)	Effective Date: Insert the effective date of the contract or if billing under an order, the effective date of the order. 

  

	(g)	Total Estimated Cost of Contract/Order: Insert the total estimated cost of the contract, exclusive of fixed-fee. If billing under an order, insert the total estimated cost of the order, exclusive of fixed-fee.
For incrementally funded contracts/orders, enter the amount currently obligated and available for payment. 

  

	(h)	Total Fixed-Fee: Insert the total fixed-fee (where applicable). For incrementally funded contracts/orders, enter the amount currently obligated and available for payment. 

 

	(i)	Two-Way/Three-Way Match: Identify whether payment is to be made using a two-way or three-way match. To determine required payment method, refer to the Invoice Submission Instructions in Section G of the Contract
Schedule. 

  

	(j)	Office of Acquisitions: Insert the name of the Office of Acquisitions, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. 

 

	(k)	Central Point of Distribution: Insert the Central Point of Distribution, as identified in the Invoice Submission Instructions in Section G of the Contract Schedule. 

 

	(I)	Billing Period: Insert the beginning and ending dates (month, day, and year) of the period in which costs were incurred and for which reimbursement is claimed. 

 

	(m)	Amount Billed - Current Period: Insert the amount claimed for the current billing period by major cost element, including any adjustments and fixed-fee. If the Contract Schedule contains separately priced line
items, identify the contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. 

  

	(n)	Amount Billed - Cumulative: Insert the cumulative amounts claimed by major cost element, including any adjustments and fixed-fee. If the Contract Schedule contains separately priced line items, identify the
contract line item(s) on the payment request and include a separate breakdown (by major cost element) for each line item. 

  

	(o)	Direct Costs: Insert the major cost elements. For each element, consider the application of the paragraph entitled “Costs Requiring Prior Approval” on page 1 of these instructions. 

 

	 	(1)	Direct Labor: Include salaries and wages paid (or accrued) for direct performance of the contract. 

For Level of Effort contracts only, the Contractor shall provide the following information on a separate sheet of paper attached to the payment
request: 
 - hours or percentage of effort and cost by labor category (as specified in the Level of Effort Article in Section F of the
contract) for the current billing period, and 

  
 [***] 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. 

-2- 

 - hours or percentage of effort and cost by labor category from contract inception through the
current billing period. (NOTE: The Contracting Officer may require the Contractor to provide additional breakdown for direct labor, such as position title, employee name, and salary or hourly rate.) 

 

	 	(2)	Fringe Benefits: List any fringe benefits applicable to direct labor and billed as a direct cost. Do not include in this category fringe benefits that are included in indirect costs. 

 

	 	(3)	Accountable Personal Property: Include permanent research equipment and general purpose equipment having a unit acquisition cost of $1,000 or more, with a life expectancy of more than two years, and sensitive
property regardless of cost (see the HHS Contractor’s Guide for Control of Government Property). Show permanent research equipment separate from general purpose equipment. 

On a separate sheet of paper attached to the payment request, list each item for which reimbursement is requested. An asterisk (*) shall
precede the item if the equipment is below the $1,000 approval level. Include reference to the following (as applicable): 
 - item number
for the specific piece of equipment listed in the Property Schedule, and 
 - COA number, if the equipment is not covered by the Property
Schedule. 
 The Contracting Officer may require the Contractor to provide further itemization of property having specific limitations set
forth in the contract. 
  

	 	(4)	Materials and Supplies: Include equipment with unit costs of less than $1,000 or an expected service life of two years or less, and consumable material and supplies regardless of amount. 

 

	 	(5)	Premium Pay: List remuneration in excess of the basic hourly rate. 

  

	 	(6)	Consultant Fee: List fees paid to consultants. Identify consultant by name or category as set forth in the contract or COA, as well as the effort (i.e., number of hours, days, etc.) and rate billed.

  

	 	(7)	Travel: Include domestic and foreign travel. Foreign travel is travel outside of Canada, the United States and its territories and possessions. However, for an organization located outside Canada, the United
States and its territories and possessions, foreign travel means travel outside that country. Foreign travel must be billed separately from domestic travel. 

  

	 	(8)	Subcontract Costs: List subcontractor(s) by name and amount billed. 

  

	 	(9)	Other: List all other direct costs in total unless exceeding $1,000 in amount. If over $1,000, list cost elements and dollar amounts separately. If the contract contains restrictions on any cost element, that
cost element must be listed separately. 

  

	(p)	Cost of Money (COM): Cite the COM factor and base in effect during the time the cost was incurred and for which reimbursement is claimed. 

 

	(q)	Indirect Costs: Identify the indirect cost base (IDC), indirect cost rate, and amount billed for each indirect cost category. 

 

	(r)	Fixed-Fee: Cite the formula or method of computation for fixed-fee, if applicable. The fixed-fee must be claimed as provided for by the contract. 

 

	(s)	Total Amounts Claimed: Insert the total amounts claimed for the current and cumulative periods. 

  

	(t)	Adjustments: Include amounts conceded by the Contractor, outstanding suspensions, and/or disapprovals subject to appeal. 

  

	(u)	Grand Totals 

  

	(v)	Certification of Salary Rate Limitation: If required by the contract (see Invoice Submission Instructions in Section G of the Contract Schedule), the Contractor shall include the following certification at the
bottom of the payment request: 

  
 [***] 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. 

-3- 

 “I hereby certify that the salaries billed in this payment request are in compliance with
the Salary Rate Limitation Provisions in Section H of the contract.” 
 The Contracting Officer may require the Contractor to submit detailed
support for costs claimed on one or more interim payment requests. 
 FINANCIAL REPORTING INSTRUCTIONS: 

These instructions are keyed to the Columns on the sample invoice/financing request. 

Column A - Expenditure Category: Enter the expenditure categories required by the contract. 

Column B - Cumulative Percentage of Effort/Hrs. - Negotiated: Enter the percentage of effort or number of hours agreed to for each employee or labor
category listed in Column A. 
 Column C - Cumulative Percentage of Effort/Hrs. - Actual: Enter the percentage of effort or number of hours worked by
each employee or labor category listed in Column A. 
 Column D - Amount Billed - Current: Enter amounts billed during the current period. Column E -
Amount Billed - Cumulative: Enter the cumulative amounts to date. 
 Column F - Cost at Completion: Enter data only when the Contractor estimates
that a particular expenditure category will vary from the amount negotiated. Realistic estimates are essential. 
 Column G - Contract Amount: Enter
the costs agreed to for all expenditure categories listed in Column A. 
 Column H - Variance (Over or Under): Show the difference between the
estimated costs at completion (Column F) and negotiated costs (Column G) when entries have been made in Column F. This column need not be filled in when Column F is blank. When a line item varies by plus or minus 10 percent, i.e., the percentage
arrived at by dividing Column F by Column G, an explanation of the variance should be submitted. In the case of an overrun (net negative variance), this submission shall not be deemed as notice under the Limitation of Cost (Funds) Clause of the
contract. 
 Modifications: Any modification in the amount negotiated for an item since the preceding report should be listed in the appropriate cost
category. 
 Expenditures Not Negotiated: An expenditure for an item for which no amount was negotiated (e.g., at the discretion of the Contractor in
performance of its contract) should be listed in the appropriate cost category and all columns filled in, except for G. Column H will of course show a 100 percent variance and will be explained along with those identified under H above. 

  
 [***] 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. 

-4- 

 SAMPLE INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORT 

 

															
	  

(a)       Designated Billing Office Name and Address:

 
 DHHS/OS/ASPR/BARDA

Attn: Contracting Officer

330 Independence Ave., S.W.

Room G644
 Washington,
D.C. 20201
  

(b)      Contractor’s Name, Address, Point of Contact, VIN, and DUNS or DUNS+4
Number:
  
 ABC CORPORATION

100 Main Street
 Anywhere,
USA Zip Code
  
 Name, Title, Phone Number, and E-mail Address of
person to notify in the event of an improper invoice or, in the case of payment by method other than Electronic Funds Transfer, to whom payment is to be sent.
  

VIN:
 DUNS or
DUNS+4:
		  

(c)       Invoice/Financing Request No.:

 
 (d)      Date
Invoice Prepared:
  

(e)       Contract No. and Order No. (if 
applicable):            
  

(f)       Effective Date:

 
 (g)      Total
Estimated Cost of Contract/Order:
  

(h)      Total Fixed-Fee (if applicable):

 
 (i)        ̈ Two-Way Match:
  
  ̈ Three-Way Match:
  

(j)       Office of Acquisitions:

 
 (k)      Central
Point of Distribution:

	  

(I)       This invoice/financing request represents reimbursable costs for the
period from                      to
                    

															
	  	 	Cumulative Percentage of
Effort/Hrs.	 	Amount Billed	 	
Cost at
 Completion

F
	 	
Contract
 Amount

G
	 	
Variance
 H

	 Expenditure Category*

A
	 	
Negotiated
 B
	 	
Actual
 C
	 	 (m)

Current
 D
	 	 (n)

Cumulative
 E
	 	 	 
	 (o)    Direct Costs:
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	
(1)    Direct Labor
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (2)    Fringe
Benefits
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (3)    Accountable
Property
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (4)    Materials &
Supplies
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (5)    Premium Pay
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (6)    Consultant Fees
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (7)    Travel
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (8)    Subcontracts
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 (9)    Other
	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Total Direct Costs	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(p) Cost of Money	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(q) Indirect Costs	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(r) Fixed Fee	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(s) Total Amount Claimed	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(t) Adjustments	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	(u) Grand Totals	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	  

I certify that all payments are for appropriate purposes and in accordance with the contract. 

	 			 
	 	 		 		 	 

																	
	 	 		 		 		 		 		 	 
	 	 	  
	 		 	  
	 		 	 
	 		(Name of Official)				(Title)						 
	 
	
*  Attach details as specified in the contract

  
 [***] 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. 

-5- 

 ATTACHMENT 3 
  

																			
	  

FINANCIAL REPORT OF INDIVIDUAL PROJECT/CONTRACT
  

Note: Complete this Form in Accordance with Accompanying Instructions.
	 	  

Project Task: 
	 	  

Contract No.: 
	 	  

Date of Report:    
	 	  

0990-0134 0990-0131

	 	 	  

Reporting Period:
	 	  

Contractor Name and Address:
  

 
	 	 	 	 

																			
	Expenditure Category	  	
Percentage of

Effort/Hours
	  	
Cumulative

Incurred Cost  

at End of
Prior

Period
	  	
Incurred  

Cost-
 Current

Period
	  	
Cumulative

Cost to Date  

(D + E)
	  	
Estimated  

Cost to

Complete
	  	
Estimated
Cost at

Completion  
 (F +
G)
	  	
Negotiated  

Contract
Amount
	  	
Variance
 (Over

or Under)
 (I-H)

	  	Negotiated  	  	Actual  	  	  	  	  	  	  	  
	A	  	B	  	C	  	D	  	E	  	F	  	G	  	H	  	I	  	J
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 
	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 	  	 

  
 [***] 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. 

 ATTACHMENT 4 

INSTRUCTIONS FOR COMPLETING 

“FINANCIAL REPORT OF INDIVIDUAL PROJECT/CONTRACT” 

GENERAL INFORMATION 
 Purpose. This Quarterly
Financial Report is designed to: (1) provide a management tool for use by be BARDA in monitoring 
 le application of financial and personnel resources
to the BARDA contracts; (2) provide contractors with financial and personnel management data which is usable in their management processes; (3) promptly indicate potential areas of contract underruns or overruns by making possible
comparisons of actual performance and projections with prior estimates on individual elements of cost and personnel; and (4) obtain contractor’s analyses of cause and effect of significant variations between actual and prior estimates of
financial and personnel performance. 
 REPORTING REQUIREMENTS 

Scope. The specific cost and personnel elements to be reported shall be established by mutual agreement prior to award The Government may require the
contractor to provide detailed documentation to support any element(s) on one or more financial reports. 
 Number of Copies and Mailing Address. An
original and two (2) copies of the report(s) shall be sent to the contracting officer at the address shown on the face page of the contract, no later than 30 working days after the end of the period reported. However, the contract may provide
for one of the copies to be sent directly to the Contracting Officer’s Technical Representative. 
 REPORTING STATISTICS 

A modification which extends the period of performance of an existing contract will not require reporting on a separate quarterly report, except where it is
determined by the contracting officer that separate reporting is necessary. Furthermore, when incrementally funded contracts are involved, each separate allotment is not considered a separate contract entity (only a funding action). Therefore, the
statistics under incrementally funded contracts should be reported cumulatively from the inception of the contract through completion. 
 Definitions and
Instructions for Completing the Quarterly Report. For the purpose of establishing expenditure categories Column A, the following definitions and instructions will be utilized. Each contract will specify the categories to be reported. 

 

	(1)	Key Personnel. Include key personnel regardless of annual salary rates. All such individuals should be listed by names and job titles on a separate line including those whose salary is not directly charged to the
contract but whose effort is directly associated with the contract. The listing must be kept up to date. 

  

	(2)	Personnel—Other. List as one amount unless otherwise required by the contract. 

  

	(3)	Fringe Benefits. Include allowances and services provided by the contractor to employees as compensation in addition to regular salaries and wages. If a fringe benefit rate(s) has been established, identify the
base, rate, and amount billed for each category. If a rate has not been established, the various fringe benefit costs may be required to be shown separately. Fringe benefits which are included in the indirect cost rate should not be shown here.

  

	(4)	Accountable Personal Property. Include nonexpendable personal property with an acquisition cost of $1,000 or more and with an expected useful life of two or more years, and sensitive items regardless of cost.
Form HHS 565, “Report of Accountable Property,” must accompany the contractor’s public voucher (SF 1034/SF 1035) or this report if not previously submitted. See “Contractor’s Guide for Control of Government Property.”

  

	(5)	Supplies. Include the cost of supplies and material and equipment charged directly to the contract, but excludes the cost of nonexpendable equipment as defined in (4) above. 

 

	(6)	Inpatient Care. Include costs associated with a subject while occupying a bed in a patient care setting. It normally includes both routine and ancillary costs. 

 

	(7)	Outpatient Care. Include costs associated with a subject while not occupying a bed. It normally includes ancillary costs only. 

  
 [***] 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. 

-1- 

	(8)	Travel. Include all direct costs of travel, including transportation, subsistence and miscellaneous expenses. Travel for staff and consultants shall be shown separately. Identify foreign and domestic travel
separately. If required by the contract, the following information shall be submitted: (i) Name of traveler and purpose of trip; (ii) Place of departure, destination and return, including time and dates; and (iii) total cost of trip.

  
 [***] 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. 

-2- 

 ATTACHMENT 4 
  

	(9)	Consultant Fee. Include fees paid to consultant(s). Identify each consultant with effort expended, billing rate, and amount billed. 

 

	(10)	Premium Pay. Include the amount of salaries and wages over and above the basic rate of pay. 1) Subcontracts. List each subcontract by name and amount billed. 

 

	(12)	Other Costs. Include any expenditure categories for which the Government does not require individual line item reporting. It may include some of the above categories. 

 

	(13)	Overhead/Indirect Costs. Identify the cost base, indirect cost rate, and amount billed for each indirect cost category. 

  

	(14)	General and Administrative Expense. Cite the rate and the base. In the case of nonprofit organizations, this item will usually be included in the indirect cost. 

 

	(15)	Fee. Cite the fee earned, if any. 

  

	(16)	Total Costs to the Government. 

 PREPARATION INSTRUCTIONS 

These instructions are keyed to the Columns on the Quarterly Report. 

Column A—Expenditure Category. Enter the expenditure categories required by the contract. 

Column B—Percentage of Effort/Hours Negotiated. Enter the percentage of effort or number of hours agreed to during contract negotiations for each
labor category listed in Column A. 
 Column C—Percentage of Effort/Hours-Actual. Enter the cumulative percentage of effort or number of hours
worked by each employee or group of employees listed in Column A. 
 CoIumn D—Cumulative Incurred Cost at End of Prior Period. Enter the
cumulative incurred costs up to the end of the prior reporting period. This column will be blank at the time of the submission of the initial report. 

Column E—Incurred Cost-Current Period. Enter the costs which were incurred during the current period. Column F—Cumulative Incurred Cost to
Date. Enter the combined total of Columns D and E. 
 Column G—Estimated Cost to Complete. Make entries only when the contractor estimates that
a particular expenditure category will vary from the amount negotiated. Realistic estimates are essential. 
 Column H—Estimated Costs at
Completion. Complete only if an entry is made in Column G. 
 Column I—Negotiated Contract Amount. Enter in this column the costs agreed to
during contract negotiations for all expenditure categories listed in Column A. 
 Column J—Variance (Over or Under). Complete only if an entry
is made in Column H. When entries have been made in Column H, this column should show the difference between the estimated costs at completion (Column H) and negotiated costs (Column I). When a line item varies by plus or minus 10 percent, i.e., the
percentage arrived at by dividing Column J by Column I, an explanation of the variance should be submitted. In the case of an overrun (net negative variance), this submission shall not be deemed as notice under the Limitation of Cost (Funds) Clause
of the contract. 
 Modifications. List any modification in the amount negotiated for an item since the preceding report in the appropriate cost
category. 
 Expenditures Not Negotiated. List any expenditure for an item for which no amount was negotiated (e.g., at the discretion of the
contractor in performance of its contract) in the appropriate cost category and complete all columns except for I. llumn J will of course show a 100 percent variance and will be explained along with those identified under J above. 

  
 [***] 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. 

-3- 

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

        1        |        
4

	 2 AMENDMENT/MODIFICATION NO.
  

0001
	 	 	 	 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
		 		
	 HHS/OS/ASPR/BARDA

330 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)

 
 FENEX BIOPHARMACEUTICALS, INC. 1358378

FENEX BIOPHARMACEUTICALS, INC.
 5501 OBERLIN DR

SAN DIEGO CA 921211718
	 	(x)  	 	9A. AMENDMENT OF SOLICITATION NO.
	 		 	 
	 	 	 	 9B. DATED (SEE ITEM 11)

 

	 	X  	 	 10A. MODIFICATION OF CONTRACT/ORDER NO

HHSO100201000045C

	 		 	 10B.  DATED (SEE ITEM 13)

 
 7/30/2010

	
CODE        1358378
  
	 	FACILITY CODE	 	 	 	 

 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATION 

 

	 ̈	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 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) 
 See
Schedule 
  
 13. THIS ITEM APPLIES
ONLY TO MODIFICATIONS 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).

 

	 	 	 C.    THIS SUPPLEMENTAL AGREEMENT IS
ENTERED INTO PURSUANT TO AUTHORITY OF:
  

	 	 	 D.    OTHER (Specify type of
modification and authority)
  

 E.       IMPORTANT: Contractor        x is not,         ̈ is required to sign this document and return
    0     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 
 Period of
Performance: 07/30/2010 to 12/12/2011 
 This action is a modification to the original contract signed July 30, 2010. The following sections of the
original agreement are hereby modified as detailed in the subsequent three (3) pages: 
 1.   The Contracting Officer of record
as defined in ARTICLE G.2. 
 2.   Deliverables as defined in SECTION F.2. 

3.   Transfer of certain Accountable Government Property to the contract, now defined in ARTICLE G.9. 

This modification does not increase the overall contract value or period of performance of the original contract. 

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)
  
 Bertrand C. Liang, CEO
	 	 16A.   NAME AND TITLE OF
CONTRACTING OFFICER (Type or print)
  
 GLYNIS M. FISHER

 

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

(Signature of person authorized to sign)
	 	 	 	 	 	 /s/ Glynis M. Fisher

(Signature of Contracting Officer)
  
	  	 	 	     10/31/2011

 

					
	 NSN 7540-01.152-8070
 Previous edition
unusable
	 	30-105	  	 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. 

 SECTION SF 30 BLOCK 14 CONTINUATION PAGE 

SUMMARY OF CHANGES 
 Beginning with the effective date
of this modification, the contract between the Government and Contractor now reads: 
  

	1)	In accordance with ARTICLE G.2. CONTRACTING OFFICER, the official Contracting Officer on record is hereby changed from [*] to [*]. Additionally, the official Contract Specialist on record is changed from [*] to
[*]. Any reference to Contracting Officer or Contract Specialist throughout the contract is to be updated accordingly. 

 [*]

 Contracting Officer 
 [*]

 [*] 
 [*] 

Contract Specialist 
 [*] 

[*] 
  

	2)	Adjustment of select deliverables due dates. 

 UNDER SECTION F – DELIVERIES OR
PERFORMANCE, ARTICLE F.2 DELIVERIES, shall be changed to the following: 
  

									
	 Item
	 	 Description
	 	 Quantity
	 	 Addresses
	 	 Delivery Schedule

	 Technical Progress Reports

	1)	 	Monthly Progress Report	 	2 electronic	 	 CO: (1) electronic copy
  

COTR: One (1) electronic
	 	The 15th calendar day of each month following the first full month of the contract award. The Monthly Progress Report will not be required on months when an Annual or Quarterly
Progress Report is due.
					
	2)	 	Draft Final Technical Progress Report	 	2 electronic	 	Same as CO and COTR above	 	30 calendar days before the completion date of the contract
					
	3)	 	Final Technical Progress Report	 	2 electronic	 	Same as CO and COTR above	 	On or before the expiration date of the contract
					
	4)	 	Summary of Salient Results	 	2 electronic	 	Same as CO and COTR above	 	On or before the expiration date of the contract
	
	 Other Technical Reports

	5)	 	Audit Reports	 	2 electronic	 	Same as CO and COTR above	 	Within 30 Calendar days of the audit
					
	6)	 	RCB Characterization Report	 	2 electronic	 	Same as CO and COTR above	 	Within 30 Calendar days of completing RCB Characterization

  
 [***] 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. 

									
					
	7)	 	MCB/WCB Characterization Report	 	2 electronic	 	Same as CO and COTR above	 	Within 30 Calendar days of completing MCB/WCB Characterization
					
	8)	 	Stage milestone reports (and addendums)	 	2 electronic	 	Same as CO and COTR above	 	Within 30 calendar days of completing milestone (or option period)
	
	 Other Reports

					
	9)	 	FDA Correspondence and Meeting Summaries	 	1 electronic	 	Same as COTR	 	Within 30 calendar days of receiving correspondence or meeting with the FDA
					
	10)	 	Invention Report Annual Utilization Report	 	2 electronic	 	 1 electronic to OPERA.
  

CO: 1 electronic
	 	Due on or before the 30th of the month following each anniversary date of the contract.
					
	11)	 	Final Invention Report	 	2 electronic	 	 1 electronic to OPERA.
  

1 CO: 1 electronic
	 	Due on or before the completion date of the contract.

  

	3)	Transfer of Accountability of Government Property 

 ARTICLE G.9 TRANSFER OF
ACCOUNTABILITY OF GOVERNMENT PROPERTY, shall be added to SECTION G – CONTRACT ADMINISTRATION DATA, as follows: 
 ARTICLE G.9. TRANSFER
OF ACCOUNTABILITY OF GOVERNMENT PROPERTY 
  

	 	a.	Accountability of government property listed in this Article is hereby transferred in full to this contract, Contract No. HHSO100201000045C. The said property was Government property formerly accounted for under Contact
No. HDTRA1-07-C-0084. The listing of property, their original date of purchase, description of property, vendor name, acquisition of cost are detailed in the table below: 

  
 [***] 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. 

													
	 2007-2008 DARPA EQUIPMENT
ORDERS
	 
	 Date Purchased
	  	Vendor	 	  	Item Purchased	 	  	Amount	 
	 10/17/2007
	  	 	[***	] 	  	 	[***	] 	  	$	107,211.25	  
	 10/30/2007
	  	 	[***	] 	  	 	[***	] 	  	$	178,179.50	  
	 1/16/2008
	  	 	[***	] 	  	 	[***	] 	  	$	85,557.00	  
	 4/22/2008
	  	 	[***	] 	  	 	[***	] 	  	$	235,694.11	  
		  				  				  	  
	  
	 
				
	 TOTAL
										$	606,641.86	  
		  				  				  	  
	  
	 
	
	 2008 DTRA EQUIPMENT ORDERS
	 
	 Date Purchased
	  	Vendor	 	  	Item Purchased	 	  	Amount	 
	 9/29/2008
	  	 	[***	] 	  	 	[***	] 	  	$	61,875.00	  
	 9/29/2008
	  	 	[***	] 	  	 	[***	] 	  	$	61,875.00	  
				
	 TOTAL
	  				  				  	$	123,750.00	  
	
	 2009 DTRA EQUIPMENT ORDERS
	 
	 Date Purchased
	  	Vendor	 	  	Item Purchased	 	  	Amount	 
	 12/9/2008
	  	 	[***	] 	  	 	[***	] 	  	$	20,199.89	  
	 3/26/2009
	  	 	[***	] 	  	 	[***	] 	  	$	2,539.35	  
	 4/2/2009
	  	 	[***	] 	  	 	[***	] 	  	$	485,305.60	  
				
	 TOTAL
	  				  				  	$	508,044.84	  
		  				  				  	  
	  
	 

  

	b.	Pursuant to FAR 45.106, Transferring Accountability, an equivalent contract modification was made to Contract No. HDTRA1-07-C-0084, executed August 17, 2011 (Modification No. A00003). The property detailed in this
Article shall now be considered Government-furnished property under Contract Number HSO100201000045C, with title vesting to the Department of Health & Human Services. 

 

	c.	This property is subject to the requirements of FAR 52.245-1, GOVERNMENT PROPERTY, in addition to the requirements set forth in this contract in ARTICLE G.7. GOVERNMENT PROPERTY. 

 

	d.	This transfer does not affect the total obligated dollar amount to this contract. The total contract dollar amount of this contract is unchanged. 

(End of Summary of Changes) 

  
 [***] 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. 

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

1        |        4

	 2. AMENDMENT/MODIFICATION NO.
  

0002
	 	 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
	  
 HHS/OS/ASPR/BARDA

330 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)	 	(x)  	 	9A. AMENDMENT OF SOLICITATION NO.
		 		 		 	 	 	 	 	 	 	 	 	 
	 FENEX BIOPHARMACEUTICALS, INC. 1358378

FENEX BIOPHARMACEUTICALS, INC.
 5501 OBERLIN DR

SAN DIEGO CA 921211718 
	 	 	 	 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 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) 
 See Schedule 
  

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS 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:
  

	X	 	 D.    OTHER (Specify type of
modification and authority)
  
 No Cost Extension

 E. IMPORTANT: Contractor        x is
not,         ̈ is required to sign this document and return     0     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 
 Period of Performance: 07/30/2010 to
03/30/2012 
 The purpose of this modification is to issue a change order and to modify the original contract to extend the period of performance to
3/30/2012. The period of performance for the base period is now 07/30/2010 to 03/30/2012. 
 This modification does not increase the overall contract value or
period of performance of the original contract. 
 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)
	  
 /s/ Bertrand C.
Liang
	  	 GLYNIS M. FISHER

  
 [***] 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. 

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

(Signature of person authorized to sign)
	 	12/9/11	  	 /s/ Glynis M.
Fisher                                        
                
 (Signature of Contracting
Officer)
  
	 	12/9/11

					
	 NSN 7540-01-152-8070
 Previous edition
unusable
	 	30-105	  	 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. 
  

 SUMMARY OF CHANGES 

Beginning with the effective date of this modification, the contract between the Government and Contractor now reads: 

 

	1)	No-Cost Extension to Base Period 

 The period of performance for the base year will be
extended via no cost extension. Period of performance date are adjusted in the contract and now reads as follows: 
  

	a.	SF 26, Block 15 Period: Period: July 30, 2010 through March 30, 2012. 

  

	b.	UNDER SECTION B (SUPPLIES OR SERVICES and PRICES/COSTS), ARTICLE B.2 (ESTIMATED COST AND FIXED FEE), d. replace with: 

It is estimated that the amount currently allotted will cover performance of the contract through March 31, 2012. 

UNDER SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS, Article B.2 ESTIMATED COST AND FIXED FEE, the dates shall be changed to the
following: 
  

																			
	 CLIN
	  	 Base

Period
	  	 Supplies/Services
	  	 Quantity

(Units)
	  	Cost	 	  	Fixed Fee	 	  	 Total Estimated

Cost Plus Fixed
	 
	 0001
	  	07/30/2010-
 03/30/2012
	  	 [***]
	  	1 Job	  	$	9,428,959	  	  	$	660,027	  	  	$	10,088,986	  

 UNDER SECTION B– SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.3 INVOICE OPTION PRICES, shall be
changed to the following: 
  

																			
	 CLIN
	  	Option	  	 Supplies/Services
	  	Quantity	  	Cost	 	  	Fixed Fee	 	  	Estimated	 
	 1001
	  	03/31/2012-
 07/30/2013
	  	 [***]
	  	1 Job	  	$	1,486,185	  	  	$	104,033	  	  	$	1,590,218	  
	 1002
	  	07/31/2013-
 01/30/2015
	  	 [***]
	  	1 Job	  	$	958,097	  	  	$	67,067	  	  	$	1,025,164	  
	 2001
	  	03/31/2012-
09/30/2013	  	 [***]
	  	1 Job	  	$	4,008,626	  	  	$	280,604	  	  	$	4,289,230	  
	 2002
	  	10/01/2013-
09/30/2014	  	 [***]
	  	1 Job	  	$	1,013,298	  	  	$	70,931	  	  	$	1,084,229	  
	 2003
	  	10/01/2014-
10/30/2015	  	 [***]
	  	1 Job	  	$	689,544	  	  	$	48,268	  	  	$	737,812	  

 UNDER SECTION B– SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.4.b. TRAVEL, shall be changed to the
following: 
  

	 	1.	Domestic Travel 

  

	 	a.	Total expenditures for domestic travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed $7,619 in the twenty month base period
(07/30/2010-03/30/2012) without the prior written approval of the Contracting Officer. 

  
 [***] 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. 

	 	b.	Subject to the annual dollar limitation specified under B.4.b.1.a. above, the Contractor shall invoice and be reimbursed for all travel costs in accordance with Federal Acquisition Regulations (FAR) 31.2 - Contracts
with Commercial Organizations, Subsection 31.205-46, Travel Costs. 

  

	c.	UNDER SECTION F – DELIVERIES OR PERFORMANCE, ARTICLE F.1 PERIOD OF PERFORMANCE, shall be changed to the following: 

a. The base period of performance of this contract shall be from July 30, 2010 through March 30, 2012. b. If the Government exercises
its options pursuant to the OPTION CLAUSE Article in Section H of the 
 contract the period of performance will be increased as listed
below: 
  

																			
	 CLIN
	  	Option	  	 Supplies/Services
	  	Quantity	  	Cost	 	  	Fixed Fee	 	  	Estimated	 
	 1001
	  	03/31/2012-
 07/30/2013
	  	 [***]
	  	1 Job	  	$	1,486,185	  	  	$	104,033	  	  	$	1,590,218	  
	 1002
	  	07/31/2013-
 01/30/2015
	  	 [***]
	  	1 Job	  	$	958,097	  	  	$	67,067	  	  	$	1,025,164	  
	 2001
	  	03/31/2012-
09/30/2013	  	 [***]
	  	1 Job	  	$	4,008,626	  	  	$	280,604	  	  	$	4,289,230	  
	 2002
	  	10/01/2013-
09/30/2014	  	 [***]
	  	1 Job	  	$	1,013,298	  	  	$	70,931	  	  	$	1,084,229	  
	 2003
	  	10/01/2014-
10/30/2015	  	 [***]
	  	1 Job	  	$	689,544	  	  	$	48,268	  	  	$	737,812	  

  

	d.	UNDER SECTION G – CONTRACT ADMINISTRATION DATA, G.8. POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE, a., shall be changed to the following: 

Contractor Performance Evaluations 

Interim and final evaluations of Contractor performance will be prepared on this contract in accordance with FAR Subpart 42.15. The final
performance evaluation will be prepared at the time of completion of work. In addition to the final evaluation, an interim evaluation shall be submitted April 30, 2012. 

Interim and final evaluations will be provided to the Contractor as soon as practicable after completion of the evaluation. The Contractor will
be permitted thirty days to review the document and to submit additional information or a rebutting statement. If agreement cannot be reached between the parties, the matter will be referred to an individual one level above the Contracting Officer
whose decision will be final. 
 Copies of the evaluations, Contractor responses, and review comments, if any, will be retained as part of
the contract file, and may be used to support future award decisions. 
  

	2)	Change Order 

 UNDER SECTION J - LIST OF ATTACHMENTS, Attachment 1. Statement of Work,
the following tasks shall be added: 
 6.3.1.1 Milestone 1: [***] 

  
 [***] 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. 

 Deliverable for 6.3.1.1 [***] 

6.3.1.2 Milestone 2: [***] 

Deliverable for 6.3.1.2 [***] 

6.3.1.3 Milestone 3: [***] 

Deliverable for 6.3.1.3 Phase 3: [***] 

(End of Summary of Changes) 

  
 [***] 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. 

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

1        |        3

	 2. AMENDMENT/MODIFICATION NO.
  

0003
	 	 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
	  
 HHS/OS/ASPR/BARDA

330 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)	 	(x)  	 	9A. AMENDMENT OF SOLICITATION NO.
		 		 		 	 	 	 	 	 	 	 	 	 
	 FENEX BIOPHARMACEUTICALS, INC. 1358378

FENEX BIOPHARMACEUTICALS, INC.
 5501 OBERLIN DR

SAN DIEGO CA 921211718 
	 	 	 	 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 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) 
 See Schedule 
  

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS 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).

 

	 	 	 C.    THIS SUPPLEMENTAL AGREEMENT IS
ENTERED INTO PURSUANT TO AUTHORITY OF:
  

	X	 	 D.    OTHER (Specify type of
modification and authority)
  
 No Cost Extension

 E. IMPORTANT: Contractor        x is
not,         ̈ is required to sign this document and return     0     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 
 Period of Performance: 07/30/2010 to
04/30/2012 
 The purpose of this modification is to issue a No Cost Extension to modify the contract to extend the period of performance to 4/30/2012. The
period of performance for the base period is now 07/30/2010 to 04/30/2012. 
 This modification does not increase the overall contract value of the original
contract. 
 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)
	  
 Charles H. Squires
V.P. Discovery & Partnerships
	  	 GLYNIS M. FISHER

  
 [***] 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. 

							
	15B. CONTRACTOR/OFFEROR	 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	 	16C. DATE SIGNED
		 	 	 
	
/s/ Charles H. Squires                    
                                

(Signature of person authorized to sign)
	 	3/29/12	  	 /s/ Glynis M.
Fisher                                        
        
 (Signature of Contracting Officer)

 
	 	3/29/2012

					
	 NSN 7540-01-152-8070
 Previous edition
unusable
	 	 30-105
	  	 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. 

-2- 

 SUMMARY OF CHANGES 

Beginning with the effective date of this modification, the contract between the Government and Contractor now reads: 

 

	1)	No-Cost Extension to Base Period 

 The period of performance for the base year will be
extended via no cost extension. Period of performance date are adjusted in the contract and now reads as follows: 
  

	a.	SF 26, Block 15 Period: Period: July 30, 2010 through April 30, 2012. 

  

	b.	UNDER SECTION B (SUPPLIES OR SERVICES and PRICES/COSTS), ARTICLE B.2 (ESTIMATED COST AND FIXED FEE), d. replace with: 

It is estimated that the amount currently allotted will cover performance of the contract through April 30, 2012. 

UNDER SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS, Article B.2 ESTIMATED COST AND FIXED FEE, the dates shall be changed to the
following: 
  

																			
	 CLIN
	  	 Base

Period
	  	 Supplies/Services
	  	 Quantity

(Units)
	  	Cost	 	  	Fixed Fee	 	  	 Total Estimated

Cost Plus Fixed
	 
	 0001
	  	 07/30/2010-

04/30/2012
	  	[***]	  	1 Job	  	$	9,428,959	  	  	$	660,027	  	  	$	10,088,986	  

 UNDER SECTION B– SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.3 INVOICE OPTION PRICES, shall be
changed to the following: 
  

																			
	 CLIN
	  	 Option
	  	 Supplies/Services
	  	Quantity	  	Cost	 	  	Fixed Fee	 	  	Estimated	 
	 1001
	  	 04/30/2012-

08/30/2013
	  	[***]	  	1 Job	  	$	1,486,185	  	  	$	104,033	  	  	$	1,590,218	  
	 1002
	  	 07/31/2013-

09/30/2015
	  	[***]	  	1 Job	  	$	958,097	  	  	$	67,067	  	  	$	1,025,164	  
	 2001
	  	 04/30/2012-

10/30/2013
	  	[***]	  	1 Job	  	$	4,008,626	  	  	$	280,604	  	  	$	4,289,230	  
	 2002
	  	 10/01/2013-

10/30/2014
	  	[***]	  	1 Job	  	$	1,013,298	  	  	$	70,931	  	  	$	1,084,229	  
	 2003
	  	 10/01/2014-

11/30/2015
	  	[***]	  	1 Job	  	$	689,544	  	  	$	48,268	  	  	$	737,812	  

 UNDER SECTION B– SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.4.b. TRAVEL, shall be changed to the
following: 
  

	 	1.	Domestic Travel 

  

	 	a.	Total expenditures for domestic travel (transportation, lodging, subsistence, and incidental expenses) incurred in direct performance of this contract shall not exceed $7,619 in the twenty month base period
(07/30/2010-04/30/2012) without the prior written approval of the Contracting Officer. 

  
 [***] 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. 

-3- 

	 	b.	Subject to the annual dollar limitation specified under B.4.b.1.a. above, the Contractor shall invoice and be reimbursed for all travel costs in accordance with Federal Acquisition Regulations (FAR) 31.2 - Contracts
with Commercial Organizations, Subsection 31.205-46, Travel Costs. 

  

	c.	UNDER SECTION F – DELIVERIES OR PERFORMANCE, ARTICLE F.1 PERIOD OF PERFORMANCE, shall be changed to the following: 

a. The base period of performance of this contract shall be from July 30, 2010 through April 30, 2012. 

b. If the Government exercises its options pursuant to the OPTION CLAUSE Article in Section H of the contract the period of performance will be
increased as listed below: 
  

																			
	 CLIN
	  	 Option
	  	 Supplies/Services
	  	Quantity	  	Cost	 	  	Fixed Fee	 	  	Estimated	 
	 1001
	  	 04/30/2012-

08/30/2013
	  	[***]	  	1 Job	  	$	1,486,185	  	  	$	104,033	  	  	$	1,590,218	  
	 1002
	  	 07/31/2013-

02/30/2015
	  	[***]	  	1 Job	  	$	958,097	  	  	$	67,067	  	  	$	1,025,164	  
	 2001
	  	 04/30/2012-

08/30/2013
	  	[***]	  	1 Job	  	$	4,008,626	  	  	$	280,604	  	  	$	4,289,230	  
	 2002
	  	 10/01/2013-

09/30/2014
	  	[***]	  	1 Job	  	$	1,013,298	  	  	$	70,931	  	  	$	1,084,229	  
	 2003
	  	 10/01/2014-

11/30/2015
	  	[***]	  	1 Job	  	$	689,544	  	  	$	48,268	  	  	$	737,812	  

  

	d.	UNDER SECTION G – CONTRACT ADMINISTRATION DATA, G.8. POST AWARD EVALUATION OF CONTRACTOR PERFORMANCE, a., shall be changed to the following: 

Contractor Performance Evaluations 

Interim and final evaluations of Contractor performance will be prepared on this contract in accordance with FAR Subpart 42.15. The final
performance evaluation will be prepared at the time of completion of work. In addition to the final evaluation, an interim evaluation shall be submitted May 30, 2012. 

Interim and final evaluations will be provided to the Contractor as soon as practicable after completion of the evaluation. The Contractor will
be permitted thirty days to review the document and to submit additional information or a rebutting statement. If agreement cannot be reached between the parties, the matter will be referred to an individual one level above the Contracting Officer
whose decision will be final. 
 Copies of the evaluations, Contractor responses, and review comments, if any, will be retained as part of
the contract file, and may be used to support future award decisions. 
 (End of Summary of Changes) 

  
 [***] 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. 

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

1        |        2

	 2. AMENDMENT/MODIFICATION NO.

 
 0004
	 	 	 	 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
	  
 HHS/OS/ASPR/BARDA

330 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)	 	  (x)  	 	 9A.    AMENDMENT OF SOLICITATION NO.

		 		 		 		 	 	 	 	 	 	 	 
	 FENEX BIOPHARMACEUTICALS, INC. 1358378

FENEX BIOPHARMACEUTICALS, INC.
 5501 OBERLIN DR

SAN DIEGO CA 921211718
	 	 	 	 9B.    DATED (SEE ITEM
11)
  

	 	  X  	 	 10A. MODIFICATION OF CONTRACT/ORDER NO

HHSO100201000045C
  

	 		 	
10B.  DATED (SEE ITEM 13)
  

07/30/2010
  

	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 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) 
 See Schedule 
  

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS 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:
  

	X	 	 D.    OTHER (Specify type of
modification and authority)
  
 Mutual agreement of the
parties.

 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.) 
 Tax ID
Number:        27-1356759 
 DUNS Number:      013603710 

The purpose of this modification is to (1) revise Attachment 1 (Statement of Work) in Section J; (2) update the option periods accordingly in Section
B and Section F; and (3) update the Key Personnel defined in Section G. 
 This modification does not alter the deliverables or obligated value of the
original contract. 
 FOB: Destination 
 Period of Performance:
07/30/2010 to 04/30/2012 
 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)	  	16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	  
 Charles H. Squires
V.P. Discovery & Partnerships
	  	CAROLYN R. KEESEMAN
	15B. CONTRACTOR/OFFEROR	  		 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	  		 	16C. DATE SIGNED
			 	 		 
	 /s/ Charles H. Squires

(Signature of person authorized to sign)
	  	 	 	April 12, 2012  	  	 /s/ Carolyn R. Keeseman

(Signature of Contracting Officer)
  
	  	 	 	4/12/2012

					
	 NSN 7540-01-152-8070
 Previous edition
unusable
	 	30-105	  	 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. 

											
	CONTINUATION SHEET  	  	
REFERENCE NO. OF DOCUMENT BEING CONTINUED

HHSO100201000045C/0004
	  	PAGE OF        

2        |        2

 NAME OF OFFEROR OR CONTRACTOR 

FENEX BIOPHARMACEUTICALS, INC. 1358378 

											
	
    ITEM NO.    

(A)
	 	
SUPPLIES/SERVICES
 (B)
	 	
  QUANTITY  

(C)
	 	
  UNIT  

(D)
	 	
  UNIT PRICE  

(E)
	 	
  AMOUNT  

(F)

		 	 Add Item 2 as follows:
	 		 	 	 	 	 	
		 		 	 	
	2	 	 [***]
  

Add Item 3 as follows:
  

[***]
  

$2,310,123.00 (Option Line Item)
	 		 	 	 	 	 	0.00
		 		 	 	
	3	 	 Cancel Item 1001 in its entirety.

 
 Cancel Item 1002 in its entirety.

 
 Cancel Item 2001 in its entirety.

 
 Cancel Item 2002 in its entirety.

 
 Cancel Item 2003 in its entirety.
	 	 	 	 	 	 	 	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. 

-2- 

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

1        |        2

	 2. AMENDMENT/MODIFICATION NO.

 
 0005
	 	 3. EFFECTIVE DATE
  

04/15/2012
	 	 4. REQUISITION/PURCHASE REQ. NO.

 
 OS86617
	 	5. PROJECT NO (If applicable)
	6. ISSUED BY	 	CODE  	 	HHS/OS/ASPR/BARDA  	 	7. ADMINISTERED BY (If other than Item 6)	 	CODE  	 	ASPR-BARDA02
	  
 HHS/OS/ASPR/BARDA

330 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)	 	  (x)  	 	 9A.    AMENDMENT OF SOLICITATION NO.

		 		 		 	 	 		 		 		 	
	 FENEX BIOPHARMACEUTICALS, INC. 1358378

FENEX BIOPHARMACEUTICALS, INC.
 5501 OBERLIN DR

SAN DIEGO CA 921211718
	 	 	 	
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 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)
                                        Net
Increase:
                                         
       $5,794,316.00 
 2012.1992002.25106 

 
 13. THIS ITEM APPLIES ONLY TO
MODIFICATIONS 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).

 

	 	 	 C.    THIS SUPPLEMENTAL AGREEMENT IS
ENTERED INTO PURSUANT TO AUTHORITY OF:
  

	X	 	 D.    OTHER (Specify type of
modification and authority)
  
 FAR 52.217-9 Option to Extend the
Term of the Contract

 E. IMPORTANT: Contractor        x is
not,         ̈ is required to sign this document and return            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 exercise Option 1 (CLIN 00002) for a term of 4/15/12 - 4/30/13. 

Delivery Location Code: HHS 
 HHS 

200 Independence Avenue, SW 
 Washington DC 20201 US 

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)	  	16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	  
 Charles H. Squires
V.P. Discovery & Partnerships
	  	CAROLYN R. KEESEMAN
	15B. CONTRACTOR/OFFEROR	  		 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	  		 	16C. DATE SIGNED
			 	 		 
	 /s/ Charles H. Squires

(Signature of person authorized to sign)
	  	 	 	4/12/2012	  	 /s/ Carolyn R. Keeseman

(Signature of Contracting Officer)
  
	  	 	 	4/12/2012

					
	 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. 

											
	  CONTINUATION SHEET  	  	 REFERENCE NO. OF DOCUMENT BEING CONTINUED

HHSO100201000045C/0005
	  	PAGE OF        

2        |        2

 NAME OF OFFEROR OR CONTRACTOR 

FENEX BIOPHARMACEUTICALS, INC. 1358378 

											
	
    ITEM NO.    

(A)
	 	
SUPPLIES/SERVICES
 (B)
	 	
  QUANTITY  

(C)
	 	
  UNIT  

(D)
	 	
  UNIT PRICE  

(E)
	 	
  AMOUNT  

(F)

		 	 Appr. Yr.: 2012 CAN: 1992002 Object Class: 25106

FOB: Destination
 Period of Performance: 07/30/2010 to
04/30/2013
  
 Change Item 2 to read as follows (amount shown is the obligated
amount):
	 		 	 	 	 	 	
		 		 	 	
	2	 	 [***]

 
 $5,794,316.00
	 	 	 	 	 	 	 	5,794,316.00

			
	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. 

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

1        |        3

	 2. AMENDMENT/MODIFICATION NO.

 
 0006
	 	 	 	 3. EFFECTIVE DATE
  

See Block 16C
	 	 4. REQUISITION/PURCHASE REQ. NO.

 
 OS107720
	 	5. PROJECT NO (If applicable)
	6. ISSUED BY	 	CODE  	 	HHS/OS/ASPR/BARDA  	 	7. ADMINISTERED BY (If other than Item 6)	 	CODE  	 	ASPR-BARDA02
	  
 HHS/OS/ASPR/BARDA

330 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)	 	  (x)  	 	9A. AMENDMENT OF SOLICITATION NO.
		 		 		 	 	 	 	 	 	 	 	 	 
	 PFENEX, INC 1358378
 5501 OBERLIN
DR
 SAN DIEGO CA 921211718
	 		 		 	 	 	 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 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)                                       
 Net
Increase:                                        
$10,581.00 
 See Schedule 
  

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS 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        x is
not,         ̈ is required to sign this document and return     0     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
correct the original discrepancy between the contract document itself and the PRISM award system. 
 FOB: Destination 

Period of Performance: 07/30/2010 to 04/30/2013 
 Change Item 1
to read as follows (amount shown is the obligated amount): 
  

					
	1	  	[***]	  	10,581.00        

 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)
	 	  	  
 MATTHEW A.
MCCORD
  

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

(Signature of person authorized to sign)
	 	 	  	 /s/  MATTHEW A.
MCCORD                                    

(Signature of Contracting Officer)
  
	 	4/11/13

					
	 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. 

											
	CONTINUATION SHEET  	  	 REFERENCE NO. OF DOCUMENT BEING CONTINUED

HHSO100201000045C/0006 
	  	PAGE         OF        

2        |        3

 NAME OF OFFEROR OR CONTRACTOR 

PFENEX, INC 1358378 

											
	
    ITEM NO.    

(A)
	 	
SUPPLIES/SERVICES
 (B)
	 	
  QUANTITY  

(C)
	 	
  UNIT  

(D)
	 	
  UNIT PRICE  

(E)
	 	
  AMOUNT  

(F)

	 	 	 [***]

 
 $10,581.00
  

Delivery: 02/23/2011
 Delivery Location Code: HHS

HHS
 200 Independence Avenue, SW

Washington DC 20201 US
 Amount: $10,078,405.00

Accounting Info:
  

2010.1990087.25106 Appr. Yr.: 2010 CAN: 1990087 Object Class: 25106
  

Funded: $0.00
  

Delivery: 04/11/2013
 Delivery Location Code: OS-BARDA-SWITZER

OS-BARDA-SWITZER
 330 Independence Ave, SW, Rm G644

Washington DC 20201 US
 Amount: $10,581.00

Accounting Info:
  

2010.1990087.25106.00000000.00 Appr. Yr.: 2010 CAN: 1990087 Object Class: 25106
  

Funded: $10,581.00
	 	 	 	 	 	 	 	 

			
	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. 

 SECTION SF 30 BLOCK 14 CONTINUATION PAGE 

SUMMARY OF CHANGES 
 Beginning with the effective date
of this modification, the contract between the Government and Contractor is hereby updated as follows: 
  

	 	1)	[***] 

  

	 	2)	Terms of condition of this contract and prior modifications remain unchanged. 

 (End of
Summary of Changes) 

  
 [***] 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. 

-3- 

									
	AMENDMENT OF SOLICITATION/MODIFCATION OF CONTRACT	 	1 CONTRACT ID CODE	 	 	 	 PAGE OF PAGES

1                |          
  35

	 2 AMENDMENT/MODIFICATION NO
  

0007
	 	 3 EFFECTIVE DATE

 
 See Block 16C
	 	4 REQUISITON/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
	  
 HHS/OS/ASPR/BARDA

330 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)
	 	x  	 	 9A AMENDMENT OF SOLICITATION NO
  

		 		 		 		 	 	 	 	 	 	 	 
	 FENEX BIOPHARMACEUTICALS, INC. 1358378

FENEX BIOPHARMACEUTICALS, INC.
 5501 OBERLINE DR

SAN DIEGTO CA 921211718
	 	 	 	 9B DATED (SEE ITEM 11)

 

	 	  

X  
	 	 10A MODIFICATION OF CNTRACT/ORDER NO

HHS0100201000045C

		 		 		 		 	 	 	
	  

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

 
 07/30/2010

 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICATIONS 

 

	 ̈	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 DESINGATED 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 APPROPRIATEION 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 PUIRSUANT 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 AUTHROITY OF FAR 43 103(b) 

	 	 	  

C.    THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AURHTORITY OF

	 	 	  

D.    OTHER (Specify type of modification and authority)

 
 Mutual agreement of parties (FAR 43.103(a) (3) )

 E. IMPORTANT:
            Contractor          ̈ is not         ̈ is required to sign this document and return     0     copies to the issuing office 
  

 
 14 DESCRITION 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: 
 1. Extend Option 1 (CLIN
00002) for a term of 4/15/12 - 10/31/13; 
 2. Update SOW; 
 3.
Administrative update to COA requirement; 
 4. Update Key Personnel; and 

5. Update Transfer of Government Property. 
 Continued ... 

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

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

 
	  	16A NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	Charles H. Squires, V.P. Discovery	  	MATTHEW A. MCCORD
	15b CONTRACTOR/OFFEROR	 	15C DATE SIGNED  	  	16b UNITED STATES OF AMERICA	 	16c DATE SIGNED
		 	 	 
	 /s/ Charles H.
Squires                                
	 	4/24/13	  	 /s/ Matthew A.
McCord                            

 
	 	4/25/13

					
		 		  	 STANDARD FORM 30 (REV. 10-83)

  
 [***] 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. 

-1- 

					
		  		  	 Prescribed by GSA

FAR (48 CFR) 53 243

  

											
	CONTINUATION SHEET  	 	 REFERENCE NO. OF DOCUMENT BEING CONTINUED

 
 HHS0100201000045C/0007
	 	 PAGE

2
	 	 OF

35

	
NAME OF OFFEROR OR CONTRACTOR
 FENEX BIOPHARMACEUTICALS, INC.
1358378

	 ITEM
NO.
 (A)
	 	 SUPPLIES/SERVICES

(B)
	 	
    QUANTITY    

(C)
	  	
    UNIT        

(D)    
	 	
    UNIT PRICE    

(E)
	 	
    AMOUNT    

(F)

	 	 	 Period of Performance: 07/30/2010 to 04/30/2013 

 
  
	 	 	  	 	 	 	 	 

					
	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. 

 SUMMARY OF CHANGES 

Beginning with the effective date of this modification, the below portions of the contract between the Government and Contractor now reads: 

 

	 	1)	Mutual Agreement to Revise Statement of Work within the Scope of the Contract 

 UNDER
SECTION J — LIST OF ATTACHMENTS, 1. STATEMENT OF WORK will be changed as follows: 
 1. Statement of Work 

Statement of Work, Dated April 23, 2013 (27 Pages). 
  

	 	2)	No Cost Extension 

 Period of performance dates for the option periods are adjusted in
the contract and now reads as follows: 
  

	a.	UNDER SECTION B— SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.3 INVOICE OPTION PRICES, shall be changed to the following: 

  

																			
	 CLIN
	  	 Option

Period
	  	 Supplies/Services
	  	Quantity	  	Cost	 	 	Fixed Fee	 	 	Estimated	 
	 0002
	  	04/15/2012 - 10/31/2013	  	[***]	  	1 Job	  	 	[***	] 	 	 	[***	] 	 	 	[***	] 
	 0003
	  	01/1/2013 - 12/31/2013	  	[***]	  	1 Job	  	 	[***	] 	 	 	[***	] 	 	 	[***	] 

  

	b.	UNDER SECTION F — DELIVERIES OR PERFORMANCE, ARTICLE F.1 PERIOD OF PERFORMANCE, shall be changed to the following: 

  

	 	a.	The base period of performance of this contract shall be from July 30, 2010 through October 31, 2013. 

  

	 	b.	If the Government exercises its options pursuant to the OPTION CLAUSE Article in Section H of the contract. The period of performance will be increased as defined in SECTION B of this contract. 

 

	 	3)	Update to Requirements for Pre-Authorization of Contracting Officer 

 UNDER SECTION B— SUPPLIES OR
SERVICES AND PRICES/COSTS ARTICLE B.4. PROVISIONS APPLICABLE TO DIRECT COSTS 

  
 [***] 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. 

 a. Items Unallowable Unless Otherwise Provided: 

[...] 
 7. Subcontracts: 

Prior written consent from the Contracting Officer in the form of Contracting Officer Authorization (COA) is required for any subcontract that: 

 

	 	•	 	is of the cost-reimbursement type*; 

  

	 	•	 	is Fixed-Price and exceeds $150,000. 

  

	*	Note: Consulting services are treated as subcontracts and subject to the ‘consent to subcontract’ provisions set forth in this Article. 

[...] 
  

	 	4)	Update to Key Personnel 

 UNDER SECTION G — CONTRACT ADMINISTRATION DATA, ARTICLE
G.3 KEY PERSONNEL, shall be changed to the following: 
  

			
	 Name
	  	 Title

	[*]	  	Principal Investigator
	[*]	  	Deputy Principal Investigator

  

	 	5)	Transfer of Accountability of Government Property 

 ARTICLE G.9 TRANSFER OF
ACCOUNTABILITY OF GOVERNMENT PROPERTY, shall be added to SECTION G — CONTRACT ADMINISTRATION DATA, as follows: 
 ARTICLE G.9. TRANSFER
OF ACCOUNTABILITY OF GOVERNMENT PROPERTY 
  

	 	a.	Accountability of government property listed in this Article is hereby transferred in full from this contract (i.e. Contract No. HHS0100201000045C) to contract number HHSN272201200033C and contract number
HHSN2722010000221. 

 The listing of property, vendor name, and date of transfer are detailed as follows: 

 

	 	1.	Government Property transferred: 1 gram rPA of Lot 563-264 

 Date of Transfer:
March 2013 
 Contractor / U.S. Govt. Contract Number : Glide (NIAID Contract #: HHSN272201200033C) 

  
 [***] 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. 

	 	2.	Government Property transferred: 1 mL at 10 mg/mL of Lot EP563-317 

 Date of
Transfer: September 2012 
 Contractor / U.S. Govt. Contract Number: Immunovaccine (NIAID Contract #: HH5N2722010000221) 

 

	 	b.	Pursuant to FAR 45.106, Transferring Accountability, an equivalent contract modification was made will be executed for the contracts controlling the gaining office’s activities. The property detailed in this
Article shall now be considered Government-furnished property under Contract Number HS0100201000045C, with title vesting to the Department of Health & Human Services. 

 

	 	c.	This property is subject to the requirements of FAR 52.245-1, GOVERNMENT PROPERTY, in addition to the requirements set forth in this contract in ARTICLE G.7. GOVERNMMENT PROPERTY. 

 

	 	d.	This transfer does not affect the total obligated dollar amount to this contract. The total contract dollar amount of this contract is unchanged. 

(End of Summary of Changes) 

  
 [***] 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. 

 Attachment 1 

[***] 

  
 [***] 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. 

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

1        |        53

	 2. AMENDMENT/MODIFICATION NO.
  

0008
	 	 3. EFFECTIVE DATE
  

See Block 16C
	 	 4. REQUISITION/PURCHASE REQ. NO.

 
 OS119304
	 	 5. PROJECT NO (If applicable)

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

330 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)	 	(x)   	 	9A. AMENDMENT OF SOLICITATION NO.
	  
 PFENEX, INC 1358378
	 		 		 	 	 	 	 	 	 	 
	 FENEX BIOPHARMACEUTICALS, INC.
 10790
ROSELLE ST
	 	 	 	 9B. DATED (SEE ITEM 11)

 

	SAN DIEGO CA 921211718	 		 		 	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 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)
 ..2013.1992002.25106
	 	  
 Net Increase:
	 		 	  
 $7,962,932.00

  
 13.
THIS ITEM APPLIES ONLY TO MODIFICATIONS 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:
  
 Mutual agreement of parties
(FAR 43.103(a)(3))

	 	 	 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.) 
 Tax ID Number:    27-1356759 

DUNS Number:    013603710 
 [***] 

Delivery Location Code: HHS 
 HHS 

200 Independence Avenue, SW 
 Washington DC 20201 US 

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)	  	16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	  
 Patrick Lucy, VP
Business Development
	  	  
 GLYNIS M.
FISHER

	15B. CONTRACTOR/OFFEROR	 		 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	 		 	16C. DATE SIGNED
			 	 		 
	 /s/ Patrick Lucy
	 	 	 	9/13/13   	  	 /s/ Glynis M. Fisher
	 	 	 	9/13/2013
	(Signature of person authorized to sign)	 	 	  	 (Signature of Contracting Officer)

 
	 	 

					
	 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. 

									
	CONTINUATION SHEET  	  	 REFERENCE NO. OF DOCUMENT BEING CONTINUED

HHSO100201000045C/0008
	 	PAGE OF         
	  	 	2        |        53

 NAME OF OFFEROR OR CONTRACTOR 

PFENEX, INC 1358378 

											
	
  ITEM NO.  

(A)
	 	
SUPPLIES/SERVICES
 (B)
	 	   QUANTITY  

(C)
	 	
  UNIT  

(D)
	 	
  UNIT PRICE  

(E)
	 	   AMOUNT  

(F)

	3	 	 Appr. Yr.: 2013 CAN: 1992002 Object Class: 25106

FOB: Destination
 Period of Performance: 07/30/2010 to
12/31/2014
  
 Change Item 3 to read as follows (amount shown is the obligated
amount):
  
 0003A: [***]
	 		 	 	 	 	 	7,962,932.00
		 		 	 	
	 	 	 [***]

 
	 	 	 	 	 	 	 	 

			
	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. 

 SUMMARY OF CHANGES 

Beginning with the effective date of this modification, the below portions of contract HHSO100201000045C between the Government and Contractor now read:

  

	 	1.	Revision of Option Period 2. 

 Period of performance dates for the option periods are adjusted
in the contract and now reads as follows: 
  

	 	(a)	UNDER SECTION B– SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.3 INVOICE OPTION PRICES, the options shall be changed to the following: 

 

																											
	 CLIN
	  	SUB-
CLIN	  	Period of
Performance	 	  	Type	 	  	 Supplies/Services
	  	Quantity	  	Estimated Cost	 	  	Fixed Fee	 	  	Estimated
Total	 
	 0002
	  		  	 
  
	04/15/2012 -
 10/31/2013
	  
  
	  	 	CPFF	  	  	[***]	  	1 Job	  	$	5,415,249	  	  	$	379,067	  	  	$	5,794,316	  
	 0003
	  	0003A	  	 
  
	01/1/2013 -
 12/31/2014
	  
  
	  	 	CPFF	  	  	[***]	  	1 Job	  	$	6,680,310	  	  	$	467,622	  	  	$	7,147,932	  
	  		  	 	Delivery Date	  	  	 	Type	 	  	Supplies/Services	  	Quantity	  				  				  	 	Price	  
	  	0003B	  	 	10/15/2013	  	  	 	FFP	  	  	[***]	  	1 Set of Data
Deliverables	  				  				  	$	815,000	  
		  		  				  				  		  		  				  				  	  
	  
	 
	 Total Estimated CLIN 003:
	   
		$	7,962,932	  
		  		  				  				  		  		  				  				  	  
	  
	 

  

	 	(b)	UNDER SECTION F – DELIVERIES OR PERFORMANCE, ARTICLE F.1 PERIOD OF PERFORMANCE, shall be changed to the following: 

a. The period of performance of this contract, including all options shall be from July 30, 2010 through December 31, 2014. Specific
periods of performance by option period under this contract are delineated in Section B of this contract. 
  

	 	2.	Updates to FAR Clauses incorporated by Reference 

 UNDER SECTION I – CONTRACT CLAUSES,
ARTICLE I.1. is updated as follows (additions in red): 
 a. FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER 1) CLAUSES: 

 

					
	 FAR
CLAUSE NO.
	  	 DATE
	  	 TITLE

	52.202-1	  	Jul 2004	  	Definitions (Over $100,000)
	52.203-3	  	Apr 1984	  	Gratuities (Over $100,000)
	52.203-5	  	Apr 1984	  	Covenant Against Contingent Fees (Over $100,000)
	52.203-6	  	Sep 2006	  	Restrictions on Subcontractor Sales to the Government (Over $100,000)
	52.203-7	  	Jul 1995	  	Anti-Kickback Procedures (Over $100,000)
	52.203-8	  	Jan 1997	  	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over $100,000)
	52.203-10	  	Jan 1997	  	Price or Fee Adjustment for Illegal or Improper Activity (Over $100,000)
	52.203-12	  	Sep 2007	  	Limitation on Payments to Influence Certain Federal Transactions (Over $100,000)
	52.203-13	  	Apr 2010	  	Contractor Code of Business Ethics and Conduct

  
 [***] 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. 

					
	52.203-14		Dec 2007		Display of Hotline Poster(s)
	52.204-4		Aug 2000		Printed or Copied Double-Sided on Recycled Paper (Over $100,000)
	52.204-7		Apr 2008		Central Contractor Registration
			
	52.209-6		Sep 2006		Protecting the Government’s Interests When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $30,000)
	52.212-4		Mar 2009		Contract Terms and Conditions-Commercial Items
	52.215-2		Mar 2009		Audit and Records - Negotiation [Note: Applies to ALL contracts funded in whole or in part with Recovery Act funds, regardless of dollar value, AND contracts over $100,000 funded exclusively with non-Recovery Act funds.]
	52.215-8		Oct 1997		Order of Precedence - Uniform Contract Format
	52.215-10		Oct 1997		Price Reduction for Defective Cost or Pricing Data (Over $650,000)
	52.215-12		Oct 1997		Subcontractor Cost or Pricing Data (Over $650,000)
	52.215-14		Oct 1997		Integrity of Unit Prices (Over $100,000)
	52.215-15		Oct 2004		Pension Adjustments and Asset Reversions
	52.215-18		Jul 2005		Reversion or Adjustment of Plans for Post-Retirement Benefits (PRB) other than Pensions
	52.215-19		Oct 1997		Notification of Ownership Changes
	52.215-21		Oct 1997		Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data - Modifications
	52.216-7		Dec 2002		Allowable Cost and Payment
	52.216-8		Mar 1997		Fixed Fee
	52.217-9		Mar 2000		Option to Extend the Term of the Contract
	52.219-8		May 2004		Utilization of Small Business Concerns (Over $100,000)
	52.219-9		Apr 2008		Small Business Subcontracting Plan (Over $550,000, $1,000,000 for Construction)
	52.219-16		Jan 1999		Liquidated Damages - Subcontracting Plan (Over $550,000, $1,000,000 for Construction)
	52.222-1		Jun 2003		Convict Labor
	52.222-21		Feb 1999		Prohibition of Segregated Facilities
	52.222-26		Mar 2007		Equal Opportunity
	52.222-35		Sep 2006		Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Over $100,000)
	52.222-36		Jun 1998		Affirmative Action for Workers with Disabilities
	52.222-37		Sep 2006		Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (Over $100,000)
			
	52.222-39		Dec 2004		Notification of Employee Rights Concerning Payment of Union Dues or Fees.
	52.222-50		Feb 2009		Combating Trafficking in Persons
	52.222-54		May 2001		Drug-Free Workplace
	52.223-14		Aug 2003		Toxic Chemical Release Reporting (Over $100,000)
	52.225-1		Feb 2009		Buy American Act - Supplies
	52.225-13		Jun 2008		Restrictions on Certain Foreign Purchases
	52.227-1		Dec 2007		Authorization and Consent, Alternate I (Apr 1984)
	52.227-2		Dec 2007		Notice and Assistance Regarding Patent and Copyright Infringement
	52.227-11		Dec 2007		Patent Rights - Ownership by the Contractor (Note: In accordance with FAR 27.303(b)(2), paragraph (e) is modified to include the requirements in FAR 27.303(b)(2)(i) through (iv). The frequency of reporting in (i) is
annual.
	52.227-14		Dec 2007		Data Rights Alt II
	52.229-3		Apr 2003		Federal, State and Local Taxes
			
	52.232-9		Apr 1984		Limitation on Withholding of Payments
	52.232-17		Oct 2008		Interest (Over $100,000)
	52.232-20		Apr 1984		Limitation of Cost
	52.232-23		Jan 1986		Assignment of Claims
	52.232-25		Oct 2008		Prompt Payment, Alternate I (Feb 2002)
	52.232-33		Oct 2003		Payment by Electronic Funds Transfer - Central Contractor Registration
	52.233-1		Jul 2002		Disputes
	52.233-3		Aug 1996		Protest After Award, Alternate I (Jun 1985)
	52.233-4		Oct 2004		Applicable Law for Breach of Contract Claim

  
 [***] 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. 

					
	52.242-1	  	Apr 1984	  	Notice of Intent to Disallow Costs
	52.242-3	  	May 2001	  	Penalties for Unallowable Costs (Over $650,000)
	52.242-4	  	Jan 1997	  	Certification of Final Indirect Costs
	52.242-13	  	Jul 1995	  	Bankruptcy (Over $100,000)
	52.243-1	  	Aug 1987	  	Changes-Fixed Price
	52.243-2	  	Aug 1987	  	Changes - Cost Reimbursement, Alternate V (Apr 1984)
	52.244-2	  	Jun 2007	  	Subcontracts, Alternate I (June 2007)
	52.244-5	  	Dec 1996	  	Competition in Subcontracting (Over $100,000)
	52.244-6	  	Apr 2010	  	Subcontracts for Commercial Items
	52.245-1	  	Jun 2007	  	Government Property
	52.245-9	  	Jun 2007	  	Use and Charges
	52.246-2	  	Aug 1996	  	Inspection of Supplies—Fixed-Price
	52.246-4	  	Aug 1996	  	Inspection of Services—Fixed-Price
	52.246-23	  	Feb 1997	  	Limitation of Liability (Over $100,000)
	52.249-2	  	Apr 2012	  	Termination for Convenience of the Government (Fixed Price)
	52.249-6	  	May 2004	  	Termination (Cost-Reimbursement)
	52.249-8	  	May 2004	  	Default (Fixed-Price Supply and Service)
	52.249-14	  	Apr 1984	  	Excusable Delays
	52.253-1	  	Jan 1991	  	Computer Generated Forms

 b. DEPARTMENT OF HEALTH AND HUMAN SERVICES ACQUISITION REGULATION (HHSAR) (48 CFR CHAPTER 3) CLAUSES: 

 

					
	 HHSAR
CLAUSE NO.
	  	 DATE
	  	 TITLE

	352.202-1	  	Jan 2006	  	Definitions - with Alternate paragraph (h) (Jan 2006)
	352.216-70	  	Jan 2006	  	Additional Cost Principles
	352.224-70	  	Jan 2006	  	Privacy Act
	352.228-7	  	Dec 1991	  	Insurance - Liability to Third Persons
	352.242-73	  	Jan 2006	  	Withholding of Contract Payments
	352.233-71	  	Jan 2006	  	Litigation and Claims
	352.242-74	  	Apr 1984	  	Final Decisions on Audit Findings
	352.242-70	  	Jan 2006	  	Key Personnel
	352.227-70	  	Jan 2006	  	Publications and Publicity
	352.203-70	  	Jan 2006	  	Anti-Lobbying (Over $100,000)

  

	 	3.	HHSAR Clause Updates 

 UNDER SECTION I – CONTRACT CLAUSES, ARTICLE I.5. shall be added as
follows: 
 ARTICLE I.5. ADDITIONAL HHSAR CONTRACT CLAUSES INCLUDED IN FULL TEXT 

This contract incorporates the following clauses in full text: 

  
 [***] 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. 

 352.231-70 Salary rate limitation (AUG 2012) 

(a) Pursuant to the current and applicable prior HHS appropriations acts, the Contractor shall not use contract funds to pay the direct salary
of an individual at a rate in excess of the Federal Executive Schedule Level in effect on the date the funding was obligated (the effective date of the contract action). Funding obligated on or after December 23, 2011 cannot be used to pay the
direct salary of an individual at a rate in excess of Federal Executive Schedule Level II. 
 (b) For purposes of the salary rate limitation,
the terms “direct salary,” “salary”, and “institutional base salary”, have the same meaning and are collectively referred to as “direct salary”, in this clause. An individual’s direct salary is the annual
compensation that the Contractor pays for an individual’s direct effort (costs) under the contract. Direct salary excludes any income that an individual may be permitted to earn outside of duties to the Contractor. Direct salary also excludes
fringe benefits, overhead, and general and administrative expenses (also referred to as indirect costs or facilities and administrative [F&A] costs). 

Note: The salary rate limitation does not restrict the salary that an organization may pay an individual working under an HHS contract or
order; it merely limits the portion of that salary that may be paid with contract funds. 
 (c) The salary rate limitation also applies to
individuals under subcontracts. If this is a multiple-year contract or order, it may be subject to unilateral modification by the Contracting Officer to ensure that an individual is not paid at a rate that exceeds the salary rate limitation
provision established in the HHS appropriations act in effect when the expense is incurred regardless of the rate initially used to establish contract or order funding. 

(d) See the salaries and wages pay tables on the U.S. Office of Personnel Management Web site for Federal Executive Schedule salary levels that
apply to the current and prior periods. 
 (End of clause) 
  

	 	4.	Administrative Updates. 

  

	 	(a)	Under SECTION G - CONTRACT ADMINISTRATION DATA and in accordance with ARTICLE G.2. CONTRACTING OFFICER, the official Contracting Officer on record is hereby changed from [*] to _[*]. Additionally, the official Contract
Specialist on record is changed from [*] to [*]. Any reference to Contracting Officer or Contract Specialist throughout the contract is to be updated accordingly. 

[*] 
 Contracting Officer 

[*] 
 [*] 

[*] 
 Contract Specialist 

[*] 
 [*] 

 

	 	(b)	Under SECTION G - CONTRACT ADMINISTRATION DATA, ARTICLE G.1. CONTRACTING OFFICER’S TECHNICAL REPRESENTATIVE (COTR) shall be changed to the following, effective as of August 15, 2012. 

ARTICLE G.1. CONTRACTING OFFICER’S REPRESENTATIVE (COR) 

The following Contracting Officer’s Technical Representative (COR) will represent the Government for the purpose of this contract: 

[*] 
 Contracting Officer
Representative 

  
 [***] 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. 

 Biomedical Advanced Research and Development Authority 

(BARDA) Office of the Assistant Secretary for 

Preparedness and Response Department of Health and 

Human Services 
 Mailing
Address: 
 330 Independence Avenue, SW, Room G640 Washington, 

D.C. 20201 
 [*] (Office) 

[*] 
 Alternate COR: Jonathan
Seals 
 Acting Director Strategic Science and Technology Division 

Biomedical Advanced Research and Development Authority (BARDA) Office of the Assistant Secretary for Preparedness and Response Department of
Health and Human Services 
 Mailing Address: 

330 Independence Avenue, SW, Room G640 Washington, 

D.C. 20201 
 [*] (Office) 

[*] 
 The COR is responsible
for: (1) monitoring the Contractor’s technical progress, including the surveillance and assessment of performance and recommending to the Contracting Officer changes in requirements; (2) interpreting the statement of work and any
other technical performance requirements; (3) performing technical evaluation as required; (4) performing technical inspections and acceptances required by this contract; and (5) assisting in the resolution of technical problems
encountered during performance. 
 The Government may unilaterally change its COR designation. 

 

	 	(c)	Any remaining reference to Contracting Officer’s Technical Representative (or COTR) in the contract are hereby deleted and replaced with Contracting Officer’s Representative (or COR). 

 

	 	5.	Mutual Agreement to Revise Statement of Work within the Scope of the Contract 

 UNDER SECTION J
– LIST OF ATTACHMENTS, 1. STATEMENT OF WORK will be revised as follows (referenced SOW attached herein): 
  

	 	1.	Statement of Work 

 Statement of Work, Dated September 9, 2013 (45 Pages). 

(End of Summary of Changes) 

  
 [***] 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. 

 9/9/2013 

Attachment 1 
 [***] 

  
 [***] 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. 

-8- 

 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.
  

        0009
	 	 3 EFFECTIVE DATE
  

  See Block 16C
	 	 4 REQUISITION/PURCHASE REQ NO.

 
 N/A
	 	 5 PROJECT NO (if applicable)

	6 ISSUED BY	 	CODE  	 	 	 	7 ADMINISTERED BY (If other than Item 6)	 	CODE  	 	 
	  

Office of Acquisitions Management, Contracts, and Grants (AMCG)

330 Independence Ave., S.W. Room G640

Washington, D.C. 20201
  
	 	 	 	 	 	 
	8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State and ZIP Code)	 		 		 		 	(  )  	 	9A AMENDMENT OF SOLICITATION NO
	  
 Pfenex Biopharmaceuticals, Inc.
	 		 		 		 	 	 	 	 	 	 	 
	 10790 Roselle ST
 San
Diego, CA 92121
	 	 	 	 9B DATED (SEE ITEM 11)

 

	 	 	 	 10A MODIFICATION OF CONTRACT/ORDER NO

 
       HHSO100201000045C

		 		 		 		 	X  	 	10B DATED (SEE ITEM 13)
	CODE            DUNS: 013603710	 	FACILITY CODE	 	 	  
 July 30,
2010

 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATION 

 
  

 ̈ 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 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 

No change in data. 
  

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 — FAR 43.103(a)(3)

	 	 	 D     OTHER (Specify type of
modification and authority)
  

 E. IMPORTANT: Contractor         ̈ is
not,        x is required to sign this document and return     1     copy to the issuing office. 

 
 14 DESCRIPTION OF AMENDMENT/MODIFICATION (Organized
by UCF section headings, including solicitation/contract subject matter where feasible) 
 PURPOSE: [***] 

All other terms and conditions remain 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, V.P. of
BD
	 	 	  	  
 Thomas P.
Hastings,
 Contracting Officer. AMCG, ASPR, OS, DHHS
	 	 
	15B. CONTRACTOR/OFFEROR	 		 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	 		 	16C. DATE SIGNED
			 	 		 
	 /s/ Patrick Lucy
	 	 	 	1/23/14  	  	 /s/ Thomas P. Hastings
	 	 	 	1/27/14
	 (Signature of person authorized to sign)

 
	 	 	  	 (Signature of Contracting Officer)

 
	 	 

					
	 NSN 7540-01.152-8070
 PREVIOUS EDITION
UNUSABLE
	 	 30-105
	  	 STANDARD FORM 30 (REV. 10-83)

Prescribed by GSA
 FAR (48
CFR) 53.

  
 [***] 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. 

 BEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE CONTRACT IS MODIFIED AS FOLLOWS: 

1. The end date for the period of performance of CLIN 0002, as used throughout the contract, is modified to August 30, 2014. 

2. SECTION G, ARTICLE G.3. is modified to delete the following Key Personnel position from the contract: 

 

			
	 Name
	  	 Title

	[*]	  	Deputy Principal Investigator

 3. SECTION G is modified to include the additional following article: 

ARTICLE G.10. TRANSFER OF ACCOUNTABILITY OF GOVERNMENT PROPERTY 

a. Accountability of government property listed in this Article is hereby transferred in full from this contract to contract number
HHSN272201300029C. The listing of property and vendor name are as follows: 
  

	 	1.	[***] 

  

	 	2.	[***] 

 b. Pursuant to FAR 45.106, Transferring Accountability, an equivalent contract
modification shall be executed for the contract controlling the gaining office’s activities. The property detailed in this Article is considered Government-furnished property. 

c. The property identified in this Article is subject to the requirements of FAR 52.245-1, Government Property, in addition to the
requirements set forth in Article G.7. Government Property of this contract. 
 d. This transfer does not affect the total amount of this
contract. 
 ALL OTHER TERMS AND CONDITIONS OF THE CONTRACT REMAIN UNCHANGED AND IN FULL FORCE AND EFFECT. 

  
 [***] 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. 

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

1        |        2

	 2. AMENDMENT/MODIFICATION NO.  

0010
	 	  3. EFFECTIVE DATE

   See Block 16C
	 	 4. REQUISITION/PURCHASE REQ. NO.  

OS145133
	 	 5. PROJECT NO (If applicable)

 

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

330 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
	 	(x)  	 	9A. AMENDMENT OF SOLICITATION NO.
	 	 	 	
	 	 	 	 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 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)

2015.1992015.25106
	 	 	 	Net
Increase:                                        
$1,394,958.30

  
 13.
THIS ITEM APPLIES ONLY TO MODIFICATIONS 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:
  
 FAR 52.243-2 Alternate I
(Apr 1987) Changes – Cost reimbursement and mutual agreement of 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.) 
 Tax ID Number: 27-1356759 

DUNS Number: 013603710 
 : The purpose of this modification is to:

 1. Increase the Estimated Cost and Fixed Fee by $1,394,958 
 2.
Extend the Period of Performance of subCLIN 0003A to 5/8/2015 3. Supplement the Statement of Work to [***] 4. Update Article G.2 for a new contract specialist. 

See Attached 
 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)	  	16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	  
 Patrick Lucy Chief
Business Officer
	  	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)
	 	 	 	 12/18/14

 
	  	 /s/ Thomas P. Hastings

(Signature of Contracting Officer)
  
	 	 	 	 12/18/14

 

					
	 NSN 7540-01-152-8070
 Previous edition
unusable
	 	30-105	  	 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. 

									
	CONTINUATION SHEET  	  	 REFERENCE NO. OF DOCUMENT BEING CONTINUED

HHSO100201000045C/0010
	 	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)

		 	 Delivery: 11/06/2014

Delivery Location Code: HHS/OS/ASPR
 HHS/OS/ASPR

200 C St SW
 WASHINGTON DC 20201 US

 
 Appr. Yr.: 2015 CAN: 1992015 Object Class: 25106

FOB: Destination
 Period of Performance: 07/30/2010 to
05/08/2015
  
 Add Item 2004 as follows:
	 		 	 	 	 	 	
		 		 	 	
	2004	 	 ASPR-15-00409 — Additional funds under Option 2

of Pfenex Inc HHS01002011000045C
 Obligated Amount:
$1,394,958.00
  
	 	 	 	 	 	 	 	1,394,958.00

			
	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. 
  

 SUMMARY OF CHANGES 

Beginning with the effective date of this modification, the below portions of contract HHSO100201000045C between the Government and the
Contractor now read: 
 Under SECTION B – SUPPLIES OR SERVICES AND PRICES/COSTS, ARTICLE B.3 INVOICE OPTION PRICES, the
estimated cost and fixed fee of subCLIN 0003A is increased by $1,394,958 [***]: 
  

																							
	 CLIN
	  	SUB-CLIN	  	Period of
Performance
or Delivery
Date	  	Type	  	 Supplies /

Services
	  	Quantity	  	Estimated
Cost	 	 	Fixed
Fee	 	 	Total
Estimated
Cost or
Price	 
	[***]	  		  	[***]	  	[***]	  	 [***]
	  	[***]	  	 	[***	] 	 	 	[***	] 	 	 	[***	] 
	[***]	  	[***]	  	[***]	  	[***]	  	 [***]
	  	[***]	  	 	[***	] 	 	 	[***	] 	 	 	[***	] 
	  	[***]	  	[***]	  	[***]	  	 [***]
	  	[***]	  	 	[***	] 	 	 	[***	] 	 	 	[***	] 
		  		  		  		  		  		  				 				 	  
	  
	 
									 Total Estimated Cost for CLIN 0003
												 	[***	] 
		  		  		  		  		  		  				 				 	  
	  
	 

 SECTION C - DESCRIPTION/SPECIFICATIONS/WORK STATEMENT, ARTICLE C.1. STATEMENT OF WORK, is hereby
modified as follows: 
 ARTICLE C.1. STATEMENT OF WORK 

Independently and not as an agent of the Government, the Contractor shall furnish all the necessary services, qualified personnel, material,
equipment, and facilities not otherwise provided by the Government as needed to perform the Statement of Work dated November 7, 2014, set forth in SECTION J-List of Attachments. 

SECTION F – DELIVERIES OR PERFORMANCE, ARTICLE F.1 PERIOD OF PERFORMANCE, paragraph a. is hereby modified to read as follows: 

  
 [***] 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. 
  

	 	a)	The period of performance of this contract, including options, shall be from July 30, 2010 through May 8, 2015. Specific periods of performance by option period of this contract are delineated in Section B of
this contract. 

 Under SECTION G – CONTRACT DATA ADMINISTRATION and in accordance with ARTICLE G.2. CONTRATING OFFICER, the
official Contract Specialist on record is changed from [*] to [*]. Any reference to the Contracting Specialist throughout the contract is to be updated accordingly. 

[*]. 
 Contract Specialist 

[*] 
 [*] 

Section J – List of Attachments 1.) STATEMENT OF WORK is hereby modified as follows: 

 

	 	1.	Statement of Work 

 [***] 

END OF MODIFICATION 10 TO HHSO100201000045C 

  
 [***] 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. 
  

 Statement of Work 

[***] 

  
 [***] 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. 

-15-

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