Document:

EX-10.11

 Exhibit 10.11 

EXECUTION COPY 
 CONTRIBUTION,
ASSIGNMENT AND ASSUMPTION AGREEMENT 
 by and among 

THE DOW CHEMICAL COMPANY, 

DOW GLOBAL TECHNOLOGIES INC. 

and 
 PFENEX INC.

 NOVEMBER 30, 2009 

 EXECUTION COPY 

CONTRIBUTION, ASSIGNMENT AND ASSUMPTION AGREEMENT 

THIS CONTRIBUTION, ASSIGNMENT AND ASSUMPTION AGREEMENT (this “Agreement”) is effective as of this 30th day of November
2009 (the “Effective Date”) by and among The Dow Chemical Company, a Delaware corporation (“TDCC”), Dow Global Technologies Inc., a Delaware corporation (“DGTI”) and Pfenex Inc., a Delaware
corporation (the “Company”). TDCC, DGTI and the Company are sometimes referred to herein individually as a “Party” and collectively as the “Parties.” TDCC and DGTI are sometimes referred to herein
as “Dow.” 
 RECITALS 

WHEREAS, the Company is a newly formed corporation, with no assets or liabilities as of the date hereof; 

WHEREAS, TDCC engages in the Business (as defined below), among other businesses, and owns certain of the Transferred Assets (as
defined below) relating to and used in the Business; 
 WHEREAS, DGTI owns certain intellectual property rights to the technologies
relating to and used in the Business; 
 WHEREAS, Dow desires to contribute, transfer and assign to the Company the Transferred
Assets, on the terms and conditions herein; and 
 WHEREAS, the Company desires to accept from Dow the Transferred Assets, on the
terms and conditions herein. 
 NOW, THEREFORE, in consideration of the foregoing recitals and the mutual covenants and promises
contained herein, the adequacy and sufficiency of which are hereby acknowledged, the Parties agree as follows: 
 ARTICLE 1 

DEFINITIONS 
 1.1
“Affiliate” means, with respect to any Person, any other Person that directly or indirectly controls or is controlled by or under common control with such Person. For the purposes of this definition, “control,” when used
with respect to any Person, means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of such Person, whether through the ownership of voting securities, by contract or otherwise; and the
terms of “affiliated,” “controlling” and “controlled” have meanings correlative to the foregoing. 
 1.2
“Books and Records” shall mean all papers and records (in any format including paper or electronic) kept or maintained including any and all laboratory notebooks, invention disclosures, purchasing and sales records, all data and
communications relating to ongoing business development activities, preclinical and clinical data, all Regulatory Documents, vendor lists, product documentation, product specifications, marketing documents and the like, in each case pertaining
solely to the Transferred Assets. 

 EXECUTION COPY 
  

1.3 “Business” shall mean the biopharmaceutical business and related activities conducted by TDCC and its Affiliates since
January 1, 2009, primarily at their base of operations in San Diego, California relating to the Pfenex Expression Technology and/or the VLP Technology. 

1.4 “CERCLA” means the federal Comprehensive Environmental Response, Compensation and Liability Act of 1980. 

1.5 “Code” shall mean the Internal Revenue Code of 1986, as amended. 

1.6 “Contract” shall mean a written or oral contract, agreement, instrument, other understanding or commitment. 

1.7 “Environmental Laws” means any Law relating to the environment, occupational health and safety, Materials of
Environmental Concern or natural resources including, without limitation, any Law pertaining to: (a) the presence of or the treatment, storage, disposal, generation, transportation, handling, distribution, manufacture, processing, use, import,
export, labeling, recycling, registration, investigation or remediation of Materials of Environmental Concern; (b) air, water and noise pollution; (c) groundwater and soil contamination; and (d) the release or threatened release into
the environment, the workplace or other areas of Materials of Environmental Concern, including emissions, discharges, injections, spills, escapes or dumping of Materials of Environmental Concern. As used above, the term “release” shall
have the meaning set forth in CERCLA. 
 1.8 “Governmental Authority” means any nation or government, any state or other
political subdivision thereof, any agency, authority, instrumentality, regulatory body, court, administrative tribunal, central bank or other entity exercising executive, legislative, judicial, taxing, regulatory or administrative powers or
functions of or pertaining to government. 
 1.9 “Knowledge” or “knowledge” of Dow means and includes the
actual knowledge of Pat Lucy, Dennis Merens, Charles Squires and Henry Talbot, and shall include all information each such person knows or should have known after due inquiry of those individuals that would reasonably be expected to have knowledge
of the matter in question. 
 1.10 “Law” means, collectively, all applicable international, foreign, federal, state,
county, regional and local statutes, treaties, rules, regulations, ordinances, codes, orders, decrees, judgments and administrative or judicial precedents or authorities, including the interpretation or administration thereof by any Governmental
Authority charged with the enforcement, interpretation or administration thereof, in each case having the force of law. 
 1.11
“Liability” or “Liabilities” shall mean liabilities of any kind or nature, primary or secondary, direct or indirect, absolute or contingent, known or unknown, including but not limited to any debts, commitments,
obligations, liabilities for claims in tort or contract (including unripened liabilities due to past actions or sales), and all costs and expenses (including reasonable attorneys’ fees), incurred in connection with the defense of any such
claims. 
 1.12 “Lien” means (a) any encumbrance, mortgage, pledge, lien, charge or other security interest of any
kind upon any property or assets of any character, or upon the income or profits therefrom; (b) any acquisition of or agreement to have an option to acquire any property 

  
 2 

 EXECUTION COPY 
  

or assets upon conditional sale or other title retention agreement, device or arrangement (including a capitalized lease); or (c) any sale, assignment, pledge or other transfer for security
of any accounts, general intangibles or chattel paper, with or without recourse. 
 1.13 “Material Adverse Effect on the
Business” means any change, effect or circumstance that is materially adverse to the Transferred Assets, financial condition or results of operations of the Business, taken as a whole. 

1.14 “Materials of Environmental Concern” means any: pollutants, contaminants or hazardous substances (as such terms are
defined under CERCLA), pesticides (as such term is defined under the Federal Insecticide, Fungicide and Rodenticide Act), solid wastes and hazardous wastes (as such terms are defined under the Resource Conservation and Recovery Act), chemicals,
other hazardous, radioactive or toxic materials, oil, petroleum and petroleum products (and fractions thereof), or any other material (or article containing such material) listed, subject to regulation or forming the basis of liability under any
Environmental Law (including, without limitation, asbestos in any form, urea formaldehyde, perchlorate or polychlorinated biphenyls). 

1.15 “Person” shall mean any individual, entity or Governmental Authority. 

1.16 “Permits” means all licenses, permits, registrations, consents, authorizations and other approvals from all Governmental
Authorities. 
 1.17 “Permitted Liens” means the Liens affecting the Transferred Assets listed on Schedule 1.17.

 1.18 “Pfenex Expression Technology” shall have the meaning ascribed to such term in the Technology Assignment Agreement.

 1.19 “Post-Closing Taxes” shall mean any and all Taxes relating to or arising from the Transferred Assets that
(i) are attributable to any taxable period (or any portion thereof) beginning on or after the Effective Date and the portion of any Tax period that includes, but does not begin on, the Effective Date beginning on and including the Effective
Date or (ii) are related to an event or transaction occurring on or after the Effective Date. 
 1.20 “Pre-Closing
Taxes” shall mean any and all Taxes relating to or arising from the Transferred Assets or the Company that (i) are attributable to any taxable period (or any portion thereof) ending on or prior to the Effective Date and the portion of
any Tax period that includes, but does not end on, the Effective Date ending on the Effective Date or (ii) are related to an event or transaction occurring prior to the Effective Date. 

1.21 “Proceeding” means any (a) action, suit, proceeding, claim or arbitration against or involving Dow’s operation
of the Business or the Business by or before any Governmental Authority or before any arbitrator; and (b) any investigation by a Governmental Authority of which Dow has Knowledge. 

1.22 “Regulatory Documents” shall mean any and all regulatory submissions (whether completed or in process) to any
Governmental Authority anywhere in the world submitted by or on behalf of Dow relating to the Business (including any product developed in 

  
 3 

 EXECUTION COPY 
  

connection therewith), including all annual reports, adverse event reports, and other adverse event submission tracking information, and amendments and supplements to any of the foregoing. 

1.23 “Sublease” shall mean the Sublease Agreement between TDCC and the Company, in the form attached hereto as Exhibit
A. 
 1.24 “Tax” (and, with correlative meaning, “Taxes”) shall mean (i) any federal, state,
local or foreign income, alternative or add on minimum income, ad valorem, business license, documentary, employment, environmental, excise, franchise, gains, gross income, gross receipts, license, occupation, payroll, personal property, premium,
profits, property transfer, real property, recording, sales, services, severance, social security, stamp, transfer, unemployment insurance, use, value added, windfall profit or withholding tax, custom, duty, levy or other governmental assessment,
charge or fee in the nature of a tax (whether payable directly or by withholding), (ii) any liability for Taxes of any Person under Treasury Regulations Section 1.1502-6 (or any similar provision of state, local or foreign law), as a
transferee or successor, by Contract or otherwise and (iii) any estimated Tax, interest, fines, penalties or additions to Tax with respect to amounts referred to in clauses (i) or (ii) hereof. 

1.25 “Tax Authority” shall mean any Governmental Authority responsible for the imposition, assessment or collection of any
Tax (domestic or foreign). 
 1.26 “Tax Returns” shall mean all reports, estimates, declarations of estimated Tax,
information statements and returns relating to Taxes and any schedules attached to or amendments of any of the foregoing. 
 1.27
“Transaction Agreements” means the Technology Assignment Agreement, the Technology Licensing Agreement, the Grant-Back License Agreement, the Sublease and the Transition Services Agreement. 

1.28 “Transition Services Agreement” shall mean the Transition Services Agreement between TDCC and the Company, in the form
attached hereto as Exhibit B. 
 1.29 “VLP Technology” shall have the meaning ascribed to such term in the
Technology Assignment Agreement. 
 ARTICLE 2 

CONTRIBUTION OF ASSETS 

Subject to the terms and conditions of this Agreement, Dow hereby contributes, transfers, assigns, conveys and delivers, as specified below,
to the Company, the assets described in Sections 2.1 through 2.5 of this Article 2 (collectively, the “Transferred Assets”), and the Company hereby acquires from Dow all the rights and assumes all
obligations and responsibilities associated therewith as stated in this Agreement. Notwithstanding any of the foregoing or Sections 2.1 through 2.5 below, those assets of Dow not specifically referenced in Sections 2.1 through
2.5 below shall remain the assets of Dow. 
 2.1 Intellectual Property Rights. Concurrent with the execution of this
Agreement, the Parties are entering into a Technology Assignment Agreement, in the form attached hereto as 

  
 4 

 EXECUTION COPY 
  

Exhibit C (the “Technology Assignment Agreement”), and a Technology Licensing Agreement, in the form attached hereto as Exhibit D (the “Technology Licensing
Agreement”), pursuant to which Dow is assigning and licensing to the Company certain intellectual property rights set forth therein. The Company and Dow are also entering into a Grant-Back and Technology License Agreement, in the form
attached hereto as Exhibit E (the “Grant-Back License Agreement”), pursuant to which Company is licensing to Dow certain intellectual property rights set forth therein. 

2.2 Fixed Assets. Dow hereby contributes, transfers, assigns, conveys and delivers to the Company, all of its rights, title and
interest in and to the fixed assets listed in Schedule 2.2 (the “Fixed Assets”). 
 2.3 Business Contracts.
Dow hereby assigns to the Company, and the Company hereby assumes, subject to Section 3.1, all rights and obligations of Dow under the Contracts listed in Schedule 2.3 (collectively, the “Business
Contracts”). 
 2.4 Books and Records. Dow hereby assigns to the Company the Books and Records that are used solely in the
Business and are in the care or custody of or owned or otherwise transferable by Dow as of the Effective Date (collectively, the “Transferred Books and Records”). 

2.5 Rights to Sue. Dow hereby assigns any and all right to recover past, present and future damages for the breach, infringement or
misappropriation, as the case may be, relating to, arising from, or in connection with, the Transferred Assets set forth in Section 2.1; except to the extent Dow may exercise such rights with respect to a counterclaim that can be made
against a party to whom Dow has an obligation for an Excluded Liability pursuant to the provisions set forth in Section 5.03 of the Grant Back License Agreement. 

2.6 Other Assets. Dow hereby contributes, transfers, assigns, conveys and delivers to the Company, all of its rights, title and
interest in and to all other assets and properties that are not expressly identified in Sections 2.1 to 2.5, other than the computers, telephones and any related or similar equipment, located at 5501 Oberlin Drive, San Diego,
California, 92121, and used in the Business as of the Effective Date (the “Other Assets”). 
 ARTICLE 3 

LIABILITIES 
 3.1
Assumed Liabilities. The Company hereby assumes and agrees to be solely liable for and obligated to discharge and/or perform all of the Liabilities of Dow with respect to the ownership, possession, operation and use of the Transferred Assets
to the extent arising on or after the Effective Date, including without limitation, any Post-Closing Taxes (collectively, the “Assumed Liabilities”). The Company shall not assume any Liabilities of Dow pursuant hereto, other than
the Assumed Liabilities. 
 3.2 Definition of Excluded Liabilities. Except for the Assumed Liabilities, the Company does not assume
and is not assuming, any debt, liability, duty or other obligation (of any kind) of Dow, whether known or unknown, fixed or contingent, and regardless of when such liabilities or obligations may arise or may have arisen or when asserted, including
any Pre-Closing Taxes which are outstanding or unpaid as of the Effective Date (collectively, the 

  
 5 

 EXECUTION COPY 
  

“Excluded Liabilities”), but excluding any (a) Transfer Taxes or (b) liabilities, or obligations related to the Transferred Assets which are typically assessed against
a purchaser of assets), and Dow shall remain responsible for the Excluded Liabilities. 
 ARTICLE 4 

CLOSING 
 4.1
Closing. The closing of the purchase and sale of the Transferred Assets and of the transactions contemplated by this Agreement (the “Closing”) shall be held at the Company’s offices at 5451 Oberlin Drive, San Diego,
California 92121, at 11:59 p.m. PST on November 30, 2009, or at such other time or place as may be agreed by the Parties (such date, the “Closing Date”). 

(a) At the Closing, the Company shall deliver, in each case to the extent applicable duly executed by the Company: 

(i) to each of TDCC and DGTI, 11,340,000 and 2,660,000 shares, respectively, of Series A-1 Participating Preferred Stock of the Company (the
“Shares”), as consideration in part for Dow’s contribution of Transferred Assets to the Company; 
 (ii) the
Technology Assignment Agreement; 
 (iii) the Technology Licensing Agreement; 

(iv) the Grant-Back License Agreement; 

(v) the Sublease; and 
 (vi)
the Transition Services Agreement. 
 (b) At the Closing, TDCC and DGTI shall deliver or cause to be delivered to the Company, in each case
to the extent applicable duly executed by the TDCC or DGTI, as applicable: 
 (i) the Technology Assignment Agreement; 

(ii) the Technology Licensing Agreement; 

(iii) the Grant-Back License Agreement; 

(iv) the Sublease; and 
 (v)
the Transition Services Agreement. 
 (c) At the Closing, title to the Transferred Assets shall be delivered to the Company free and clear
of all Liens, except for Permitted Liens. 
 4.2 Tax Treatment. Each of the Parties agrees that the transactions contemplated by this
Agreement shall be treated, pursuant to Section 351 of the Code, as a tax-free contribution of the Transferred Assets by Dow to the Company in exchange for the issuance of the Shares. None of the Parties shall take a position on any Tax Return
or attachment thereto, before any Tax 

  
 6 

 EXECUTION COPY 
  

Authority, in any judicial Proceeding, or for any other Tax purpose that is in any way inconsistent with such Tax treatment, unless specifically required to do so pursuant to a
“determination” within the meaning of Section 1313(a) of the Code or an analogous provision of Law. Each party has consulted with its own Tax counsel regarding the Tax consequences of the transactions contemplated by this Agreement
and no party makes any representations to any other party regarding such Tax consequences. The Shares issued pursuant to this Agreement will be the first issuance of capital stock of the Company. 

4.3 Transfer Taxes. The Company shall be responsible for and shall pay all sales, use, transfer, stamp duty, recording, value added,
and other similar Taxes, including all bulk sales taxes, in each case including interest, penalties or additions attributable thereto (the “Transfer Taxes”), arising out of or in connection with the transactions contemplated by this
Agreement. The Parties shall cooperate with each other in good faith in the preparation and filing of any Tax Returns relating to any Transfer Taxes. 

4.4 Assignability and Consents. Notwithstanding anything to the contrary contained in this Agreement, if the conveyance,
assignment, transfer or delivery or attempted conveyance, assignment, transfer or delivery to the Company of any Transferred Asset is (a) prohibited by any applicable law, or (b) would require any authorizations, approvals, consents or
waivers from a third party and such authorizations, approvals, consents or waivers have not been obtained prior to the Closing Date (each, a “Non-Assignable Asset”), in either case, the Closing shall proceed, but the Closing shall
not constitute the conveyance, assignment, transfer or delivery of such Non-Assignable Asset, and this Agreement shall not constitute a conveyance, assignment, transfer or delivery of such Non-Assignable Asset unless and until such authorization,
approval, consent or waiver is obtained. After the Closing, each of TDCC and DGTI, as the case may be, shall continue to use commercially reasonable efforts to obtain any such authorization, approval, consent or waiver as promptly as practicable for
the Non-Assignable Assets as set forth on Schedule 4.4.(a), except with respect to those Non-Assignable Assets the Parties have agreed would not be included in the Transferred Assets as set forth on Schedule 4.4(b). Once authorization,
approval or waiver of or consent for the conveyance, assignment, transfer or delivery of any such Non-Assignable Asset is obtained, each of TDCC and DGTI, as the case may be, shall convey, assign, transfer and deliver such Non-Assignable Asset to
the Company at no additional cost to the Company. Notwithstanding anything to the contrary contained in this Agreement, each of TDCC, DGTI and the Company, agree to cooperate to effect as close as possible, the rights, benefits and obligations of
any Business Contract that is a Non-Assignable Asset as if it were assigned at Closing, including, without limitation, the enforcement, for the benefit of the Company, of any and all rights of TDCC or DGTI, as the case may be, against such other
party thereto arising out of the contract, or cancellation thereof, by such other party or otherwise. To the extent that such Business Contract has to be modified, amended or terminated in order to facilitate the assignment or transfer of the
Business to the Company, each of TDCC, DGTI and the Company, agree to take such actions and execute such documents as may reasonably be requested in writing to effect the same. 

4.5 Taking of Necessary Action; Further Action. From time to time after the Closing Date or the Closing, at the request of either
Party, the Parties hereto shall execute and deliver such other instruments of sale, transfer, conveyance, assignment and confirmation and take such action as may be reasonably necessary to transfer, convey and assign to the Company, and to

  
 7 

 EXECUTION COPY 
  

confirm the Company’s title to or interest in the Transferred Assets, to put the Company in actual possession and operating control thereof and to assist the Company in exercising all rights
with respect thereto. In addition, if, following the transfer of the Transferred Assets, the Company identifies specific items within the Transferred Assets that were not transferred to the Company, TDCC and/or DGTI, as applicable, shall use all
reasonable efforts to transfer such items to the Company. 
 Notwithstanding any provision herein, Sections 4.4 and 4.5 shall continue in full force and
effect after the Closing until their expiration in accordance with Section 7.1. 
 ARTICLE 5 

REPRESENTATIONS AND WARRANTIES OF DOW 

Except as set forth in the disclosure schedule attached hereto prepared by Dow (the “Disclosure Schedule”), Dow represents
and warrants to the Company, as follows: 
 5.1 Organization. Each of TDCC and DGTI is a corporation duly organized, validly existing
and in good standing under the laws of the State of Delaware. Each of TDCC and DGTI has all requisite organizational power and authority to carry on the Business and to own and use the properties owned and used by them in the Business, including the
Transferred Assets. 
 5.2 Authorization. Each of TDCC and DGTI has all requisite power and authority to execute and deliver this
Agreement and the Transaction Agreements and to perform its obligations hereunder and thereunder. The execution and delivery by each of TDCC and DGTI of this Agreement and the Transaction Agreements and the consummation by each of TDCC and DGTI of
the transactions contemplated hereby and thereby have been duly and validly authorized by all necessary corporate action on the part of TDCC and DGTI. This Agreement and the Transaction Agreements have been duly and validly executed and delivered by
each of TDCC and DGTI and (assuming due authorization, execution and delivery by the Company) constitute valid and binding obligations of each of TDCC and DGTI, enforceable against TDCC and DGTI in accordance with their terms, subject to bankruptcy,
insolvency and similar laws affecting the rights of creditors generally and subject to rules of law governing specific performance, injunctive relief and other equitable remedies. 

5.3 Governmental Authorization. The execution and delivery of this Agreement and the other Transaction Documents by TDCC and DGTI and
the consummation of the transactions contemplated hereby and thereby, do not require any consent or approval of, or any notice to or other filing with, any Governmental Authority, except for consents, approvals, notices and filings required to
reflect a change in ownership of the patents or other consents, approvals, notices, and filings the failure of which to be obtained or made would not, individually or in the aggregate, have a Material Adverse Effect on the Business. 

5.4 Assets. Each of TDCC and DGTI has good and valid title to all of the Fixed Assets, the Transferred Books and Records and the Other
Assets free and clear of all Liens. The Transferred Assets owned by the Company immediately following the Closing and the rights possessed by the Company immediately following the Closing (including the rights acquired by the Company under the
Business Contracts) include all assets and rights of TDCC and DGTI and their respective Affiliates that: (i) are used or held for use by TDCC and DGTI and their 

  
 8 

 EXECUTION COPY 
  

respective Affiliates primarily in the operation or conduct of the Business, or (ii) are necessary for, or would otherwise be infringed by, the operation or conduct the Business by the
Company in substantially the same manner as currently conducted, and such assets and rights are sufficient for the conduct of the Business by the Company in substantially the same manner as currently conducted by TDCC and DGTI, as applicable. 

5.5 Business Contracts. The Business Contracts listed on Schedule 2.3 are all of the Contracts between TDCC or DGTI, as the
case may be, and any third party necessary for the operation of the Business, and true and complete copies of all such Business Contracts have been delivered to or are in the possession of the Company. Each Business Contract is, as of the date
hereof, legal, valid, binding and enforceable against TDCC or DGTI, as applicable, and in full force and effect, subject to bankruptcy, insolvency and similar laws affecting the rights of creditors generally and subject to rules of law governing
specific performance, injunctive relief and other equitable remedies, and neither TDCC nor DGTI is subject to any material default thereunder, nor is any party obligated to TDCC or DGTI pursuant to any such Business Contract subject to any default
thereunder. Neither TDCC nor DGTI has neither breached, violated or defaulted under, nor received notice that TDCC or DGTI has breached, violated or defaulted under, any of the terms or conditions of any Business Contract. Subject to
Section 4.4, each of TDCC and DGTI has obtained all necessary consents, waivers and approvals of parties to any Business Contract as are required thereunder in connection with the Closing, or for any such Business Contract to be
transferred to the Company, and to remain in full force and effect without limitation, modification or alteration after the Closing. Following the Closing, the Company will be permitted to exercise all of the rights TDCC or DGTI, as the case may be,
had under the Business Contracts without the payment of any additional amounts or consideration other than ongoing fees, royalties or payments which TDCC or DGTI would otherwise be required to pay pursuant to the terms of such Business Contracts had
the transactions contemplated by this Agreement not occurred. 
 5.6 Transferred Books and Records. The Transferred Books and Records
are those related to, used in, or necessary for the operation of the Business. 
 5.7 Permits. TDCC (a) owns, holds or possesses
all permits, licenses, franchises or authorizations required by any Governmental Authority for the conduct or operations of the Business (collectively, the “Permits”), and (b) is not in violation of, or default under, any such
Permits, except in each case as would not reasonably be expected to have a Material Adverse Effect on the Business. 
 5.8 Compliance
with Laws. To the knowledge of TDCC, TDCC has conducted the operations of the Business in compliance with applicable law, except for any violations or defaults that have not had and would not reasonably be expected to have a Material Adverse
Effect on the Business. 
 5.9 Purchase Entirely for Own Account. This Agreement is made with Dow in reliance upon Dow’s
representations to the Company, which by Dow’s execution of this Agreement, Dow hereby confirms that the Shares will be acquired for investment for Dow’s own account, not as a nominee or agent, and not with a view to the resale or
distribution of any part thereof, and that Dow has no present intention of selling, granting any participation in, or otherwise distributing the same. By executing this Agreement, Dow further represents that Dow

  
 9 

 EXECUTION COPY 
  

does not have any contract, undertaking, agreement or arrangement with any Person to sell, transfer or grant participations to such Person or to any third Person, with respect to any of the
Shares. 
 5.10 Brokers. Neither Dow nor any of its respective officers, directors, employees or consultants has employed any broker
or finder or incurred any Liability for any brokerage fees, commissions or finder’s fees in connection with the transactions contemplated by this Agreement. 

5.11 Private Placement. Dow understands that the Shares have not been registered under the Securities Act of 1933, as amended (the
“Securities Act”) or registered or qualified under any state securities Laws on the grounds that such Shares are being issued in a transaction exempt from the registration requirements of the Securities Act and the registration or
qualification requirement of applicable state securities Laws, and that the Shares must be held indefinitely unless Shares are subsequently registered under the Securities Act and qualified or registered under applicable state securities Laws or an
exemption from registration and qualification is available, and that, except as otherwise provided in the Transaction Documents, the Company is under no obligation to register or qualify the Shares. Dow shall hold harmless the Company and its
directors, officers, employees and agents against any loss or Liability from any disposition of Shares by it in violation of this Section 5.11. 

5.12 Accredited Investor. Dow is an “accredited investor” within the meaning of Rule 501 of Regulation D promulgated under
the Securities Act and has such knowledge and experience in financial and business matters that it is capable of evaluating the merits and risks of the investment to be made hereunder by it and it is able to bear the economic risk of its investment.

 5.13 Legends. Dow understands that the Shares and any securities issued in respect of or exchange for the Shares, may bear one or
all of the following legends, in substantially the following form: 
 (a) “THE SHARES REPRESENTED BY THIS CERTIFICATE HAVE NOT BEEN
REGISTERED UNDER THE SECURITIES ACT OF 1933, AND HAVE BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF. NO SUCH TRANSFER MAY BE EFFECTED WITHOUT AN EFFECTIVE REGISTRATION STATEMENT RELATED
THERETO OR AN OPINION OF COUNSEL IN A FORM SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED UNDER THE SECURITIES ACT OF 1933.” 

(b) Any legend set forth in, or required by, the other Transaction Agreements. 

(c) Any legend required by the securities or corporate laws of any state to the extent such laws are applicable to the Shares represented by
the certificate so legended. 
 5.14 Reliance. Dow understands and acknowledges that (a) the Shares to be acquired by it
hereunder are being offered and sold to it without registration under the Securities Act in a private placement that is exempt from the registration provisions of the Securities Act; and (b)

  
 10 

 EXECUTION COPY 
  

the availability of such exemption depends in part on, and the Company will rely upon the accuracy and truthfulness of, the foregoing representations, and Dow hereby consents to such reliance

 ARTICLE 6 

REPRESENTATIONS AND WARRANTIES OF THE COMPANY 

The Company hereby represents and warrants to TDCC and DGTI, as follows: 

6.1 Organization. The Company is a corporation duly organized, validly existing and in good standing under the laws of the State of
Delaware. 
 6.2 Authorization. The Company has all requisite power and authority to execute and deliver this Agreement and the
Transaction Agreements and to perform its obligations hereunder and thereunder. The execution and delivery by the Company of this Agreement and the Transaction Agreements and the consummation by the Company of the transactions contemplated hereby
and thereby have been duly and validly authorized by all necessary corporate action on the part of the Company. This Agreement and the Transaction Agreements have been duly and validly executed and delivered by the Company and (assuming due
authorization, execution and delivery by TDCC and DGTI) constitute valid and binding obligations of the Company, enforceable against the Company in accordance with their terms, subject to bankruptcy, insolvency and similar laws affecting the rights
of creditors generally and subject to rules of law governing specific performance, injunctive relief and other equitable remedies. 
 6.3
Offering. Subject in part to the truth and accuracy of Dow’s representations set forth in Article 5 of this Agreement, the offer, sale and issuance of the Shares as contemplated by this Agreement are exempt from the registration
requirements of the Securities Act and state securities and “blue sky” laws, and neither the Company nor any authorized agent acting on its behalf will take any action hereafter that would cause the loss of such exemption. 

6.4 Valid Issuance of Shares. The Shares that are being purchased by Dow hereunder, when issued, sold and delivered in accordance with
the terms of this Agreement and in accordance with their respective terms for the consideration expressed herein and therein, will be duly and validly issued, outstanding, fully paid, and nonassessable, and will be free of restrictions on transfer
other than restrictions on transfer under this Agreement and under applicable Laws. 
 6.5 Brokers and Finders. Neither the Company
nor any of its officers, directors, employees or consultants has employed any broker or finder or incurred any Liability for any brokerage fees, commissions or finder’s fees in connection with the transactions contemplated by this Agreement.

  
 11 

 EXECUTION COPY 
  

ARTICLE 7 
 SURVIVAL

 7.1 Investigations; Survival. The representations and warranties of Dow, on the one hand, and the Company, on the other
hand, contained herein or in any certificates or other documents delivered prior to or at the Closing shall not be deemed waived or otherwise affected by any investigation made by any party hereto. The representations and warranties herein and the
covenants set forth in Sections 4.4 and 4.5 shall survive the Closing until 5:30 pm PST on December 31, 2010. 

ARTICLE 8 

MISCELLANEOUS 
 8.1
Amendments and Waivers. This Agreement may not be amended, supplemented or modified, except by an agreement in writing signed by each of the Parties. Any Party may waive compliance by any of the other Parties with any term or provision of
this Agreement; provided that such waiver shall not operate as a waiver of, or estoppel with respect to, any other or subsequent failure. No waiver shall be effective unless it is in writing and is signed by the Party asserted to have granted such
waiver. 
 8.2 Governing Law. This Agreement is to be construed in accordance with and governed by the internal laws of the State of
Michigan, without giving effect to any choice of law rule that would cause the application of the laws of any jurisdiction other than the internal laws of the State of Michigan to the rights and duties of the Parties. 

8.3 Exhibits and Schedules. All exhibits and schedules attached hereto are hereby incorporated by reference into, and made a part of,
this Agreement. 
 8.4 No Third-Party Beneficiaries. The terms and provisions of this Agreement are intended solely for the benefit
of each Party hereto and their respective successors and permitted assigns and the Parties do not intend to confer third-party beneficiary rights upon any other Person. 

8.5 Counterparts. This Agreement may be executed (including, without limitation, by facsimile signature or other electronic formats) in
one or more counterparts, with the same effect as if the Parties had signed the same document. Each counterpart so executed shall be deemed to be an original, and all such counterparts shall be construed together and shall constitute one agreement.

 8.6 Severability. If any provision of this Agreement, or the application of any such provision to any Person or set of
circumstances, shall be determined to be invalid, unlawful, void or unenforceable to any extent, the remainder of this Agreement, and the application of such provision to Persons or circumstances other than those as to which it is determined to be
invalid, unlawful, void or unenforceable, shall not be impaired or otherwise affected and shall continue to be valid and enforceable to the fullest extent permitted by law. 

  
 12 

 EXECUTION COPY 
  

8.7 Notices. All notices, requests, demands and other communication required or permitted to be given hereunder shall be in writing and
shall be deemed to have been duly given when received if delivered personally or mailed first class, postage prepaid, registered or certified mail, delivery by a courier service, or sent by facsimile or electronic mail as follows: 

If to TDCC or DGTI: 
 The Dow
Chemical Company 
 2030 Dow Center 

Midland, Michigan 48674 

Attention: Corporate Venture Capital 

Fax: 317-337-4847 
 Email:
SAARNOSKY@dow.com 
 With a copy to: 

Paul, Hastings, Janofsky & Walker LLP 

515 South Flower Street 
 Los
Angeles, California 90071 
 Attention: Robert R. Carlson 

Fax No.: (213) 996-3220 

Email: robcarlson@paulhastings.com 

If to Company: 
 Pfenex Inc.

 5501 Oberlin Drive 
 San
Diego, California 92121 
 Attention: Chief Executive Officer 

Fax: 858-352-4602 
 Email:
[To be designated by written notice to Dow] 
 With a copy to: 

Wilson Sonsini Goodrich & Rosati, P.C. 

701 Fifth Avenue, Suite 5100 

Seattle, Washington 98104 

Attention: Effie Toshav 
 Fax
No.: (206) 883-2699 
 Email: etoshav@wsgr.com 

8.8 Entire Agreement. This Agreement contains the entire understanding among the Parties with respect to the subject matter hereof and
supersedes all prior and contemporaneous agreements and understandings, inducements or conditions, express or implied, oral or written, be the several, complete and exclusive embodiment of their agreement, and that any evidence, oral or written, of
a prior or contemporaneous agreement that alters or modifies this Agreement shall not be admissible in any Proceeding concerning this Agreement. The express terms hereof control and supersede any course of performance and/or usage of the trade
inconsistent with any of the terms hereof. 

  
 13 

 EXECUTION COPY 
  

8.9 Interpretation. Unless otherwise indicated herein, with respect to any reference made in this Agreement to a section (or article,
subsection, paragraph, subparagraph or clause) or exhibit, such reference shall be to a section (or article, subsection, paragraph, subparagraph or clause) of, or an exhibit or schedule to, this Agreement. The article, section, subsection, paragraph
or subparagraph headings contained in this Agreement and the recitals at the beginning of this Agreement are for reference purposes only and shall not affect in any way the meaning or interpretation of this Agreement. Whenever the words
“include,” “includes” or “including” are used in this Agreement, they shall be deemed, as the context indicates, to be followed by the words “but without limitation.” Words used herein, regardless of the
number and gender specifically used, shall be deemed and construed to include any other number, singular or plural, and any other gender, masculine, feminine or neuter, as the context indicates is appropriate. Where specific language is used to
clarify or illustrate by example a general statement contained herein, such specific language shall not be deemed to modify, limit or restrict the construction of the general statement which is being clarified or illustrated. 

8.10 Construction. The construction of this Agreement shall not take into consideration the Party who drafted or whose representative
drafted any portion of this Agreement, and no canon of construction shall be applied that resolves ambiguities against the drafter of a document. 

8.11 Jurisdiction; Service of Process. Each of the Parties (a) submits to the jurisdiction of any state or federal court sitting
in New York in any action or proceeding arising out of or relating to this Agreement; (b) agrees that all claims in respect of such action or proceeding may be heard and determined in any such court; (c) waives any claim of inconvenient
forum or other challenge to venue in such court; (d) agrees not to bring any action or proceeding arising out of or relating to this Agreement in any other court; and (e) waives any right it may have to a trial by jury with respect to any
action or proceeding arising out of or relating to this Agreement. Each party agrees to accept service of any summons, complaint or other initial pleading made in the manner provided for the giving of notices in Section 8.7, provided
that nothing in this Section 8.11 shall affect the right of a Party to serve such summons, complaint or other initial pleading in any other manner permitted by law. 

8.12 Provisional Relief; Specific Performance. The Parties agree that irreparable damage would occur in the event that any of the
provisions of this Agreement are not performed in accordance with their specific terms or were otherwise breached. Accordingly, it is agreed that the Parties shall be entitled to seek an injunction or injunctions to prevent breaches of this
Agreement and to enforce specifically the terms and provisions of this Agreement in any state or federal court of the State of New York, in addition to any other remedy to which they are entitled at law or in equity. 

8.13 Recovery of Fees by Prevailing Party. If any legal action, including, without limitation, an action for arbitration or injunctive
relief, is brought relating to this Agreement or the breach or alleged breach hereof, the prevailing Party in any final judgment or arbitration award, or the non-dismissing Party in the event of a voluntary dismissal by the Party instituting the
action, shall be entitled to the full amount of all reasonable expenses, including all court costs, arbitration fees and actual attorneys’ fees paid or incurred in good faith. 

  
 14 

 EXECUTION COPY 
  

8.14 Further Assurances. The Parties agree (a) to furnish upon request to each other such further information, (b) to execute
and deliver to each other such other documents, and (c) to do such other acts and things, all as the other Party may reasonably request for the purpose of carrying out the intent of this Agreement and the documents referred to in this
Agreement. 
 [Signature Page Follows] 

  
 15 

 IN WITNESS WHEREOF, each of the Parties has caused this Contribution, Assignment and Assumption
Agreement to be executed on its behalf by their respective officers thereunto duly authorized all as of the Effective Date. 
  

			
	THE DOW CHEMICAL COMPANY
		
	By:	 	 /s/ Fernando Ruiz

		
	Name:	 	 Fernando Ruiz

		
	Title:	 	 Corp Vice President & Treasurer

	
	DOW GLOBAL TECHNOLOGIES INC.
		
	By:	 	 /s/ Mark A. Whiteman

		
	Name:	 	 Mark A. Whiteman

		
	Title:	 	 President

	
	PFENEX INC.
		
	By:	 	 /s/ Albert Hansen

		
	Name:	 	 Albert Hansen

		
	Title:	 	 President

 [Signature Page to Contribution, Assignment and Assumption Agreement] 

 Exhibit A 

SUBLEASE 
 THIS SUBLEASE
(“Sublease”) is entered into as of November 30, 2009, by and between THE DOW CHEMICAL COMPANY, a Delaware corporation (“Sublessor”), and PFENEX INC., a Delaware corporation (“Sublessee”). 

RECITALS 
 A. Pursuant to that
certain Lease dated as of December 20, 2007, by and between Sublessor and ECI TWO OBERLIN LLC, a Delaware limited liability company (“Master Lessor”) (collectively and as amended or renewed from time to time, the
“Master Lease”), Sublessor leased from Master Lessor certain premises (as set forth more particularly in the Master Lease, the “Final Premises”) located in a project located in San Diego, California (as set forth in
the Master Lease, the “Project”). As of the date hereof, the Final Premises is comprised of the Building A Premises (as defined in the Master Lease) and the Building C Premises (as defined in the Master Lease). 

B. Sublessor desires to sublease to Sublessee, and Sublessee desires to sublease from Sublessor, the entire Final Premises as shown on
Exhibit “A” attached hereto (the “Subleased Premises”) and all improvements and fixtures located thereon, upon the terms and conditions set forth herein. 

C. Capitalized terms used herein but not otherwise defined herein shall have the meanings set forth in the Master Lease. 

NOW, THEREFORE, in consideration of the foregoing recitals and of the mutual promises and covenants contained herein, the receipt and
sufficiency of which are hereby acknowledged, the parties hereto hereby agree as follows: 
 1. Subleased Premises. Subject to
all of the terms and conditions set forth herein, Sublessor hereby subleases to Sublessee, and Sublessee hereby subleases from Sublessor the Subleased Premises. Sublessor and Sublessee acknowledge and agree that there are 27,292 Rentable Square Feet
in the Building A Premises and 4,768 Rentable Square Feet in the Building C Premises and Sublessee shall have no right to remeasure or otherwise contest the Rentable Square Feet in either space for any purpose. 

2. Term. 
 2.1
Initial Term. The term of this Sublease (“Sublease Term”) shall commence on the later of (a) December 1, 2009, and (b) the closing of the transaction transferring certain assets of Sublessor to Sublessee
(the “Commencement Date”) and shall expire on March 15, 2011 unless sooner terminated pursuant to any provision hereof. 

2.2 Automatic Termination. This Sublease shall terminate automatically upon any expiration or earlier termination of the Master
Lease and Sublessor shall not be liable to Sublessee by reason thereof. 
 3. Condition of Subleased Premises; Improvements.
Sublessee acknowledges that it has inspected the Subleased Premises and agrees to accept the same in an “AS-IS”, “WHERE-IS” condition, without any representation or warranty, express or implied, being made by
Sublessor. Sublessee further accepts the Subleased Premises subject to all applicable zoning, municipal, county and state laws, 

  
 -2- 

 
ordinances, and regulations governing and regulating the use of the Subleased Premises. Sublessee acknowledges that neither Sublessor nor Sublessor’s agents have made any representation or
warranty as to the suitability or fitness of the Subleased Premises for the conduct of Sublessee’s use, the physical condition or the fitness for any particular purpose of all or any part of the Subleased Premises as an inducement to Sublessee
to enter into this Sublease or for any other purpose. Sublessor shall have no obligation to make any alterations or improvements in the Subleased Premises or to provide any allowance therefor. 

4. Rent. 
 4.1
Monthly Base Rent. Commencing on the Commencement Date and continuing throughout the Sublease Term, Sublessee shall pay to Sublessor Monthly Base Rent for the Subleased Premises equal to Forty Thousand Seventy-Five and 00/100 Dollars
($40,075.00) (based on $1.25 per Rentable Square Foot in the Subleased Premises). Sublessee shall, concurrently with execution hereof, pay Sublessor its first monthly installment of Monthly Base Rent. 

4.2 Additional Rent; Building Costs; Property Taxes. Commencing on the Commencement Date, Sublessee shall be obligated to pay
all additional rent (as described in Section 5(b) of the Master Lease) payable by Sublessor under the Master Lease, including, without limitation, all Operating Expense payments due and payable under the Master Lease (“Additional
Rent”). In addition to the Monthly Base Rent and Additional Rent which are expressly provided for above, Sublessee shall be responsible throughout the Sublease Term for all other payments or charges arising or accruing under the Master
Lease during the Sublease Term including, without limitation, the following: (a) any charges relating to any special privilege or services provided to Sublessee (or its subtenants, assignees or anyone claiming by, through or under Sublessee)
such as HVAC and freight elevator service for which Sublessor is separately charged by Master Lessor; (b) any indemnity payments relating to the Subleased Premises not attributable to any act of Sublessor; (c) any claims for damages or
other losses resulting from a casualty to the Subleased Premises; (d) any claims by Master Lessor for reimbursement resulting from Master Lessor’s exercise of self help remedies in the Subleased Premises, and (e) any utility charges
due and payable under the Master Lease (collectively, items (a) through (e) shall be included in the definition of Additional Rent). 

4.3 Payment of Rent. Monthly Base Rent shall be paid in advance on the first day of each calendar month, at such address as
Sublessor shall, from time to time, specify in writing. If the date of termination of this Sublease is not the last day of a calendar month, then rent for the last month of this Sublease shall be prorated. All Additional Rent shall be paid to
Sublessor within five (5) days of demand and before it becomes delinquent under the Master Lease. Monthly Base Rent, Additional Rent and all other amounts due under this Sublease shall be deemed to be rent (“Rent”). Except as
otherwise expressly provided under this Sublease, all Rent shall be paid by Sublessee without notice, demand, deduction, offset or abatement in lawful money of the United States. 

5. Use of the Subleased Premises. 

5.1 Permitted Use. The Subleased Premises shall be used and occupied only for the uses set forth in Section 7(a) of the
Master Lease, and for no other purpose. 
 5.2 Alterations; Compliance with Law. Sublessee shall not be permitted to make
alterations to the Subleased Premises without the prior written consent of Sublessor which consent shall not be unreasonably withheld or delayed (and otherwise in compliance with and to the extent allowed under the Master Lease). Sublessee shall, at
its sole expense, comply promptly with all applicable statutes, ordinances, rules, regulations, orders, restrictions of record, and requirements in effect during the term hereof (or any part of such term) regulating its use of the Subleased
Premises. 

  
 -3- 

 5.3 Maintenance of Subleased Premises. Sublessee agrees that it shall use and
maintain the Subleased Premises in a first class condition and otherwise as required by the Master Lease. 
 5.4 Surrender.
Upon the expiration or termination of this Sublease, Sublessee shall return the Subleased Premises in the same condition (reasonable wear and tear excepted) and in the same configuration as of the date hereof (including any renovations thereto,
which shall become part of the Subleased Premises), unless otherwise required by Sublessor or the Master Lessor. 
 6. Building
Services. Sublessor shall have no obligation during the Sublease Term (whether under the Master Lease or otherwise) to render any services to the Premises or to expend any money for the repair of or perform any obligation for Sublessee in,
to or with respect to the Subleased Premises of any nature whatsoever. Sublessor specifically is not responsible for providing security to the Subleased Premises and shall have no liability whatsoever to Sublessee for loss, damage or theft of or to
Sublessee’s property. 
 7. Master Lease. 

7.1 Sublessor’s Compliance with Master Lease. Sublessee expressly agrees that Sublessor shall not be obligated to perform,
and shall not be liable or responsible for the performance by or failure of performance of Master Lessor, of any of the obligations of Master Lessor under the Master Lease and Sublessee shall have no claim against Sublessor for any default of Master
Lessor. Sublessee further agrees that Sublessor shall not be obligated to perform any of the obligations of Sublessor as tenant under the Master Lease and Sublessee shall have no claim against Sublessor for any such non-performance, including,
without limitation, any termination or forfeiture of the Master Lease caused by Sublessor. 
 7.2 Application of Terms of Master
Lease. The terms, conditions and respective obligations of Sublessor and Sublessee to each other with respect to the Subleased Premises under this Sublease shall be the terms and conditions of the Master Lease (which are incorporated herein
by reference), except for those provisions of the Master Lease which are directly contradicted by this Sublease (e.g., Sections 1(i), 1(k), and 3 of the Master Lease), in which event the terms of this Sublease shall control over the Master Lease.
Therefore, for the purposes of this Sublease and with respect to the Subleased Premises only, wherever in the Master Lease the word “Landlord” is used it shall be deemed to mean Sublessor herein and wherever in the Master Lease the word
“Tenant” is used it shall be deemed to mean Sublessee herein; provided, however, Sublessor does not assume and shall not otherwise be liable for the obligations of the Master Lessor under the Master Lease. Sublessee hereby waives any cause
of action and any right to bring any action against Sublessor by reason of any act or omission of Master Lessor under the Master Lease. Any condition resulting from a default by Master Lessor shall not constitute as between Sublessor and Sublessee
an eviction, actual or constructive, of Sublessee and no such default shall excuse Sublessee from the performance or observance of any of its obligation under this Sublease or entitle Sublessee to any rental abatement hereunder. 

7.3 Subordinate to Master Lease. This Sublease is and shall be at all times subject and subordinate to the Master Lease.
Sublessee acknowledges that this Sublease is subject and subordinate to the Master Lease and that this Sublease shall be subject and subordinate to all agreements which have recorded or statutory priority over this Sublease or the Master Lease.
Notwithstanding any provision of this Lease to the contrary, the expiration or termination of this Sublease and/or the Master Lease and/or the termination of Sublessee’s rights to possession of the Subleased Premises shall not discharge,
relieve or release Sublessee from any obligation or liability whatsoever under any indemnity provision of this Sublease. 

  
 -4- 

 7.4 No Greater Rights. Any obligation of Sublessor which is contained in this
Sublease by the incorporation by reference of the provisions of the Master Lease may be observed or performed by Sublessor using reasonable efforts to cause the Master Lessor under the Master Lease to observe and/or perform the same, and Sublessor
shall have a reasonable time to enforce its rights to cause such observance or performance. Sublessee shall not in any event have any rights in respect of the Subleased Premises greater than Sublessor’s rights under the Master Lease. 

7.5 Sublessee Not to Breach. Sublessee shall not do or permit to be done any act or thing which may constitute a breach or
violation of any term, covenant or condition of the Master Lease by the tenant thereunder, whether or not such act or thing is permitted under the provisions of this Sublease. 

7.6 Insurance Required Under Master Lease. Sublessee shall be responsible, at its own cost and expense, for obtaining and
maintaining relative to the Subleased Premises, all that insurance (including coverage for possessions and general liability) as is required by the Master Lease to be carried by the “Tenant” thereunder. Sublessee’s insurance shall be
issued by an insurance company or companies approved by Sublessor and the Master Lessor, and shall be written on such forms with such exclusions and deductible amounts as Sublessor shall approve. The policy or policies shall name Sublessor and
Master Lessor as additional insureds and shall include thirty (30) days’ advance written notice to Sublessor prior to the cancellation or material reduction in coverage of such insurance policies. 

8. Signage. Sublessee shall not cause, suffer or permit any person to display any signs or notices at the Subleased Premises
without the prior written consent of Master Lessor and Sublessor. All signage shall be at Sublessee’s sole cost and expense. 
 9.
Brokerage. Each party represents and warrants to the other that no broker or finder has been engaged by it, respectively, in connection with any of the transactions contemplated by this Sublease or to its knowledge is in any way
connected with any of such transactions. In the event of a claim for broker’s or finder’s fee or commissions in connection herewith, Sublessor shall indemnify, protect, defend and hold Sublessee harmless from and against the same if it
shall be based upon any statement or agreement alleged to have been made by Sublessor, and Sublessee shall indemnify, protect, defend and hold Sublessor harmless from and against the same if it shall be based upon any statement or agreement alleged
to have been made by Sublessee. The parties’ respective indemnification obligations under this paragraph shall survive the termination or expiration of this Sublease. 

10. Indemnification 

10.1 In General. Sublessee hereby agrees to indemnify, defend, protect and hold Sublessor, its affiliates, employees, officers,
directors, agents and representatives, and the Master Lessor and each of their respective successors and assigns, harmless from and against any and all losses, liabilities, costs (including costs of cure, remedy or settlement made by Sublessor),
damages, demands, and expenses (including costs of investigation, defense and reasonable attorneys’ fees, whether or not litigation, arbitration or mediation is actually instigated or commenced) from the payment of, or the obligation to pay,
any and all sums of money due or demanded by any person or entity whatsoever on account of any and all claims, demands, suits, actions, liens, settlements, judgments, garnishments or attachments (collectively, “Losses”), arising out
of or in connection with (a) the acts, omissions or negligence of Sublessee or its employees, agents, contractors and invitees; (b) the breach of the Master Lease by Sublessee and/or default by Sublessee in the observance of its terms,
covenants or conditions and any cure undertaken by Sublessor with respect thereto; (c) the breach of this Sublease by Sublessee and any default in the observance of its terms, covenants or conditions; (d) the use of the Premises or
Subleased Premises by Sublessee or its employees, agents, contractors and invitees or any person claiming by, through or under Sublessee; (e) any injury or death of any person (including, without limitation, any employee of Sublessor or any
damage to or destruction of any property of any person (including, without 

  
 -5- 

 
limitation, any employee of Sublessor occurring on or about the Premises); or (f) any and all actions, suits, proceedings, claims and demands taken or made in enforcing this indemnity. The
provisions of this Section 10 shall survive the expiration or earlier termination of this Sublease. Sublessor shall not be liable for and Sublessee hereby waives all claims against Sublessor for any damage to any property or injury, illness or
death of any person in, upon, or about the Premises arising at any time and from any cause whatsoever. 
 10.2 Defense by
Sublessee. In connection with any claim giving rise to indemnity hereunder resulting from or arising out of any claim or legal proceeding by any third party, Sublessee, at its sole cost and expense, shall assume the defense of any such claim
or legal proceeding using counsel of Sublessor’s choice. Sublessor shall be entitled to participate in the defense of any such action, with its counsel and at its own expense; provided, however, that if Sublessor, in its reasonable discretion,
determines that there exists a conflict of interest between the Sublessee (or any constituent party thereof) and Sublessor, Sublessor shall have the right to engage separate counsel, the actual costs and expenses of which shall be paid by Sublessee.

 11. Default. In the event of a default by Sublessee under this Sublease which continues after the giving of any notice and
the expiration of any cure period provided for a like default under the Master Lease, Sublessor shall have available to it under this Sublease all remedies which are available to Master Lessor under the Master Lease, including the imposition of late
charges and interest on delinquent payments. 
 12. Assignment/Subletting. Sublessee’s rights to assign, sublease,
pledge, encumber, hypothecate or otherwise transfer (each, a “Transfer”) all or any part of Sublessee’s interest in this Sublease, or permit the Subleased Premises to be occupied by anyone other than Sublessee, shall be in
accordance with and subject to all provision of Section 23 of the Master Lease. Additionally, any Transfer sought by Sublessee shall be subject to Sublessor’s prior written consent, which consent shall not be unreasonably withheld within
the purview, context and general criteria of said Section 23. 
 13. Miscellaneous Provisions. 

13.1 Entire Agreement. This Sublease, together with the Exhibits hereto (which are incorporated herein by this reference),
constitutes the entire agreement between the parties hereto with respect to the subject matter hereof, and supersedes all prior agreements between the parties hereto with respect thereto. No claim of waiver, modification, consent or acquiescence
with respect to any of the provisions of this Sublease shall be made against either party, except on the basis of a written instrument executed by or on behalf of such party. 

13.2 Governing Law and Venue. This Sublease is to be governed by and construed in accordance with the laws of the State in which
the Building is located. 
 13.3 Attorneys’ Fees. If any or all of Sublessor, Sublessee, or Master Lessor shall bring an
action against any other by reason of the breach of any covenant, provision or condition hereof, or otherwise arising out of this Sublease, the unsuccessful party shall pay to the prevailing party all attorneys’ fees and costs actually incurred
by the prevailing party, in addition to any other relief to which it may be entitled. 

  
 -6- 

 13.4 Notices. All notices, requests and other communications hereunder shall be in
writing and shall be delivered by personal service, by Federal Express® or other nationally recognized commercial courier service, or mailed first class, postage prepaid, by certified mail, return receipt requested, in all cases addressed to:

  

			
	SUBLESSOR:    	  	The Dow Chemical Company
		  	2030 Dow Center
		  	Midland, Michigan 48674
		  	Attn: Charles Kendall
		
	SUBLESSEE:	  	Pfenex Inc.
		  	5451 Oberlin Drive
		  	San Diego, California 92121
		  	Attn: Bert Liang

 In the case of service by personal delivery, delivery shall be deemed complete on the date of delivery. In the case of service
by Federal Express® or other nationally recognized commercial courier service, service shall be deemed complete on the second (2nd) business day following deposit with such courier service. In the case of service by mail, service shall be
deemed complete at the earlier of (i) the expiration of the third business day after the date of mailing, or (ii) the date of delivery as shown by the return receipt. Either party hereto may from time to time, by notice in writing, served
as set forth above, designate-a different address or a different or additional person to which all such notices or communications thereafter are to be given. 

13.5 Further Assurances. Each party hereto shall perform all acts and things and to make, execute and deliver such written
instruments as shall be reasonably necessary to carry out the terms and provisions of this Sublease. 
 13.6 Counterparts.
This Sublease may be executed in any number of counterparts, each of which so executed shall be deemed an original, but all of which taken together shall constitute but one agreement. 

[Signatures on next page.] 

  
 -7- 

 IN WITNESS WHEREOF, the parties hereto have executed this Sublease as of the day and year set
forth above. 
  

					
	“SUBLESSOR”:
	
	 THE DOW CHEMICAL COMPANY,
 a
Delaware corporation

		
	By:	 	 /s/ Charles B. Kendall

		 	Name:	 	 Charles B. Kendall

		 	Its:	 	 Authorized Representative

	
	“SUBLESSEE”:
	
	 PFENEX INC.,
 a Delaware
corporation

		
	By:	 	 /s/ Albert Hansen

		 	Name:	 	 Albert Hansen

		 	Its:	 	 President

  
 -8- 

 EXHIBIT “A” TO SUBLEASE 

SUBLEASED PREMISES 

 

 

 

 

 Exhibit B 

Transition Services Agreement 

 Exhibit C 

Technology Assignment Agreement 

 Exhibit D 

Technology Licensing Agreement 

 Exhibit E 

Grant-Back License Agreement 

 Schedule 1.17 

Permitted Liens 
  

	1.	License Agreement between Dow Global Technologies and Diversa Corporation dated December 30, 2003. 

  

	2.	Pfenex Expression Technology License Agreement between Dow Global Technologies and Dr. Reddy’s Laboratories dated April 30, 2008. 

 

	3.	Technology License Agreement between DGTI and Dow AgroScience (DAS) as of January 7, 2009. 

  

	4.	Any requirements under the License Agreement between Washington University and Agrigenetics dated December 30, 1996. 

  

	5.	Any requirements under the Agreement between Agrigenetics and University of Wisconsin dated December 23, 1982. 

  

	6.	Any rights or licenses as required by foreign patent offices including, but not limited to, compulsory licenses as required by foreign patent offices. 

 Schedule 2.2 

Fixed Assets 
  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0028	  	00253818	  	12/1/2003	  	 	20	  	  	APC INFRASTRUXURE UNINTE-	  	 	20,297	  	  	 	5,924	  	  	 	14,373	  
											
	0001	  	YU	  	00001140	  	0041	  	00233314	  	8/1/2001	  	 	10	  	  	REVCO ULT2586-9D FREEZER,	  	 	9,484	  	  	 	8,735	  	  	 	750	  
											
	0001	  	YU	  	00001140	  	0041	  	00233315	  	8/1/2001	  	 	10	  	  	REVCO ULT2586-9D FREEZER,	  	 	9,484	  	  	 	8,735	  	  	 	750	  
											
	0001	  	YU	  	00001140	  	0041	  	00245239	  	6/1/2001	  	 	10	  	  	12 ZETA PLUS HOUSING	  	 	1,973	  	  	 	1,644	  	  	 	329	  
											
	0001	  	YU	  	00001140	  	0041	  	00245241	  	6/1/2001	  	 	10	  	  	SET OF 6 WATSON MARLOW PU	  	 	3,293	  	  	 	2,744	  	  	 	549	  
											
	0001	  	YU	  	00001140	  	0041	  	00245242	  	6/1/2001	  	 	10	  	  	STREAMLINE 200 COLUMN AND	  	 	10,071	  	  	 	8,394	  	  	 	1,677	  
											
	0001	  	YU	  	00001140	  	0041	  	00248024	  	7/1/1994	  	 	12	  	  	FORKLIFT 1987 CATERPILLA	  	 	5,587	  	  	 	5,587	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0041	  	00252793	  	11/1/2003	  	 	10	  	  	BPG 140/500 COLUMN DIN/NI	  	 	6,409	  	  	 	5,641	  	  	 	768	  
											
	0001	  	YU	  	00001140	  	0041	  	00252794	  	11/1/2003	  	 	10	  	  	BPG 300/500 COLUMN DIN/NI	  	 	16,481	  	  	 	14,505	  	  	 	1,976	  
											
	0001	  	YU	  	00001140	  	0041	  	00260068	  	3/1/2004	  	 	10	  	  	PALL MAXIM PLUS TFF	  	 	76,233	  	  	 	6,354	  	  	 	69,879	  
											
	0001	  	YU	  	00001140	  	0041	  	00295391	  	9/1/2006	  	 	10	  	  	PACIFIC RIM MECHANICAL	  	 	36,172	  	  	 	11,154	  	  	 	25,018	  
											
	0001	  	YU	  	00001140	  	0042	  	00254111	  	12/1/2003	  	 	5	  	  	AMERSHAM BIOPROCESS SKID	  	 	229,615	  	  	 	229,615	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254112	  	12/1/2003	  	 	5	  	  	20CM (16L) CHROMA. COLUMN	  	 	8,878	  	  	 	8,878	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0042	  	00254113	  	12/1/2003	  	 	5	  	  	20CM (16L) CHROMA. COLUMN	  	 	8,878	  	  	 	8,878	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254114	  	12/1/2003	  	 	5	  	  	20CM (16L) CHROMA. COLUMN	  	 	8,878	  	  	 	8,878	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254115	  	12/1/2003	  	 	5	  	  	45CM (78L) CHROMA. COLUMN	  	 	49,903	  	  	 	49,903	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254447	  	1/1/2004	  	 	5	  	  	STEDIM PALLETANKS (15 EA)	  	 	34,151	  	  	 	34,151	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254452	  	1/1/2004	  	 	5	  	  	FILTER HOUSING 30IN X 3	  	 	6,664	  	  	 	6,664	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254453	  	1/1/2004	  	 	5	  	  	FILTER HOUSING 30IN X 3	  	 	6,664	  	  	 	6,664	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254455	  	1/1/2004	  	 	5	  	  	UF MEMBRANE HOUSING	  	 	6,664	  	  	 	6,664	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00254819	  	3/1/2004	  	 	5	  	  	ULTRA FILTRATION PELLICON	  	 	7,956	  	  	 	7,399	  	  	 	557	  
											
	0001	  	YU	  	00001140	  	0042	  	00254820	  	3/1/2004	  	 	5	  	  	WATSON MARLOW	  	 	2,931	  	  	 	2,727	  	  	 	204	  
											
	0001	  	YU	  	00001140	  	0042	  	00254821	  	3/1/2004	  	 	5	  	  	ULTRA FILTRATION MEMBRANE	  	 	5,862	  	  	 	5,452	  	  	 	410	  
											
	0001	  	YU	  	00001140	  	0042	  	00254822	  	3/1/2004	  	 	5	  	  	WATSON MARLOW	  	 	2,931	  	  	 	2,727	  	  	 	204	  
											
	0001	  	YU	  	00001140	  	0042	  	00254824	  	3/1/2004	  	 	5	  	  	METTLE TOLEDO	  	 	6,281	  	  	 	5,842	  	  	 	439	  
											
	0001	  	YU	  	00001140	  	0042	  	00254825	  	3/1/2004	  	 	5	  	  	THERMOFORMA REFRIGERATOR	  	 	7,537	  	  	 	7,010	  	  	 	528	  
											
	0001	  	YU	  	00001140	  	0042	  	00258951	  	7/1/2004	  	 	3	  	  	MILLIPORE PROFLUX M60	  	 	74,906	  	  	 	74,906	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0042	  	00258953	  	7/1/2004	  	 	3	  	  	MORSE DRUM HANDLER	  	 	2,918	  	  	 	2,918	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00213183	  	4/1/1991	  	 	15	  	  	FERMENTER, 1500 LITER, (P	  	 	111,630	  	  	 	111,630	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00213184	  	4/1/1991	  	 	15	  	  	FERMENTER, 1500 LITER, (P	  	 	111,630	  	  	 	111,630	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00213186	  	4/1/1991	  	 	15	  	  	FERMENTER, 75 LITER, (PP)	  	 	50,284	  	  	 	50,284	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00213187	  	4/1/1991	  	 	15	  	  	FERMENTER, 75 LITER, (PP)	  	 	50,284	  	  	 	50,284	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00213201	  	4/2/1994	  	 	10	  	  	IMPELLERS	  	 	7,340	  	  	 	7,340	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00216585	  	8/1/1999	  	 	10	  	  	AGILENT 1100 BINARY PUMP	  	 	10,433	  	  	 	10,433	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00216594	  	8/1/1999	  	 	10	  	  	TECAN MINI PREP 50 PKG	  	 	16,395	  	  	 	16,395	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00218352	  	8/1/1999	  	 	10	  	  	AGILENT 1100 COLUMN HEATR	  	 	9,671	  	  	 	9,671	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00218363	  	8/1/1999	  	 	10	  	  	AGILENT 1100 AUTOSAMPLER	  	 	8,166	  	  	 	8,166	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00218375	  	8/1/1999	  	 	10	  	  	AGILENT 1100 DEGASSER	  	 	3,224	  	  	 	3,224	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00219208	  	1/1/2000	  	 	10	  	  	HP 8453 UV-VIS SPECTROPHO	  	 	19,337	  	  	 	18,856	  	  	 	481	  
											
	0001	  	YU	  	00001140	  	0043	  	00219214	  	1/1/2000	  	 	10	  	  	44 RAININ P2, P20,P100, P	  	 	7,332	  	  	 	7,147	  	  	 	185	  
											
	0001	  	YU	  	00001140	  	0043	  	00219220	  	2/1/2000	  	 	10	  	  	PHARMACIA AKTA EXPLORER 1	  	 	61,439	  	  	 	59,393	  	  	 	2,046	  
											
	0001	  	YU	  	00001140	  	0043	  	00219223	  	2/1/2000	  	 	10	  	  	STERIS 60” GRV FERMENTATI	  	 	100,596	  	  	 	97,247	  	  	 	3,349	  
											
	0001	  	YU	  	00001140	  	0043	  	00219243	  	1/1/2000	  	 	10	  	  	20 CORNING PC-20 STIRRER	  	 	6,347	  	  	 	6,190	  	  	 	157	  
											
	0001	  	YU	  	00001140	  	0043	  	00219254	  	1/1/2000	  	 	10	  	  	SLM AMINCO AB-2 (FA254)L	  	 	45,380	  	  	 	44,245	  	  	 	1,135	  
											
	0001	  	YU	  	00001140	  	0043	  	00219255	  	1/1/2000	  	 	10	  	  	REVCO VCRR445A18 CHROMOTO	  	 	7,446	  	  	 	7,364	  	  	 	82	  
											
	0001	  	YU	  	00001140	  	0043	  	00219256	  	1/1/2000	  	 	10	  	  	REVCO U2020GA14 FREEZER	  	 	1,182	  	  	 	1,169	  	  	 	13	  
											
	0001	  	YU	  	00001140	  	0043	  	00219257	  	1/1/2000	  	 	10	  	  	BRANSON SONIFIER II CELL	  	 	3,191	  	  	 	3,157	  	  	 	34	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00219280	  	1/1/2000	  	 	10	  	  	MJ RESEARCH PTC200 THERMA	  	 	5,235	  	  	 	5,102	  	  	 	133	  
											
	0001	  	YU	  	00001140	  	0043	  	00219281	  	1/1/2000	  	 	10	  	  	MJ RESEARCH PTC200 THERMA	  	 	5,235	  	  	 	5,102	  	  	 	133	  
											
	0001	  	YU	  	00001140	  	0043	  	00219282	  	1/1/2000	  	 	10	  	  	MJ RESEARCH ALS1296 ALPHA	  	 	2,617	  	  	 	2,553	  	  	 	64	  
											
	0001	  	YU	  	00001140	  	0043	  	00219283	  	1/1/2000	  	 	10	  	  	MJ RESEARCH ALD1234 ALPHA	  	 	2,804	  	  	 	2,730	  	  	 	74	  
											
	0001	  	YU	  	00001140	  	0043	  	00219284	  	1/1/2000	  	 	10	  	  	MJ RESEARCH ALD1234 ALPHA	  	 	2,804	  	  	 	2,730	  	  	 	74	  
											
	0001	  	YU	  	00001140	  	0043	  	00219289	  	1/1/2000	  	 	10	  	  	EPPENDORF 5417R REFRIGERA	  	 	5,179	  	  	 	5,050	  	  	 	129	  
											
	0001	  	YU	  	00001140	  	0043	  	00219290	  	1/1/2000	  	 	10	  	  	EPPENDORF 5417C CENTRIFUG	  	 	2,252	  	  	 	2,196	  	  	 	56	  
											
	0001	  	YU	  	00001140	  	0043	  	00219292	  	1/1/2000	  	 	10	  	  	ISOTEMP 11690650D INCUBAT	  	 	1,351	  	  	 	1,317	  	  	 	34	  
											
	0001	  	YU	  	00001140	  	0043	  	00219293	  	1/1/2000	  	 	10	  	  	ISOTEMP 11690650D INCUBAT	  	 	1,351	  	  	 	1,317	  	  	 	34	  
											
	0001	  	YU	  	00001140	  	0043	  	00219294	  	1/1/2000	  	 	10	  	  	10 FISHER GENIE 2 VORTEX	  	 	1,801	  	  	 	1,756	  	  	 	45	  
											
	0001	  	YU	  	00001140	  	0043	  	00219392	  	4/1/2000	  	 	10	  	  	VIRTIS ADVANTAGE FREEZE	  	 	15,586	  	  	 	14,812	  	  	 	774	  
											
	0001	  	YU	  	00001140	  	0043	  	00219444	  	4/1/2000	  	 	10	  	  	NESLAB CFT-25 CHILLER S/N	  	 	4,521	  	  	 	4,296	  	  	 	225	  
											
	0001	  	YU	  	00001140	  	0043	  	00219446	  	4/1/2000	  	 	10	  	  	EDWARDS E2M28 ROTARY PUMP	  	 	4,521	  	  	 	4,296	  	  	 	225	  
											
	0001	  	YU	  	00001140	  	0043	  	00219448	  	4/1/2000	  	 	10	  	  	HP MSD 5973 MASS PSECTROM	  	 	54,867	  	  	 	52,127	  	  	 	2,740	  
											
	0001	  	YU	  	00001140	  	0043	  	00219450	  	4/1/2000	  	 	10	  	  	CTC ANALYTICS COMBI PAL A	  	 	21,947	  	  	 	20,854	  	  	 	1,093	  
											
	0001	  	YU	  	00001140	  	0043	  	00219451	  	4/1/2000	  	 	10	  	  	CTC ANALYTICS COMBI PAL A	  	 	21,947	  	  	 	20,854	  	  	 	1,093	  
											
	0001	  	YU	  	00001140	  	0043	  	00219452	  	4/1/2000	  	 	10	  	  	3 APEX PROSEP 800 LARGE	  	 	65,840	  	  	 	62,549	  	  	 	3,291	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00219456	  	4/1/2000	  	 	10	  	  	HP G 1222A DEGASSER S/N:J	  	 	2,032	  	  	 	1,929	  	  	 	103	  
											
	0001	  	YU	  	00001140	  	0043	  	00219457	  	4/1/2000	  	 	10	  	  	HP G 1222A DEGASSER S/N:J	  	 	2,032	  	  	 	1,929	  	  	 	103	  
											
	0001	  	YU	  	00001140	  	0043	  	00219458	  	4/1/2000	  	 	10	  	  	HP G 1311A HPLC PUMPS S/N	  	 	11,516	  	  	 	10,944	  	  	 	572	  
											
	0001	  	YU	  	00001140	  	0043	  	00219459	  	4/1/2000	  	 	10	  	  	HP G 1312A HPLC PUMPS S/N	  	 	11,516	  	  	 	10,944	  	  	 	572	  
											
	0001	  	YU	  	00001140	  	0043	  	00219460	  	4/1/2000	  	 	10	  	  	HP G 1313A AUTOSAMPLER	  	 	9,484	  	  	 	9,007	  	  	 	477	  
											
	0001	  	YU	  	00001140	  	0043	  	00219461	  	4/1/2000	  	 	10	  	  	HP G 1313A AUTOSMPLER	  	 	9,484	  	  	 	9,007	  	  	 	477	  
											
	0001	  	YU	  	00001140	  	0043	  	00219462	  	4/1/2000	  	 	10	  	  	HP G 1314A UV-VIS DETECTO	  	 	6,774	  	  	 	6,432	  	  	 	342	  
											
	0001	  	YU	  	00001140	  	0043	  	00219463	  	4/1/2000	  	 	10	  	  	HP G 1321A FLUORESCENCE D	  	 	9,484	  	  	 	9,007	  	  	 	477	  
											
	0001	  	YU	  	00001140	  	0043	  	00219464	  	4/1/2000	  	 	10	  	  	HP G 1316A COLUMN HEATER	  	 	5,419	  	  	 	5,148	  	  	 	271	  
											
	0001	  	YU	  	00001140	  	0043	  	00219763	  	2/1/2000	  	 	10	  	  	2 COLE PARMER 77410-00	  	 	1,263	  	  	 	1,220	  	  	 	43	  
											
	0001	  	YU	  	00001140	  	0043	  	00219764	  	2/1/2000	  	 	10	  	  	2 COLE PARMER 77601-60	  	 	505	  	  	 	492	  	  	 	13	  
											
	0001	  	YU	  	00001140	  	0043	  	00219765	  	2/1/2000	  	 	10	  	  	9 MILLIPORE PEL2 PLC FILT	  	 	4,547	  	  	 	4,401	  	  	 	146	  
											
	0001	  	YU	  	00001140	  	0043	  	00219766	  	1/1/2000	  	 	10	  	  	COMPOSITE ROTOR INC. KAD-	  	 	5,408	  	  	 	5,275	  	  	 	133	  
											
	0001	  	YU	  	00001140	  	0043	  	00219767	  	1/1/2000	  	 	10	  	  	COMPOSITE ROTOR INC. KAD-	  	 	3,877	  	  	 	3,780	  	  	 	97	  
											
	0001	  	YU	  	00001140	  	0043	  	00219768	  	1/1/2000	  	 	10	  	  	COMPOSITE ROTOR INC. CBTH	  	 	918	  	  	 	896	  	  	 	22	  
											
	0001	  	YU	  	00001140	  	0043	  	00219846	  	2/1/2000	  	 	10	  	  	BioRad Protein IEF	  	 	11,251	  	  	 	10,878	  	  	 	373	  
											
	0001	  	YU	  	00001140	  	0043	  	00219868	  	2/1/2000	  	 	10	  	  	BECKMAN/COULTER AVANTI	  	 	37,200	  	  	 	35,962	  	  	 	1,238	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00220092	  	6/1/2000	  	 	10	  	  	MOLECULAR DEVICES GEMINI	  	 	35,691	  	  	 	33,312	  	  	 	2,379	  
											
	0001	  	YU	  	00001140	  	0043	  	00220169	  	6/1/2000	  	 	10	  	  	COMPOSITE ROTOR INC. KAJ	  	 	4,854	  	  	 	4,527	  	  	 	327	  
											
	0001	  	YU	  	00001140	  	0043	  	00220181	  	6/1/2000	  	 	10	  	  	ADVANCED LASER POLARIMETE	  	 	38,074	  	  	 	35,533	  	  	 	2,541	  
											
	0001	  	YU	  	00001140	  	0043	  	00220373	  	7/1/2000	  	 	10	  	  	ONIX VG PRIMA P600S PROCE	  	 	103,895	  	  	 	96,110	  	  	 	7,785	  
											
	0001	  	YU	  	00001140	  	0043	  	00220374	  	7/1/2000	  	 	10	  	  	ONIX STANDARD ANALYZER W/	  	 	11,544	  	  	 	10,676	  	  	 	868	  
											
	0001	  	YU	  	00001140	  	0043	  	00220705	  	7/1/2000	  	 	10	  	  	BECKMAN COULTER BC AVANTI	  	 	32,952	  	  	 	30,479	  	  	 	2,473	  
											
	0001	  	YU	  	00001140	  	0043	  	00220706	  	7/1/2000	  	 	10	  	  	BECKMAN COULTER JA12 ROTO	  	 	9,843	  	  	 	9,103	  	  	 	740	  
											
	0001	  	YU	  	00001140	  	0043	  	00220707	  	7/1/2000	  	 	10	  	  	BOEKEL 131000 HYBRIDIZATI	  	 	1,770	  	  	 	1,639	  	  	 	131	  
											
	0001	  	YU	  	00001140	  	0043	  	00220708	  	7/1/2000	  	 	10	  	  	METTLER PB303-SRS BALANCE	  	 	1,416	  	  	 	1,316	  	  	 	100	  
											
	0001	  	YU	  	00001140	  	0043	  	00220709	  	7/1/2000	  	 	10	  	  	METTLER AB54-SRS BALANCE	  	 	1,770	  	  	 	1,639	  	  	 	131	  
											
	0001	  	YU	  	00001140	  	0043	  	00220710	  	7/1/2000	  	 	10	  	  	SPECTRONICS XL-1500 UV CR	  	 	1,628	  	  	 	1,508	  	  	 	120	  
											
	0001	  	YU	  	00001140	  	0043	  	00220712	  	7/1/2000	  	 	10	  	  	JOUAN CR422 CENTRIFUGE S/	  	 	10,123	  	  	 	9,362	  	  	 	761	  
											
	0001	  	YU	  	00001140	  	0043	  	00220713	  	7/1/2000	  	 	10	  	  	JOUAN CR422 CENTRIFUGE S/	  	 	10,123	  	  	 	9,362	  	  	 	761	  
											
	0001	  	YU	  	00001140	  	0043	  	00220994	  	8/1/2000	  	 	10	  	  	EPPENDORF 5417R REFRIGERA	  	 	5,355	  	  	 	4,914	  	  	 	441	  
											
	0001	  	YU	  	00001140	  	0043	  	00220995	  	8/1/2000	  	 	10	  	  	EPPENDORF 5417R REFRIGERA	  	 	5,355	  	  	 	4,914	  	  	 	441	  
											
	0001	  	YU	  	00001140	  	0043	  	00220996	  	8/1/2000	  	 	10	  	  	ISOTEMP 215 DUAL WATER BA	  	 	1,190	  	  	 	1,092	  	  	 	98	  
											
	0001	  	YU	  	00001140	  	0043	  	00221170	  	8/1/2000	  	 	10	  	  	5 METTLER TOLEDO BALANCE	  	 	10,471	  	  	 	9,598	  	  	 	873	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00221192	  	8/1/2000	  	 	10	  	  	HAMILTON HM554S824PB FUME	  	 	10,650	  	  	 	9,765	  	  	 	885	  
											
	0001	  	YU	  	00001140	  	0043	  	00221193	  	8/1/2000	  	 	10	  	  	HAMILTON HM554S824PB FUME	  	 	10,650	  	  	 	9,765	  	  	 	885	  
											
	0001	  	YU	  	00001140	  	0043	  	00221299	  	2/1/2000	  	 	10	  	  	M FLEX DRIVE L/S 1-100RPM	  	 	15,240	  	  	 	14,733	  	  	 	507	  
											
	0001	  	YU	  	00001140	  	0043	  	00221300	  	2/1/2000	  	 	10	  	  	LS EASY LOAD II PUMP HEAD	  	 	8,206	  	  	 	7,937	  	  	 	269	  
											
	0001	  	YU	  	00001140	  	0043	  	00221685	  	9/1/2000	  	 	10	  	  	GENETIX QP9804 COLONY PIC	  	 	103,160	  	  	 	93,705	  	  	 	9,455	  
											
	0001	  	YU	  	00001140	  	0043	  	00221762	  	5/1/1984	  	 	3	  	  	STERILGUARD HOOD S/N 5622	  	 	1,342	  	  	 	1,342	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00221770	  	2/1/2000	  	 	10	  	  	steris sterilizer 24x36x6	  	 	91,686	  	  	 	88,634	  	  	 	3,052	  
											
	0001	  	YU	  	00001140	  	0043	  	00222273	  	10/1/2000	  	 	10	  	  	FISHER 117 LABCONCO VACUU	  	 	3,296	  	  	 	2,972	  	  	 	324	  
											
	0001	  	YU	  	00001140	  	0043	  	00222275	  	10/1/2000	  	 	10	  	  	MJ RESEARCH ALS-1296 ALPH	  	 	2,041	  	  	 	1,836	  	  	 	205	  
											
	0001	  	YU	  	00001140	  	0043	  	00222276	  	10/1/2000	  	 	10	  	  	MJ RESEARCH ALS-1296 ALPH	  	 	2,041	  	  	 	1,836	  	  	 	205	  
											
	0001	  	YU	  	00001140	  	0043	  	00222277	  	10/1/2000	  	 	10	  	  	MJ RESEARCH ALS-1296 ALPH	  	 	2,041	  	  	 	1,836	  	  	 	205	  
											
	0001	  	YU	  	00001140	  	0043	  	00222278	  	10/1/2000	  	 	10	  	  	MJ RESEARCH ALSH 2384 ALP	  	 	3,317	  	  	 	2,989	  	  	 	328	  
											
	0001	  	YU	  	00001140	  	0043	  	00222279	  	10/1/2000	  	 	10	  	  	EPPENDORF 5417R REFRIGERA	  	 	4,851	  	  	 	4,367	  	  	 	484	  
											
	0001	  	YU	  	00001140	  	0043	  	00222280	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER AVANTI J-	  	 	27,644	  	  	 	24,876	  	  	 	2,768	  
											
	0001	  	YU	  	00001140	  	0043	  	00222281	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER JLA 8.100	  	 	13,221	  	  	 	11,899	  	  	 	1,322	  
											
	0001	  	YU	  	00001140	  	0043	  	00222282	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER OPTIMA XL	  	 	39,664	  	  	 	35,695	  	  	 	3,969	  
											
	0001	  	YU	  	00001140	  	0043	  	00222283	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER TY-70TI R	  	 	9,615	  	  	 	8,658	  	  	 	957	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00222284	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER SW-28 ROT	  	 	9,615	  	  	 	8,658	  	  	 	957	  
											
	0001	  	YU	  	00001140	  	0043	  	00222285	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER SW-41TI R	  	 	10,817	  	  	 	9,739	  	  	 	1,078	  
											
	0001	  	YU	  	00001140	  	0043	  	00222286	  	10/1/2000	  	 	10	  	  	BECKMAN COULTER 100TI ROT	  	 	9,615	  	  	 	8,658	  	  	 	957	  
											
	0001	  	YU	  	00001140	  	0043	  	00222661	  	10/1/2000	  	 	10	  	  	PYREX LAB LASSARE FOR 550	  	 	8,857	  	  	 	7,975	  	  	 	882	  
											
	0001	  	YU	  	00001140	  	0043	  	00222663	  	10/1/2000	  	 	10	  	  	FIHER UV TRANSILLUMINATOR	  	 	1,620	  	  	 	1,459	  	  	 	161	  
											
	0001	  	YU	  	00001140	  	0043	  	00222664	  	10/1/2000	  	 	10	  	  	EPPENDORF 5810R CENTRIFUG	  	 	15,694	  	  	 	14,124	  	  	 	1,570	  
											
	0001	  	YU	  	00001140	  	0043	  	00222665	  	10/1/2000	  	 	10	  	  	REVCO ULTIMA II UPRT 86 F	  	 	1,744	  	  	 	1,568	  	  	 	176	  
											
	0001	  	YU	  	00001140	  	0043	  	00222727	  	10/1/2000	  	 	10	  	  	2700 D SELECT BIOCHEM ANA	  	 	17,907	  	  	 	16,120	  	  	 	1,787	  
											
	0001	  	YU	  	00001140	  	0043	  	00223290	  	11/1/2000	  	 	10	  	  	SPECTRONIC INSTR FA078 FR	  	 	21,782	  	  	 	19,422	  	  	 	2,360	  
											
	0001	  	YU	  	00001140	  	0043	  	00223294	  	11/1/2000	  	 	10	  	  	REVCO ULTIMA II FREEZER S	  	 	9,421	  	  	 	8,401	  	  	 	1,020	  
											
	0001	  	YU	  	00001140	  	0043	  	00223387	  	12/1/2000	  	 	10	  	  	ALPHA INNOTECH GEL IMAGIN	  	 	18,313	  	  	 	16,175	  	  	 	2,138	  
											
	0001	  	YU	  	00001140	  	0043	  	00223388	  	12/1/2000	  	 	10	  	  	ALPHA INNOTECH GEL IMAGIN	  	 	18,313	  	  	 	16,175	  	  	 	2,138	  
											
	0001	  	YU	  	00001140	  	0043	  	00223530	  	12/1/2000	  	 	10	  	  	VIRTEK SDDC-2 ARRAYER SYS	  	 	65,439	  	  	 	57,796	  	  	 	7,643	  
											
	0001	  	YU	  	00001140	  	0043	  	00224911	  	12/1/2000	  	 	10	  	  	DIONEX ED50 ELECTROCHEMIC	  	 	12,615	  	  	 	11,148	  	  	 	1,467	  
											
	0001	  	YU	  	00001140	  	0043	  	00225206	  	12/1/2000	  	 	10	  	  	MALDI REFLECTROM MASS SPE	  	 	221,396	  	  	 	195,518	  	  	 	25,878	  
											
	0001	  	YU	  	00001140	  	0043	  	00225256	  	12/1/2000	  	 	10	  	  	20L SP 99169 FERMENTOR	  	 	67,279	  	  	 	59,247	  	  	 	8,032	  
											
	0001	  	YU	  	00001140	  	0043	  	00225257	  	12/1/2000	  	 	10	  	  	20L SP 99169 FERMENTOR	  	 	67,279	  	  	 	59,247	  	  	 	8,032	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00225258	  	12/1/2000	  	 	10	  	  	20L SP 99307 FERMENTOR	  	 	67,279	  	  	 	59,247	  	  	 	8,032	  
											
	0001	  	YU	  	00001140	  	0043	  	00225261	  	12/1/2000	  	 	10	  	  	20L SP 99307 FERMENTOR	  	 	67,279	  	  	 	59,247	  	  	 	8,032	  
											
	0001	  	YU	  	00001140	  	0043	  	00225262	  	12/1/2000	  	 	10	  	  	20L SP 99307 FERMENTOR	  	 	67,239	  	  	 	59,210	  	  	 	8,029	  
											
	0001	  	YU	  	00001140	  	0043	  	00225263	  	12/1/2000	  	 	10	  	  	20L SP 99307 FERMENTOR	  	 	67,239	  	  	 	59,210	  	  	 	8,029	  
											
	0001	  	YU	  	00001140	  	0043	  	00225648	  	12/1/2000	  	 	10	  	  	AGILENT 2440AA LC/MSD TRA	  	 	161,471	  	  	 	142,634	  	  	 	18,837	  
											
	0001	  	YU	  	00001140	  	0043	  	00225649	  	12/1/2000	  	 	10	  	  	AGILENT 1600A CAPILLARY E	  	 	40,368	  	  	 	35,662	  	  	 	4,706	  
											
	0001	  	YU	  	00001140	  	0043	  	00225651	  	12/1/2000	  	 	10	  	  	APPLIED BIOSYSTEMS 3100 D	  	 	157,576	  	  	 	139,101	  	  	 	18,475	  
											
	0001	  	YU	  	00001140	  	0043	  	00225916	  	12/1/2000	  	 	10	  	  	KUHNER SM1501-A SHAKING I	  	 	22,925	  	  	 	20,238	  	  	 	2,687	  
											
	0001	  	YU	  	00001140	  	0043	  	00225917	  	12/1/2000	  	 	10	  	  	KUHNER SM1501-B SHAKING I	  	 	22,925	  	  	 	20,238	  	  	 	2,687	  
											
	0001	  	YU	  	00001140	  	0043	  	00225918	  	12/1/2000	  	 	10	  	  	KUHNER SM1501-C SHAKING I	  	 	22,941	  	  	 	20,254	  	  	 	2,687	  
											
	0001	  	YU	  	00001140	  	0043	  	00225919	  	12/1/2000	  	 	10	  	  	KUHNER SM1503-A SHAKING I	  	 	30,396	  	  	 	26,842	  	  	 	3,554	  
											
	0001	  	YU	  	00001140	  	0043	  	00225920	  	12/1/2000	  	 	10	  	  	KUHNER SM1503-B SHAKING I	  	 	30,396	  	  	 	26,842	  	  	 	3,554	  
											
	0001	  	YU	  	00001140	  	0043	  	00225921	  	12/1/2000	  	 	10	  	  	KUHNER SM1503-C SHAKING I	  	 	30,396	  	  	 	26,842	  	  	 	3,554	  
											
	0001	  	YU	  	00001140	  	0043	  	00225937	  	11/17/2000	  	 	10	  	  	Pellicon Filter;P17508;Mi	  	 	1,885	  	  	 	1,885	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00225939	  	11/17/2000	  	 	10	  	  	Peristaltic Pump;101 U/R	  	 	3,771	  	  	 	3,771	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00225940	  	11/17/2000	  	 	10	  	  	Peristaltic Pump and acce	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00225960	  	11/17/2000	  	 	10	  	  	Pipet-aid;Drummond Scient	  	 	2,828	  	  	 	2,828	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00226017	  	11/17/2000	  	 	10	  	  	Air pressure gauge, 0 - 0	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226028	  	11/17/2000	  	 	10	  	  	Balance;AG245;Mettler	  	 	3,771	  	  	 	3,331	  	  	 	440	  
											
	0001	  	YU	  	00001140	  	0043	  	00226029	  	11/17/2000	  	 	10	  	  	Balance;PB1502;Mettler	  	 	4,714	  	  	 	4,161	  	  	 	553	  
											
	0001	  	YU	  	00001140	  	0043	  	00226030	  	11/17/2000	  	 	10	  	  	Balance;PR5002;Mettler To	  	 	1,885	  	  	 	1,670	  	  	 	215	  
											
	0001	  	YU	  	00001140	  	0043	  	00226031	  	11/17/2000	  	 	10	  	  	Balance;Scout-;SC6010;Oha	  	 	1,885	  	  	 	1,670	  	  	 	215	  
											
	0001	  	YU	  	00001140	  	0043	  	00226032	  	11/17/2000	  	 	10	  	  	Balance;BB2400;BB2400;Met	  	 	943	  	  	 	943	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226042	  	11/17/2000	  	 	10	  	  	BPG 140/500 Column;Amersh	  	 	20,887	  	  	 	18,452	  	  	 	2,435	  
											
	0001	  	YU	  	00001140	  	0043	  	00226043	  	11/17/2000	  	 	10	  	  	BPG 140/500 Column;Amersh	  	 	20,887	  	  	 	18,452	  	  	 	2,435	  
											
	0001	  	YU	  	00001140	  	0043	  	00226044	  	11/17/2000	  	 	10	  	  	BPG Column;140/500;Amersh	  	 	7,542	  	  	 	6,663	  	  	 	879	  
											
	0001	  	YU	  	00001140	  	0043	  	00226048	  	11/17/2000	  	 	10	  	  	Centrifuge;Avanti;J-25;Be	  	 	75,419	  	  	 	66,622	  	  	 	8,797	  
											
	0001	  	YU	  	00001140	  	0043	  	00226050	  	11/17/2000	  	 	10	  	  	Chamber pressure gauge (0	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226051	  	11/17/2000	  	 	10	  	  	Chamber pressure gauge, -	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226054	  	11/17/2000	  	 	10	  	  	Circulating water bath;Ma	  	 	18,855	  	  	 	16,651	  	  	 	2,204	  
											
	0001	  	YU	  	00001140	  	0043	  	00226066	  	11/17/2000	  	 	10	  	  	Compressed air pressure g	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226067	  	11/17/2000	  	 	10	  	  	Compressed air pressure g	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226068	  	11/17/2000	  	 	10	  	  	Compressed air pressure g	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226069	  	11/17/2000	  	 	10	  	  	Compressed air tank gauge	  	 	566	  	  	 	566	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00226070	  	11/17/2000	  	 	10	  	  	Compressed air tank press	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226074	  	11/17/2000	  	 	10	  	  	Constant temperature oven	  	 	5,656	  	  	 	5,656	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226075	  	11/17/2000	  	 	10	  	  	Continuous Flow Centrifug	  	 	5,656	  	  	 	5,656	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226089	  	11/17/2000	  	 	10	  	  	Diode-array Detector;HP 1	  	 	566	  	  	 	505	  	  	 	61	  
											
	0001	  	YU	  	00001140	  	0043	  	00226180	  	11/17/2000	  	 	10	  	  	Laboratory Vacuum Pump an	  	 	3,771	  	  	 	3,771	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226182	  	11/17/2000	  	 	10	  	  	Labscale TFF System;Milli	  	 	943	  	  	 	943	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226197	  	11/17/2000	  	 	10	  	  	Magnetic stirrer;12in;S47	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226198	  	11/17/2000	  	 	10	  	  	Magnetic stirrer;12in;S47	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226199	  	11/17/2000	  	 	10	  	  	MasterFlex I/P pump;Milli	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226213	  	11/17/2000	  	 	10	  	  	Multi-Blok Heater;2053;La	  	 	3,771	  	  	 	3,771	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226217	  	11/17/2000	  	 	10	  	  	Nitrogen pressure gauge,	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226218	  	11/17/2000	  	 	10	  	  	Nitrogen pressure gauge,	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226219	  	11/17/2000	  	 	10	  	  	Nitrogen pressure gauge,	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226226	  	11/17/2000	  	 	10	  	  	Outlet pressure gauge, 0	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226231	  	11/17/2000	  	 	10	  	  	Pressure regulator gauge	  	 	943	  	  	 	943	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226234	  	11/17/2000	  	 	10	  	  	Pressure regulator gauge,	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226235	  	11/17/2000	  	 	10	  	  	Pressure regulator gauge,	  	 	566	  	  	 	566	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00226237	  	11/17/2000	  	 	10	  	  	Pressure regulator gauge,	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226238	  	11/17/2000	  	 	10	  	  	Pressure regulator gauge,	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226239	  	11/17/2000	  	 	10	  	  	Pressure Regulator gauge	  	 	943	  	  	 	943	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226247	  	11/17/2000	  	 	10	  	  	Pump, Low Flow 32 RPM;101	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226254	  	11/17/2000	  	 	10	  	  	Refrigerator / Freezer;H	  	 	7,542	  	  	 	6,663	  	  	 	879	  
											
	0001	  	YU	  	00001140	  	0043	  	00226256	  	11/17/2000	  	 	10	  	  	Refrigerated Incubator sh	  	 	9,427	  	  	 	9,427	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226263	  	11/17/2000	  	 	10	  	  	Refrigerator, 2 - 8 Degre	  	 	5,656	  	  	 	4,999	  	  	 	657	  
											
	0001	  	YU	  	00001140	  	0043	  	00226276	  	11/17/2000	  	 	10	  	  	Sonifier;450;Branson	  	 	3,771	  	  	 	3,771	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226295	  	11/17/2000	  	 	10	  	  	Stirrer;overhead;Wheaton	  	 	3,771	  	  	 	3,771	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226297	  	11/17/2000	  	 	10	  	  	Super Fraction Collector;	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226362	  	11/17/2000	  	 	10	  	  	Thermostatted Autosampler	  	 	566	  	  	 	505	  	  	 	61	  
											
	0001	  	YU	  	00001140	  	0043	  	00226363	  	11/17/2000	  	 	10	  	  	Thermostatted Column Comp	  	 	566	  	  	 	505	  	  	 	61	  
											
	0001	  	YU	  	00001140	  	0043	  	00226368	  	11/17/2000	  	 	10	  	  	Ultralow Temperature Free	  	 	13,198	  	  	 	11,660	  	  	 	1,538	  
											
	0001	  	YU	  	00001140	  	0043	  	00226372	  	11/17/2000	  	 	10	  	  	Vaccum pressure gauge, -	  	 	566	  	  	 	566	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226374	  	11/17/2000	  	 	10	  	  	Vacuum Degasser;HP 1100;H	  	 	566	  	  	 	505	  	  	 	61	  
											
	0001	  	YU	  	00001140	  	0043	  	00226382	  	11/17/2000	  	 	10	  	  	Vacuum Pump and Compresso	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226390	  	11/17/2000	  	 	10	  	  	Vortex;Genie 2;G-560;Fiso	  	 	2,828	  	  	 	2,828	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00226391	  	11/17/2000	  	 	10	  	  	Vortex Mixer;Genie 2;VWR	  	 	943	  	  	 	943	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00226395	  	11/17/2000	  	 	10	  	  	Vortex-Genie 2;G-560;VWR	  	 	2,828	  	  	 	2,500	  	  	 	328	  
											
	0001	  	YU	  	00001140	  	0043	  	00226399	  	11/17/2000	  	 	10	  	  	Water Bath;VWR Scientifc	  	 	943	  	  	 	833	  	  	 	110	  
											
	0001	  	YU	  	00001140	  	0043	  	00227286	  	12/1/2000	  	 	10	  	  	NIKON E800 MICROSCOPE S/N	  	 	61,574	  	  	 	54,388	  	  	 	7,186	  
											
	0001	  	YU	  	00001140	  	0043	  	00227287	  	12/1/2000	  	 	10	  	  	NIKON E600 MICROSCOPE S/N	  	 	27,988	  	  	 	24,725	  	  	 	3,263	  
											
	0001	  	YU	  	00001140	  	0043	  	00227289	  	12/1/2000	  	 	10	  	  	SAVANT RVT400-115 REFREIG	  	 	4,951	  	  	 	4,373	  	  	 	578	  
											
	0001	  	YU	  	00001140	  	0043	  	00227290	  	12/1/2000	  	 	10	  	  	SAVANT OFP400-115 VACUUM	  	 	7,427	  	  	 	6,564	  	  	 	863	  
											
	0001	  	YU	  	00001140	  	0043	  	00227292	  	12/1/2000	  	 	10	  	  	SAVANT SPD111V-115 SPEEDV	  	 	7,427	  	  	 	6,564	  	  	 	863	  
											
	0001	  	YU	  	00001140	  	0043	  	00227293	  	12/1/2000	  	 	10	  	  	SAVANT CONCENTRATOR S/N:O	  	 	20,795	  	  	 	18,360	  	  	 	2,435	  
											
	0001	  	YU	  	00001140	  	0043	  	00227466	  	12/1/2000	  	 	10	  	  	SPECTRAMAX PLUS 384 MICRO	  	 	23,273	  	  	 	20,546	  	  	 	2,727	  
											
	0001	  	YU	  	00001140	  	0043	  	00227469	  	12/1/2000	  	 	10	  	  	AGILENT G 1322 HPLC	  	 	93,767	  	  	 	82,831	  	  	 	10,936	  
											
	0001	  	YU	  	00001140	  	0043	  	00227470	  	12/1/2000	  	 	10	  	  	AGILENT UV-VIS SPECTROPHO	  	 	23,442	  	  	 	20,707	  	  	 	2,735	  
											
	0001	  	YU	  	00001140	  	0043	  	00227471	  	12/1/2000	  	 	10	  	  	AGILENT HP 6890 GC S/N:US	  	 	50,233	  	  	 	44,373	  	  	 	5,860	  
											
	0001	  	YU	  	00001140	  	0043	  	00227503	  	12/1/2000	  	 	10	  	  	STERIS CENTURY SCIENTIFIC	  	 	51,908	  	  	 	45,833	  	  	 	6,075	  
											
	0001	  	YU	  	00001140	  	0043	  	00227585	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	89,538	  	  	 	78,347	  	  	 	11,191	  
											
	0001	  	YU	  	00001140	  	0043	  	00227586	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	89,538	  	  	 	78,347	  	  	 	11,191	  
											
	0001	  	YU	  	00001140	  	0043	  	00227587	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	89,538	  	  	 	78,347	  	  	 	11,191	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00227588	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	89,538	  	  	 	78,347	  	  	 	11,191	  
											
	0001	  	YU	  	00001140	  	0043	  	00227589	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	90,511	  	  	 	79,196	  	  	 	11,315	  
											
	0001	  	YU	  	00001140	  	0043	  	00227590	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	90,511	  	  	 	79,196	  	  	 	11,315	  
											
	0001	  	YU	  	00001140	  	0043	  	00227591	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	90,511	  	  	 	79,196	  	  	 	11,315	  
											
	0001	  	YU	  	00001140	  	0043	  	00227592	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS W/	  	 	90,511	  	  	 	79,196	  	  	 	11,315	  
											
	0001	  	YU	  	00001140	  	0043	  	00227593	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS CU	  	 	82,726	  	  	 	72,390	  	  	 	10,336	  
											
	0001	  	YU	  	00001140	  	0043	  	00227594	  	1/1/2001	  	 	10	  	  	SP99169-20L FERMENTORS CU	  	 	82,726	  	  	 	72,390	  	  	 	10,336	  
											
	0001	  	YU	  	00001140	  	0043	  	00228118	  	1/1/2001	  	 	10	  	  	OMEGA DR231012010A4-M1-C2	  	 	7,780	  	  	 	6,810	  	  	 	970	  
											
	0001	  	YU	  	00001140	  	0043	  	00229344	  	3/1/2001	  	 	10	  	  	FISHER HAMILTON SAFE AIRE	  	 	7,705	  	  	 	6,617	  	  	 	1,088	  
											
	0001	  	YU	  	00001140	  	0043	  	00229360	  	3/1/2001	  	 	10	  	  	FISHER 307C INCUBATOR S/N	  	 	2,744	  	  	 	2,355	  	  	 	389	  
											
	0001	  	YU	  	00001140	  	0043	  	00229361	  	3/1/2001	  	 	10	  	  	FISHER 307C INCUBATOR S/N	  	 	2,744	  	  	 	2,355	  	  	 	389	  
											
	0001	  	YU	  	00001140	  	0043	  	00229362	  	3/1/2001	  	 	10	  	  	REVCO ULT21869D34 UPRIGHT	  	 	9,078	  	  	 	7,795	  	  	 	1,283	  
											
	0001	  	YU	  	00001140	  	0043	  	00229363	  	3/1/2001	  	 	10	  	  	BUCHI R124C24PB481 ROTVAP	  	 	6,544	  	  	 	5,616	  	  	 	928	  
											
	0001	  	YU	  	00001140	  	0043	  	00229678	  	3/1/2001	  	 	10	  	  	STANDARD BIOPROCESS SYSTE	  	 	152,090	  	  	 	141,231	  	  	 	10,859	  
											
	0001	  	YU	  	00001140	  	0043	  	00229717	  	1/1/2001	  	 	10	  	  	FREEZER MODEL ULT2586-93,	  	 	8,078	  	  	 	7,527	  	  	 	551	  
											
	0001	  	YU	  	00001140	  	0043	  	00229718	  	1/1/2001	  	 	10	  	  	REFRIGERATOR MODEL REL230	  	 	4,252	  	  	 	3,962	  	  	 	290	  
											
	0001	  	YU	  	00001140	  	0043	  	00229720	  	1/1/2001	  	 	10	  	  	FREEZER MODEL ULT2330D18,	  	 	4,677	  	  	 	4,358	  	  	 	319	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00229721	  	1/1/2001	  	 	10	  	  	FREEZER MODEL ULT2586-93,	  	 	8,078	  	  	 	7,527	  	  	 	551	  
											
	0001	  	YU	  	00001140	  	0043	  	00229722	  	1/1/2001	  	 	10	  	  	FREEZER MODEL ULT2330D18,	  	 	4,677	  	  	 	4,358	  	  	 	319	  
											
	0001	  	YU	  	00001140	  	0043	  	00229723	  	1/1/2001	  	 	10	  	  	FREEZER MODEL ULT2330D18,	  	 	4,677	  	  	 	4,358	  	  	 	319	  
											
	0001	  	YU	  	00001140	  	0043	  	00229817	  	3/1/2001	  	 	10	  	  	INCUBATOR 50/60, 220V, MO	  	 	3,610	  	  	 	3,353	  	  	 	257	  
											
	0001	  	YU	  	00001140	  	0043	  	00230034	  	5/1/2001	  	 	10	  	  	APC MATRIX 500VA EXTENDED	  	 	4,116	  	  	 	3,467	  	  	 	649	  
											
	0001	  	YU	  	00001140	  	0043	  	00230035	  	5/1/2001	  	 	10	  	  	APC MATRIX 500VA EXTENDED	  	 	4,116	  	  	 	3,467	  	  	 	649	  
											
	0001	  	YU	  	00001140	  	0043	  	00230200	  	5/1/2001	  	 	10	  	  	AIR LOGIC CHEMICAL HOOD F	  	 	140,463	  	  	 	118,381	  	  	 	22,082	  
											
	0001	  	YU	  	00001140	  	0043	  	00230491	  	7/1/2001	  	 	10	  	  	WESTFALIA SC 6-06-576 POL	  	 	200,520	  	  	 	165,429	  	  	 	35,091	  
											
	0001	  	YU	  	00001140	  	0043	  	00231720	  	5/1/2001	  	 	10	  	  	METTLER AX105DR BALANCE A	  	 	6,443	  	  	 	5,963	  	  	 	481	  
											
	0001	  	YU	  	00001140	  	0043	  	00231726	  	8/1/2001	  	 	10	  	  	FISHER ADA FUMEHOOD S/N:	  	 	7,246	  	  	 	5,923	  	  	 	1,323	  
											
	0001	  	YU	  	00001140	  	0043	  	00231727	  	8/1/2001	  	 	10	  	  	FISHER ADA FUMEHOOD S/N:	  	 	7,246	  	  	 	5,923	  	  	 	1,323	  
											
	0001	  	YU	  	00001140	  	0043	  	00232815	  	7/1/2001	  	 	10	  	  	STANDARD BIOPROCESS SYSTE	  	 	114,934	  	  	 	94,820	  	  	 	20,114	  
											
	0001	  	YU	  	00001140	  	0043	  	00232816	  	7/1/2001	  	 	10	  	  	AKTA EXPLOER SYSTEM S/N:5	  	 	70,237	  	  	 	57,950	  	  	 	12,287	  
											
	0001	  	YU	  	00001140	  	0043	  	00232817	  	7/1/2001	  	 	10	  	  	AKTA EXPLOER SYSTEM	  	 	70,237	  	  	 	57,950	  	  	 	12,287	  
											
	0001	  	YU	  	00001140	  	0043	  	00232900	  	8/1/2001	  	 	10	  	  	CUSTOM CHEMICAL HOOD FOR	  	 	114,310	  	  	 	93,356	  	  	 	20,954	  
											
	0001	  	YU	  	00001140	  	0043	  	00232905	  	3/1/2001	  	 	10	  	  	MICROFLUIDIZER M 11 OY S/	  	 	29,138	  	  	 	25,013	  	  	 	4,125	  
											
	0001	  	YU	  	00001140	  	0043	  	00233085	  	10/1/2001	  	 	10	  	  	SANYO MPR 1410 DBL DOOR L	  	 	3,887	  	  	 	3,112	  	  	 	775	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00233136	  	9/1/2001	  	 	10	  	  	NIRO CERAMIC MICROFILTRAT	  	 	172,228	  	  	 	139,122	  	  	 	33,106	  
											
	0001	  	YU	  	00001140	  	0043	  	00233240	  	9/1/2001	  	 	10	  	  	DNA PTC-0200 ENGINE CHASI	  	 	5,587	  	  	 	4,519	  	  	 	1,068	  
											
	0001	  	YU	  	00001140	  	0043	  	00233409	  	10/1/2001	  	 	10	  	  	GENESIS 25 PUPER ES PILOT	  	 	41,092	  	  	 	32,872	  	  	 	8,220	  
											
	0001	  	YU	  	00001140	  	0043	  	00233565	  	10/1/2001	  	 	10	  	  	EPPENDORF 5810R EPPENDORF	  	 	10,056	  	  	 	8,051	  	  	 	2,005	  
											
	0001	  	YU	  	00001140	  	0043	  	00236711	  	10/1/2001	  	 	10	  	  	SANYO MPR 1410 DBL DOOR L	  	 	3,887	  	  	 	3,112	  	  	 	775	  
											
	0001	  	YU	  	00001140	  	0043	  	00237072	  	11/1/2001	  	 	10	  	  	MTPC 144 CONVIRON PLANT P	  	 	153,541	  	  	 	121,557	  	  	 	31,984	  
											
	0001	  	YU	  	00001140	  	0043	  	00237073	  	11/1/2001	  	 	10	  	  	MTPC 144 CONVIRON PLANT P	  	 	153,541	  	  	 	121,557	  	  	 	31,984	  
											
	0001	  	YU	  	00001140	  	0043	  	00237101	  	11/1/2001	  	 	10	  	  	PTC 2200 THERMAL CYCLER	  	 	10,601	  	  	 	8,392	  	  	 	2,209	  
											
	0001	  	YU	  	00001140	  	0043	  	00237102	  	11/1/2001	  	 	10	  	  	ALD 1233 DNA ENGINE	  	 	5,114	  	  	 	4,047	  	  	 	1,067	  
											
	0001	  	YU	  	00001140	  	0043	  	00237685	  	11/1/2001	  	 	10	  	  	REVCO ULT2586-9-A35 FREEZ	  	 	8,735	  	  	 	6,921	  	  	 	1,814	  
											
	0001	  	YU	  	00001140	  	0043	  	00237688	  	11/1/2001	  	 	10	  	  	METTLER TOLEDO AX504 ANAL	  	 	5,261	  	  	 	4,166	  	  	 	1,095	  
											
	0001	  	YU	  	00001140	  	0043	  	00237689	  	11/1/2001	  	 	10	  	  	METTLER TOLEDO HR73 MOIST	  	 	4,305	  	  	 	3,407	  	  	 	898	  
											
	0001	  	YU	  	00001140	  	0043	  	00238184	  	12/1/2001	  	 	10	  	  	PL ELS EVAPORATIVE LIGHT	  	 	14,074	  	  	 	11,022	  	  	 	3,052	  
											
	0001	  	YU	  	00001140	  	0043	  	00238720	  	12/1/2001	  	 	10	  	  	BROOKFIELD RS CPS P1 CONE	  	 	17,399	  	  	 	13,630	  	  	 	3,769	  
											
	0001	  	YU	  	00001140	  	0043	  	00238980	  	12/1/2001	  	 	10	  	  	TAYLOR WHARTON 24K SRYOST	  	 	13,765	  	  	 	10,781	  	  	 	2,984	  
											
	0001	  	YU	  	00001140	  	0043	  	00238984	  	12/1/2001	  	 	10	  	  	TECAN POSID V2 RSP 150	  	 	23,650	  	  	 	18,480	  	  	 	5,170	  
											
	0001	  	YU	  	00001140	  	0043	  	00238988	  	12/1/2001	  	 	10	  	  	VIRTIS DOUBLE TIER MANIFO	  	 	1,728	  	  	 	1,357	  	  	 	371	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00238990	  	12/1/2001	  	 	10	  	  	THERMO FORMA 983 DOUBLE D	  	 	8,580	  	  	 	6,721	  	  	 	1,859	  
											
	0001	  	YU	  	00001140	  	0043	  	00238992	  	12/1/2001	  	 	10	  	  	THERMO FORMA 195051 DELUX	  	 	2,145	  	  	 	1,685	  	  	 	460	  
											
	0001	  	YU	  	00001140	  	0043	  	00238996	  	12/1/2001	  	 	10	  	  	FISHER SCIENTIFIC BIOPHOT	  	 	3,137	  	  	 	2,461	  	  	 	676	  
											
	0001	  	YU	  	00001140	  	0043	  	00239001	  	12/1/2001	  	 	10	  	  	GENOMIC SOLUTIONS INVESTI	  	 	11,984	  	  	 	9,386	  	  	 	2,598	  
											
	0001	  	YU	  	00001140	  	0043	  	00239692	  	12/1/2001	  	 	10	  	  	PRESTO LABEL WORKSTATION	  	 	23,667	  	  	 	18,542	  	  	 	5,125	  
											
	0001	  	YU	  	00001140	  	0043	  	00239934	  	1/1/2002	  	 	10	  	  	INOX 200L JACKETED MIX TA	  	 	14,231	  	  	 	11,031	  	  	 	3,200	  
											
	0001	  	YU	  	00001140	  	0043	  	00239935	  	1/1/2002	  	 	10	  	  	INOX 500L JACKETED MIX TA	  	 	18,972	  	  	 	14,702	  	  	 	4,270	  
											
	0001	  	YU	  	00001140	  	0043	  	00240071	  	1/1/2002	  	 	10	  	  	NORTHSTAR GD403 GLASSWARE	  	 	45,370	  	  	 	35,161	  	  	 	10,209	  
											
	0001	  	YU	  	00001140	  	0043	  	00240082	  	1/1/2002	  	 	10	  	  	SARTORIUS ANALYTICAL BALA	  	 	2,433	  	  	 	1,883	  	  	 	550	  
											
	0001	  	YU	  	00001140	  	0043	  	00240358	  	2/1/2002	  	 	10	  	  	PURETEC DI WATER SYSTEM F	  	 	42,796	  	  	 	32,815	  	  	 	9,981	  
											
	0001	  	YU	  	00001140	  	0043	  	00240415	  	1/1/2002	  	 	10	  	  	HP-1100 REFRACTIVE INDEX	  	 	7,051	  	  	 	7,051	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00240560	  	3/1/2002	  	 	10	  	  	INNOVA 4000 INCUBATOR BEN	  	 	5,528	  	  	 	4,193	  	  	 	1,335	  
											
	0001	  	YU	  	00001140	  	0043	  	00240563	  	3/1/2002	  	 	10	  	  	SANYO MPR-720R SINGLE DOO	  	 	3,514	  	  	 	2,662	  	  	 	852	  
											
	0001	  	YU	  	00001140	  	0043	  	00240965	  	4/1/2002	  	 	10	  	  	REVCO ULTIMA II-80C FREEZ	  	 	8,481	  	  	 	6,362	  	  	 	2,119	  
											
	0001	  	YU	  	00001140	  	0043	  	00242481	  	6/1/2002	  	 	10	  	  	DNA ENGINE CHASSIS SN: EN	  	 	5,539	  	  	 	4,064	  	  	 	1,475	  
											
	0001	  	YU	  	00001140	  	0043	  	00242483	  	6/1/2002	  	 	10	  	  	ALPHA ENGINE 30/48 DUAL S	  	 	2,389	  	  	 	1,755	  	  	 	634	  
											
	0001	  	YU	  	00001140	  	0043	  	00242679	  	7/1/2002	  	 	10	  	  	DYAD CHASSIS SN: DY002029	  	 	9,547	  	  	 	6,925	  	  	 	2,622	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00242680	  	7/1/2002	  	 	10	  	  	DYAD ALPHA UNIT SN: AL053	  	 	2,383	  	  	 	1,729	  	  	 	654	  
											
	0001	  	YU	  	00001140	  	0043	  	00242681	  	7/1/2002	  	 	10	  	  	DYAD ALPHA UNIT SN: AI053	  	 	2,383	  	  	 	1,728	  	  	 	655	  
											
	0001	  	YU	  	00001140	  	0043	  	00243207	  	8/1/2002	  	 	10	  	  	FLUORCHEM 8800 DIGITAL IM	  	 	18,077	  	  	 	12,958	  	  	 	5,119	  
											
	0001	  	YU	  	00001140	  	0043	  	00243208	  	8/1/2002	  	 	10	  	  	FLUORCHEM 8800 DIGITAL IM	  	 	18,077	  	  	 	12,958	  	  	 	5,119	  
											
	0001	  	YU	  	00001140	  	0043	  	00243212	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243213	  	8/1/2002	  	 	10	  	  	KUHNER ISF-Q-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243214	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243215	  	8/1/2002	  	 	10	  	  	KUHNER ISF-Q-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243216	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243217	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243218	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243219	  	8/1/2002	  	 	10	  	  	KUNER ISF-1-W SHAKERINCUB	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243220	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,792	  	  	 	5,852	  
											
	0001	  	YU	  	00001140	  	0043	  	00243221	  	8/1/2002	  	 	10	  	  	KUHNER ISF-1-W SHAKERINCU	  	 	20,644	  	  	 	14,793	  	  	 	5,851	  
											
	0001	  	YU	  	00001140	  	0043	  	00244228	  	10/1/2002	  	 	10	  	  	JULABO F34/MD CIRCULATOR	  	 	3,833	  	  	 	2,683	  	  	 	1,150	  
											
	0001	  	YU	  	00001140	  	0043	  	00244234	  	10/1/2002	  	 	10	  	  	AGILENT G1312A 1100 SERIE	  	 	13,382	  	  	 	9,368	  	  	 	4,014	  
											
	0001	  	YU	  	00001140	  	0043	  	00244235	  	10/1/2002	  	 	10	  	  	AGILENT G1379A 1100 SERIE	  	 	3,143	  	  	 	2,198	  	  	 	945	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00244236	  	10/1/2002	  	 	10	  	  	AGILENT G1313A 1100 SERIE	  	 	11,245	  	  	 	7,877	  	  	 	3,368	  
											
	0001	  	YU	  	00001140	  	0043	  	00244237	  	10/1/2002	  	 	10	  	  	AGILENT G1365B 1100 SERIE	  	 	11,921	  	  	 	8,345	  	  	 	3,576	  
											
	0001	  	YU	  	00001140	  	0043	  	00245890	  	12/1/2002	  	 	10	  	  	GENESIS FREEDOM 200 TEMO	  	 	293,020	  	  	 	200,233	  	  	 	92,787	  
											
	0001	  	YU	  	00001140	  	0043	  	00245924	  	11/1/2002	  	 	10	  	  	GEA 1000 LITER BATCH TANK	  	 	17,549	  	  	 	12,135	  	  	 	5,414	  
											
	0001	  	YU	  	00001140	  	0043	  	00246351	  	12/1/2002	  	 	10	  	  	SPAN 8 SINGLE PACKAGED BF	  	 	117,540	  	  	 	80,267	  	  	 	37,273	  
											
	0001	  	YU	  	00001140	  	0043	  	00246381	  	12/1/2002	  	 	10	  	  	GENE TAC HYDRIDIZATION ST	  	 	57,825	  	  	 	39,492	  	  	 	18,333	  
											
	0001	  	YU	  	00001140	  	0043	  	00247313	  	11/1/2002	  	 	10	  	  	GENETIX QFILL2 SN: 799	  	 	7,638	  	  	 	5,285	  	  	 	2,353	  
											
	0001	  	YU	  	00001140	  	0043	  	00247516	  	12/1/2002	  	 	10	  	  	DIONEX AS40 AUTOMATED SAM	  	 	11,207	  	  	 	7,661	  	  	 	3,546	  
											
	0001	  	YU	  	00001140	  	0043	  	00247523	  	11/1/2002	  	 	10	  	  	PERISTALIC PUMP, MODEL #7	  	 	5,023	  	  	 	4,511	  	  	 	512	  
											
	0001	  	YU	  	00001140	  	0043	  	00247712	  	12/1/2002	  	 	10	  	  	AMERSHAM BIOSCIENCES CHRO	  	 	27,137	  	  	 	18,319	  	  	 	8,818	  
											
	0001	  	YU	  	00001140	  	0043	  	00247749	  	1/1/2003	  	 	10	  	  	DELTA V 20L FERNENTORS BA	  	 	48,924	  	  	 	33,023	  	  	 	15,901	  
											
	0001	  	YU	  	00001140	  	0043	  	00248051	  	8/1/2000	  	 	10	  	  	U LINE UNDERCOUNTER REFRI	  	 	10,001	  	  	 	9,167	  	  	 	834	  
											
	0001	  	YU	  	00001140	  	0043	  	00249556	  	1/1/2001	  	 	10	  	  	AKTA EXPLORER 10 SYSTEM 1	  	 	45,711	  	  	 	39,998	  	  	 	5,713	  
											
	0001	  	YU	  	00001140	  	0043	  	00250863	  	6/1/2001	  	 	10	  	  	CENTRIFUGE, FLOOR MODELJ2	  	 	3,648	  	  	 	3,042	  	  	 	606	  
											
	0001	  	YU	  	00001140	  	0043	  	00252083	  	8/1/2003	  	 	10	  	  	NIKON TS100 INVERTED	  	 	6,111	  	  	 	3,770	  	  	 	2,341	  
											
	0001	  	YU	  	00001140	  	0043	  	00252103	  	7/1/2003	  	 	10	  	  	QIAGEN 4-15C CENTRIFUGE	  	 	8,720	  	  	 	5,452	  	  	 	3,268	  
											
	0001	  	YU	  	00001140	  	0043	  	00252104	  	7/1/2003	  	 	10	  	  	QIAGEN 2X96 PLATE ROTOR	  	 	969	  	  	 	606	  	  	 	363	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00252139	  	8/1/2003	  	 	10	  	  	JOUAN IGO5OR STACKED	  	 	7,299	  	  	 	4,504	  	  	 	2,795	  
											
	0001	  	YU	  	00001140	  	0043	  	00252140	  	9/1/2003	  	 	10	  	  	ARIETE NS2006H NIRO-	  	 	36,949	  	  	 	22,479	  	  	 	14,470	  
											
	0001	  	YU	  	00001140	  	0043	  	00252434	  	10/1/2003	  	 	10	  	  	THERMO FORMA 2-8C REFRIG.	  	 	5,794	  	  	 	5,109	  	  	 	685	  
											
	0001	  	YU	  	00001140	  	0043	  	00252824	  	9/1/2003	  	 	10	  	  	WAVE BIOREACTOR ROCKER	  	 	3,484	  	  	 	3,077	  	  	 	407	  
											
	0001	  	YU	  	00001140	  	0043	  	00252826	  	9/1/2003	  	 	10	  	  	BIOLOGICAL SAFETY CABINET	  	 	5,323	  	  	 	4,701	  	  	 	621	  
											
	0001	  	YU	  	00001140	  	0043	  	00252830	  	9/1/2003	  	 	10	  	  	AKTA EXPLORER W/ CONTROL	  	 	81,357	  	  	 	71,845	  	  	 	9,512	  
											
	0001	  	YU	  	00001140	  	0043	  	00252831	  	9/1/2003	  	 	10	  	  	OSMOMETER MICRO	  	 	6,000	  	  	 	5,299	  	  	 	701	  
											
	0001	  	YU	  	00001140	  	0043	  	00252836	  	9/1/2003	  	 	10	  	  	CONDUCTIVITY METER W/	  	 	1,032	  	  	 	911	  	  	 	121	  
											
	0001	  	YU	  	00001140	  	0043	  	00252837	  	9/1/2003	  	 	10	  	  	PERPHECT PH ORION METER	  	 	1,032	  	  	 	911	  	  	 	121	  
											
	0001	  	YU	  	00001140	  	0043	  	00252842	  	9/1/2003	  	 	10	  	  	TABLE ORBITAL SHAKER	  	 	3,097	  	  	 	2,734	  	  	 	363	  
											
	0001	  	YU	  	00001140	  	0043	  	00252957	  	11/1/2003	  	 	10	  	  	AGILENT 1100 SERIES	  	 	12,314	  	  	 	7,284	  	  	 	5,030	  
											
	0001	  	YU	  	00001140	  	0043	  	00253061	  	11/1/2003	  	 	10	  	  	GEA-NIRO SOAVI NS 100 1L	  	 	15,723	  	  	 	9,284	  	  	 	6,439	  
											
	0001	  	YU	  	00001140	  	0043	  	00253829	  	12/1/2003	  	 	10	  	  	GEA NIRO CONTROL PANEL	  	 	15,862	  	  	 	9,244	  	  	 	6,618	  
											
	0001	  	YU	  	00001140	  	0043	  	00253830	  	12/1/2003	  	 	10	  	  	GEA NIRO FEED PUMP	  	 	2,974	  	  	 	1,732	  	  	 	1,242	  
											
	0001	  	YU	  	00001140	  	0043	  	00253832	  	12/1/2003	  	 	10	  	  	GEA NIRO LOOP CONTROLLER	  	 	1,239	  	  	 	724	  	  	 	515	  
											
	0001	  	YU	  	00001140	  	0043	  	00253833	  	12/1/2003	  	 	10	  	  	GEA NIRO INLET GUAGEW	  	 	991	  	  	 	577	  	  	 	414	  
											
	0001	  	YU	  	00001140	  	0043	  	00254083	  	12/1/2003	  	 	10	  	  	AGILENT 1100 VARIABLE	  	 	3,333	  	  	 	1,945	  	  	 	1,388	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00254713	  	1/1/2004	  	 	10	  	  	MJ RESEARCH DNA ENG.	  	 	8,678	  	  	 	4,992	  	  	 	3,686	  
											
	0001	  	YU	  	00001140	  	0043	  	00254714	  	1/1/2004	  	 	10	  	  	AGILENT 1100 UV LC DET	  	 	6,509	  	  	 	3,744	  	  	 	2,765	  
											
	0001	  	YU	  	00001140	  	0043	  	00254715	  	1/1/2004	  	 	10	  	  	AGILENT 1100 UV LC DET	  	 	6,509	  	  	 	3,744	  	  	 	2,765	  
											
	0001	  	YU	  	00001140	  	0043	  	00254716	  	1/1/2004	  	 	10	  	  	MOL. DEV. SKANWASHER 400	  	 	6,509	  	  	 	3,744	  	  	 	2,765	  
											
	0001	  	YU	  	00001140	  	0043	  	00254717	  	1/1/2004	  	 	10	  	  	AKTA 100 EXPLORER	  	 	78,103	  	  	 	44,911	  	  	 	33,192	  
											
	0001	  	YU	  	00001140	  	0043	  	00255057	  	2/1/2004	  	 	10	  	  	MJ RESEARCH OPTICON QPRC	  	 	22,599	  	  	 	12,807	  	  	 	9,792	  
											
	0001	  	YU	  	00001140	  	0043	  	00255682	  	4/1/2004	  	 	10	  	  	NOVA BP300 BIOPROFILE	  	 	32,393	  	  	 	17,817	  	  	 	14,576	  
											
	0001	  	YU	  	00001140	  	0043	  	00263582	  	10/1/2004	  	 	10	  	  	MOLECULAR DEVICES SKAN	  	 	7,523	  	  	 	3,761	  	  	 	3,762	  
											
	0001	  	YU	  	00001140	  	0043	  	00277032	  	2/1/2005	  	 	10	  	  	AMERSHAM	  	 	5,565	  	  	 	5,565	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00277033	  	2/1/2005	  	 	10	  	  	AMERSHAM	  	 	5,565	  	  	 	5,565	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0043	  	00277053	  	2/1/2005	  	 	10	  	  	DASGIP FEDBATCH-PRO (8)	  	 	193,034	  	  	 	90,083	  	  	 	102,951	  
											
	0001	  	YU	  	00001140	  	0043	  	00279118	  	4/1/2005	  	 	10	  	  	VWR - BIOPHOTOMETER	  	 	16,308	  	  	 	7,341	  	  	 	8,967	  
											
	0001	  	YU	  	00001140	  	0043	  	00279119	  	4/1/2005	  	 	10	  	  	HARVARD ELECTROPORATOR	  	 	7,610	  	  	 	3,425	  	  	 	4,185	  
											
	0001	  	YU	  	00001140	  	0043	  	00279120	  	4/1/2005	  	 	10	  	  	SAVANT VAPOR TRAP	  	 	3,262	  	  	 	1,468	  	  	 	1,794	  
											
	0001	  	YU	  	00001140	  	0043	  	00279121	  	4/1/2005	  	 	10	  	  	FLUORCHEM IMAGING SYSTEM	  	 	31,528	  	  	 	14,190	  	  	 	17,338	  
											
	0001	  	YU	  	00001140	  	0043	  	00279122	  	4/1/2005	  	 	10	  	  	AVANTI CENTRIFUGE	  	 	50,010	  	  	 	22,507	  	  	 	27,503	  
											
	0001	  	YU	  	00001140	  	0043	  	00279134	  	5/1/2005	  	 	10	  	  	COLUMN DI/NI	  	 	4,551	  	  	 	2,011	  	  	 	2,540	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00279135	  	5/1/2005	  	 	10	  	  	COLUMN DI/NI	  	 	4,551	  	  	 	2,011	  	  	 	2,540	  
											
	0001	  	YU	  	00001140	  	0043	  	00279136	  	5/1/2005	  	 	10	  	  	FIXED ANGLE ROTOR W/LID	  	 	6,427	  	  	 	2,840	  	  	 	3,587	  
											
	0001	  	YU	  	00001140	  	0043	  	00279137	  	5/1/2005	  	 	10	  	  	PORTABLE FLR SCALE W/ ACC	  	 	10,181	  	  	 	4,498	  	  	 	5,683	  
											
	0001	  	YU	  	00001140	  	0043	  	00285041	  	12/1/2005	  	 	10	  	  	SCI-LOG FILTER -TEC PLUS	  	 	13,235	  	  	 	5,075	  	  	 	8,160	  
											
	0001	  	YU	  	00001140	  	0043	  	00285360	  	12/1/2005	  	 	10	  	  	MIRCROREACTOR TECHNOLOGIE	  	 	185,690	  	  	 	71,181	  	  	 	114,509	  
											
	0001	  	YU	  	00001140	  	0043	  	00285686	  	1/1/2006	  	 	10	  	  	AVANTI ROTOR ASSEMBLY	  	 	9,141	  	  	 	3,428	  	  	 	5,713	  
											
	0001	  	YU	  	00001140	  	0043	  	00285759	  	1/1/2006	  	 	10	  	  	CALIPER LABCHIP 90	  	 	75,910	  	  	 	28,467	  	  	 	47,443	  
											
	0001	  	YU	  	00001140	  	0043	  	00297271	  	11/1/2006	  	 	10	  	  	DASGIP FEDBATCH-PRO	  	 	241,483	  	  	 	70,433	  	  	 	171,050	  
											
	0001	  	YU	  	00001140	  	0043	  	00297272	  	12/1/2006	  	 	10	  	  	CALIPER LABCHIP 90 SYSTEM	  	 	80,424	  	  	 	22,786	  	  	 	57,638	  
											
	0001	  	YU	  	00001140	  	0043	  	00298716	  	11/1/2006	  	 	10	  	  	TS SERIES BENCHTOP CELL	  	 	39,894	  	  	 	11,636	  	  	 	28,258	  
											
	0001	  	YU	  	00001140	  	0043	  	00299932	  	1/1/2007	  	 	10	  	  	FORTEBIO OCTET SYSTEM	  	 	97,573	  	  	 	26,831	  	  	 	70,742	  
											
	0001	  	YU	  	00001140	  	0043	  	00299978	  	1/1/2007	  	 	10	  	  	BRANSON ULTRASONICS	  	 	3,238	  	  	 	892	  	  	 	2,346	  
											
	0001	  	YU	  	00001140	  	0043	  	00300028	  	1/1/2007	  	 	10	  	  	SARTORIUS SARTOCON SLICE	  	 	11,290	  	  	 	3,104	  	  	 	8,186	  
											
	0001	  	YU	  	00001140	  	0043	  	00304180	  	11/1/2000	  	 	10	  	  	BIOFLO 3000 TMC FERMENTOR	  	 	40,801	  	  	 	36,381	  	  	 	4,420	  
											
	0001	  	YU	  	00001140	  	0043	  	00304181	  	11/1/2000	  	 	10	  	  	BIOFLO 3000 TMC FERMENTOR	  	 	40,801	  	  	 	36,381	  	  	 	4,420	  
											
	0001	  	YU	  	00001140	  	0043	  	00304705	  	6/1/2007	  	 	10	  	  	CELLERATOR U-24 CHANGED	  	 	32,325	  	  	 	7,544	  	  	 	24,781	  
											
	0001	  	YU	  	00001140	  	0043	  	00304706	  	7/1/2007	  	 	10	  	  	DASGIP1 TOP DRIVE	  	 	91,598	  	  	 	20,611	  	  	 	70,987	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0043	  	00304871	  	7/1/2007	  	 	10	  	  	BIORAD TETRAD PT240G	  	 	24,879	  	  	 	5,598	  	  	 	19,281	  
											
	0001	  	YU	  	00001140	  	0043	  	00305639	  	8/1/2007	  	 	10	  	  	WYATT TECHNOLOGIES	  	 	93,583	  	  	 	20,277	  	  	 	73,306	  
											
	0001	  	YU	  	00001140	  	0043	  	00305653	  	8/1/2007	  	 	10	  	  	BECKMAN COULTER	  	 	3,860	  	  	 	835	  	  	 	3,025	  
											
	0001	  	YU	  	00001140	  	0043	  	00309914	  	1/1/2008	  	 	10	  	  	SPECTRAMAX M2E	  	 	57,598	  	  	 	10,081	  	  	 	47,517	  
											
	0001	  	YU	  	00001140	  	0043	  	00310319	  	1/1/2008	  	 	10	  	  	SCINOMIX AUTOMATED	  	 	89,628	  	  	 	15,686	  	  	 	73,942	  
											
	0001	  	YU	  	00001140	  	0043	  	00310396	  	1/1/2008	  	 	10	  	  	DASGIP	  	 	78,511	  	  	 	13,740	  	  	 	64,771	  
											
	0001	  	YU	  	00001140	  	0043	  	00313432	  	6/1/2008	  	 	10	  	  	4-BOWL SUPER Q WATER SYST	  	 	21,326	  	  	 	2,846	  	  	 	18,480	  
											
	0001	  	YU	  	00001140	  	0043	  	00313433	  	6/1/2008	  	 	10	  	  	CHROMATOGRAPHY CLEAN RM	  	 	21,326	  	  	 	2,846	  	  	 	18,480	  
											
	0001	  	YU	  	00001140	  	0047	  	00225633	  	12/1/2000	  	 	10	  	  	AKTA EXPLORER 100 COMPAC	  	 	82,992	  	  	 	73,297	  	  	 	9,695	  
											
	0001	  	YU	  	00001140	  	0047	  	00225634	  	12/1/2000	  	 	10	  	  	AKTA EXPLORER 10 W/P950-F	  	 	67,902	  	  	 	59,971	  	  	 	7,931	  
											
	0001	  	YU	  	00001140	  	0047	  	00226414	  	11/17/2000	  	 	10	  	  	Printer;LC-P45;Mettler To	  	 	377	  	  	 	335	  	  	 	42	  
											
	0001	  	YU	  	00001140	  	0047	  	00226415	  	11/17/2000	  	 	10	  	  	Programmable Power Supply	  	 	2,828	  	  	 	2,500	  	  	 	328	  
											
	0001	  	YU	  	00001140	  	0047	  	00226416	  	11/17/2000	  	 	10	  	  	Programmable Power Supply	  	 	2,828	  	  	 	2,828	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0047	  	00226417	  	11/17/2000	  	 	10	  	  	Programmable Power Supply	  	 	2,828	  	  	 	2,500	  	  	 	328	  
											
	0001	  	YU	  	00001140	  	0047	  	00241938	  	5/1/2002	  	 	10	  	  	DELL POWEREDGE 1500SC COM	  	 	3,388	  	  	 	2,515	  	  	 	873	  
											
	0001	  	YU	  	00001140	  	0047	  	00252627	  	11/1/2003	  	 	5	  	  	DELL OPTIPLEX GX270T	  	 	1,240	  	  	 	1,240	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0047	  	00252628	  	11/1/2003	  	 	5	  	  	DELL OPTIPLEX GX270T	  	 	1,240	  	  	 	1,240	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0047	  	00252629	  	11/1/2003	  	 	5	  	  	DELL OPTIPLEX GX270T	  	 	1,240	  	  	 	1,240	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0047	  	00252630	  	11/1/2003	  	 	5	  	  	DELL OPTIPLEX GX270T	  	 	1,240	  	  	 	1,240	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0047	  	00295295	  	8/1/2006	  	 	5	  	  	SYNCSORT BACKUP NETAPP	  	 	11,143	  	  	 	7,060	  	  	 	4,083	  
											
	0001	  	YU	  	00001140	  	0071	  	00232804	  	8/1/2001	  	 	14	  	  	BUILDING A STEELCASE FURN	  	 	332,546	  	  	 	193,984	  	  	 	138,562	  
											
	0001	  	YU	  	00001140	  	0071	  	00248035	  	3/1/1999	  	 	10	  	  	LAB FURNITURE POOL 110 CH	  	 	33,569	  	  	 	33,569	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0071	  	00248036	  	3/1/1999	  	 	10	  	  	LAB FURNITURE POOL CHAIRS	  	 	11,898	  	  	 	11,898	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0071	  	00248064	  	9/1/2000	  	 	14	  	  	OFFICE FURNITURE FOR LOBB	  	 	6,083	  	  	 	3,944	  	  	 	2,139	  
											
	0001	  	YU	  	00001140	  	0072	  	00220616	  	11/1/1998	  	 	5	  	  	PRESENTATION PROJECTOR	  	 	3,020	  	  	 	3,020	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0072	  	00248028	  	2/1/1996	  	 	3	  	  	POSTAGE METER ASCOM HASLE	  	 	1,334	  	  	 	1,334	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0072	  	00248031	  	7/1/1996	  	 	6	  	  	OFFICE EQUIPMENT FOLDER	  	 	474	  	  	 	474	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00222722	  	10/1/2000	  	 	5	  	  	DELL POWEREDGE 1300 PIII	  	 	6,137	  	  	 	6,137	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00222726	  	10/1/2000	  	 	5	  	  	DELL POWEREDGE 6400 18G	  	 	1,611	  	  	 	1,611	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00237106	  	11/1/2001	  	 	3	  	  	SQL SERVER NT WINDOWS PRO	  	 	3,970	  	  	 	3,970	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00242431	  	6/1/2002	  	 	3	  	  	PROXIMA DP 6860 MULTIMEDI	  	 	4,972	  	  	 	4,972	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00242484	  	6/1/2002	  	 	3	  	  	PROXIMA X350 MULTIMEDIA P	  	 	3,636	  	  	 	3,636	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00242485	  	6/1/2002	  	 	3	  	  	PROXIMA X350 MULTIMEDIA P	  	 	3,636	  	  	 	3,636	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00243176	  	8/1/2002	  	 	10	  	  	PROXIMA X350 MULTIMEDIA P	  	 	3,438	  	  	 	2,467	  	  	 	971	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0073	  	00243178	  	8/1/2002	  	 	3	  	  	PROXIMA X350 MULTIMEDIA P	  	 	3,438	  	  	 	3,438	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00247688	  	12/1/2002	  	 	3	  	  	PROXIMA X350 MULTIMEDIA P	  	 	3,553	  	  	 	3,553	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00281591	  	9/1/2005	  	 	3	  	  	CISPRO CHEMICAL INVENTORY	  	 	7,321	  	  	 	7,321	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00284833	  	12/1/2005	  	 	3	  	  	SAMSUNG 915N-BLACK 19 IN.	  	 	3,845	  	  	 	3,845	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0073	  	00285808	  	1/1/2006	  	 	5	  	  	STORVANTAGE	  	 	85,342	  	  	 	64,006	  	  	 	21,336	  
											
	0001	  	YU	  	00001140	  	0086	  	00220372	  	6/1/2000	  	 	5	  	  	VECTOR INFORMAX NTI SUITE	  	 	30,018	  	  	 	30,018	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00227280	  	12/1/2000	  	 	5	  	  	VECTOR NTI SUITE 2.0 SOFT	  	 	29,235	  	  	 	29,235	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00230198	  	5/1/2001	  	 	5	  	  	DNA SEQUIENCING SOFTWARE	  	 	4,498	  	  	 	4,498	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00230199	  	5/1/2001	  	 	5	  	  	DNA SEQUIENCING SOFTWARE	  	 	4,498	  	  	 	4,498	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00238559	  	12/1/2001	  	 	5	  	  	GENEMATHS SOFTWARE VERSIO	  	 	7,514	  	  	 	7,514	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00240913	  	4/1/2002	  	 	5	  	  	CORELIMS PLUS DBMS SOFTWA	  	 	5,297	  	  	 	5,297	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00240914	  	4/1/2002	  	 	5	  	  	PHRED INTERFACE SOFTWARE	  	 	1,606	  	  	 	1,606	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00240962	  	4/1/2002	  	 	5	  	  	PHRAP CROSS MATCH SOFTWAR	  	 	4,000	  	  	 	4,000	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00240963	  	4/1/2002	  	 	5	  	  	PHRAP OTT SOFTWARE	  	 	2,000	  	  	 	2,000	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00242418	  	6/1/2002	  	 	5	  	  	SEQUENCHER SOFTWARE	  	 	8,998	  	  	 	8,998	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00243023	  	8/1/2002	  	 	5	  	  	GENE DIRECTOR BASE SOFTWA	  	 	95,309	  	  	 	95,309	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00244241	  	10/1/2002	  	 	5	  	  	SIGNALLP SOFTWARE	  	 	8,543	  	  	 	8,543	  	  	 	0	  

																													
	 Dow
Company
Code
	  	Plant
Code	  	Cost Center
Number	  	Asset
Class	  	Asset
Number	  	Capitalization
Date	  	Useful
Life
Year
Book	 	  	 Asset Description 1
	  	Data
Acquisition
Cost	 	  	Accum Depr	 	  	Net Book
Value	 
											
	0001	  	YU	  	00001140	  	0086	  	00245352	  	11/1/2002	  	 	5	  	  	SEQUENCHER DNA SOFTWARE	  	 	8,998	  	  	 	8,998	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00247333	  	12/1/2002	  	 	5	  	  	INFORMAX VECTOR NTI LAB S	  	 	28,551	  	  	 	28,551	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0086	  	00247527	  	12/1/2002	  	 	5	  	  	SEQUENCHER SOFTWARE FOR W	  	 	5,042	  	  	 	5,042	  	  	 	0	  
											
	0001	  	YU	  	00001140	  	0087	  	00281592	  	9/1/2005	  	 	5	  	  	CISPRO CHEMICAL INVENTORY	  	 	7,189	  	  	 	5,873	  	  	 	1,316	  
											
	0001	  	YU	  	00001140	  	0087	  	00285809	  	1/1/2006	  	 	5	  	  	STORVANTAGE NET APP	  	 	42,313	  	  	 	31,736	  	  	 	10,577	  
											
	0001	  	YU	  	00001140	  	0087	  	00295455	  	8/1/2006	  	 	5	  	  	SYNCSORT BACKUP NETAPP	  	 	15,495	  	  	 	9,813	  	  	 	5,682	  
											
	0001	  	YY	  	00001424	  	9900	  	00251322	  	1/1/2000	  	 	5	  	  	Axis Genetics - Biotechno	  	 	683,000	  	  	 	683,000	  	  	 	0	  
											
	0001	  	YY	  	00001424	  	9902	  	00251321	  	1/1/2000	  	 	5	  	  	Axis Genetics - Biotechno	  	 	929,000	  	  	 	929,000	  	  	 	0	  
		  		  		  		  		  		  				  		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
											
	Grand
Total	  		  		  		  		  		  				  		  	 	12,676,775	  	  	 	10,098,610	  	  	 	2,578,165EX-10.12

 Exhibit 10.12 
  

 
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT 
  

			
	SUBCONTRACTOR:	 	SUBCONTRACT #: P010022290
	The Dow Chemical Company	 	MODIFICATION #: NA
	ADDRESS: 2030 Dow Center Midland, MI 48674	 	DPAS RATING: NA
		 	 TYPE: FIRM FIXED PRICE
 COMMERCIAL
ITEMS (GOVERNMENT)

		 	VALUE: $336,800.00

 INTRODUCTION 

This Subcontract Agreement, effective September 11, 2009 is made between SCIENCE APPLICATIONS INTERNATIONAL CORPORATION (hereinafter known as
“Buyer”), a Delaware corporation with principal offices in San Diego, California, and The Dow Chemical Company (hereinafter known as “Seller”), a Delaware corporation with principal offices in Midland, MI. The effort to be
performed by Seller under this Subcontract will be part of Buyer’s Prime Contract # N01-AI-05421 which has been issued by National Institutes of Allergy and Infectious Diseases (NIAID). The work, defined in Attachment I (Statement of Work and
Schedule) will be performed on a Firm Fixed-Price basis, in accordance with Schedule A (Specific Terms and Conditions), and any referenced documents listed in 17.0 Order of Precedence section of this agreement, 

SCHEDULE A 
 SPECIFIC
TERMS AND CONDITIONS 
  

	1.0	PRICE 

 The total firm fixed price for the work to be performed under this Subcontract is $336,800. This
Subcontract is fully funded in the amount of $336,800 including profit. 
  

	1.1	DELIVERY 

 The goods and services required by this subcontract shall be delivered in accordance with the
delivery schedule contained in this agreement. The time of delivery stated is of the essence of this Subcontract. The date specified for delivery is the required delivery date at Buyer’s plant, unless otherwise specifically noted herein. All
items furnished under this subcontract shall be delivered FOB Destination, unless specified otherwise in writing by the Buyer’s contractual representative. Delivery shall not be deemed complete until the goods have been actually received
and accepted by Buyer, notwithstanding delivery to any carrier, or until orders for services have been performed, received, and accepted by Buyer. 
  

	1.2	INSPECTION 

 All goods supplied and services performed pursuant hereto shall be subject to inspection and
test by buyer and its agents and by its customers at all times and places, whether during or after manufacture as to goods, or performance as to services, and notwithstanding the terms of delivery or payment or, as to goods, that title has not yet
passed to Buyer or to its customers. In the event that goods supplied are not performed in accordance with the specifications and instructions of Buyer, Buyer may require prompt correction thereof, or as to services, require that the services be
rendered again at Seller’s expense. Buyer may terminate the subcontract for default if such defects exist and if Seller is unable or refuses to replace the goods or render the services again promptly. 

  
  

Page 1 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	1.3	INVOICES 

 Invoices shall be prepared in duplicate and contain the following information; subcontract
number, subproject number, Stage #. Invoices will be mailed to: 
 Science Applications International Corporation 

Attention: Gina B. McGeehan 
 5202
Presidents Court, Suite 110 
 Frederick, Maryland 21703 

Invoices shall clearly reference a unique invoice number on each invoice, and the date of the invoice. Invoices shall include the “Amount Previously
Billed,” the “Amount of this Invoice,” and the “Total Amount Billed to Date.” 
  

	1.4	PAYMENT 

 For each Stage of work there will be two invoices each totaling 50 % of the price for each
Stage of Work, an initial invoice upon commencement of the Stage and a final invoice upon acceptance of the final report for each Stage. Payment terms will be Net 45 days from date of invoice. Upon receipt of invoice Buyer shall within five
(5) business days review the invoice and determine if the invoice is acceptable. If Buyer reasonable deems the invoice unacceptable Buyer shall contact Seller and Seller shall reissue a conforming invoice with a new date of invoice. If
(1) Buyer does not pay on time or (2) Buyer’s financial responsibility becomes unsatisfactory (S&P rating below BBB- or Moody’s rating below Baa3) to Seller and Seller deems itself insecure, Seller may accelerate the
due date and demand immediate payment on any outstanding invoice for Product, or may require cash payments or satisfactory security for future deliveries and for payment of all sums owed under this Agreement. Buyer agrees to pay all costs and
expenses, including reasonable attorney’s fees, incurred by Seller in the collection of any sum payable by Buyer to Seller, or in the exercise of any remedy. Dow may charge Prime +2% on all overdue amounts. 

 

	1.5	WARRANTY 

 BUYER UNDERSTANDS AND ACKNOWLEDGES THAT MATERIAL IS EXPERIMENTAL AND BY PROVIDING MATERIAL
SELLER MAKES NO REPRESENTATIONS OR WARRANTIES OF ANY KIND, EITHER EXPRESS OR IMPLIED, AS TO ANY MATTER, INCLUDING WITHOUT LIMITATION, ANY EXPRESS OR IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS OF THE MATERIAL PROVIDED HEREUNDER FOR ANY
PARTICULAR PURPOSE OTHER THAN AS REQUIRED BY THE STATEMENT OF WORK OR THAT THE USE OF THE MATERIAL OR ANY PRODUCT OR PROCESS DERIVED OR PRODUCED THEREFROM WILL NOT INFRINGE ANY PATENT, COPYRIGHT OR OTHER RIGHTS OF THIRD PARTIES. BUYER HEREBY AGREES
THAT IN NO EVENT SHALL SELLER BE LIABLE FOR ANY DIRECT, INDIRECT OR CONSEQUENTIAL DAMAGES, RESULTING FROM ANY USE BY BUYER OF THE MATERIAL AND ALL DERIVATIVES THEREOF OUTSIDE OF THE SCOPE OF THIS AGREEMENT. ADDITIONALLY, THE SELLER WARRANTS THE
PRICE CHARGED FOR THE GOODS AND/OR SERVICES PURCHASED PURSUANT HERETO SHALL BE NO HIGHER THAN SELLER’S CURRENT PRICE TO ANY OTHER CUSTOMER FOR THE SAME QUALITY AND QUANTITY OF SUCH GOODS OR SERVICES. 

 

	2.0	TECHNICAL AND CONTRACTUAL REPRESENTATIVES 

 The following authorized representatives are hereby
designated for this Subcontract 
  

											
	SELLER:	  		  		  	BUYER:	  		  	
		  	TECHNICAL:	  	 Silvia Chang
	  		  	TECHNICAL:	  	 Steve Huang

		  	CONTRACTUAL:	  	 Patrick Lucy
	  		  	CONTRACTUAL:	  	 Gina B. McGeehan

  

	2.1	CONTACTS 

 Contacts with Buyer that affect the subcontract prices, schedule, statement of work, and
subcontract terms and conditions shall be made with the authorized contractual representative. No changes to this Subcontract shall be binding upon Buyer unless incorporated in a written modification to the Subcontract and signed by Buyer’s
contractual representative. 

  
  

Page 2 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	2.2	CHANGES 

 Buyer may, by reasonable written notice to Seller make changes within the general scope of this
Order in any one or more of the following (a) drawings, designs or specifications; (b) quantity; (c) time or place of delivery; (d) method of shipment or packing; and (e) the quantity of Buyer furnished property. Upon
Buyer’s written notice, Buyer may, for any reason, direct Seller to suspend, in whole or in part, delivery of goods or performance of services hereunder for such period of time as may be determined by Buyer in its sole discretion. If any such
change or suspension causes a material increase or decrease in the cost of, or the lime required for the performance of any part of the Service under this Order, the parties will jointly determine an equitable adjustment in the Order price or
delivery schedule, or both No such adjustment or any other modification of the terms of this Order will be allowed unless authorized by both parties by means of a written modification to the Order. Failure to agree to any adjustment shall be a
dispute under the Disputes clause of this subcontract. However, Seller shall proceed with the work as changed without interruption and without awaiting settlement of any such claim. 

 

	3.0	DISCLOSURE 

 Seller shall not disclose information concerning work under this Subcontract to any third
party, unless such disclosure is necessary for the performance of the subcontract effort. No news releases, public announcement, denial or confirmation of any part of the subject matter of this Subcontract or any phase of any program hereunder shall
be made without prior written consent of Buyer. The restrictions of this paragraph shall continue in effect upon completion or termination of this Subcontract for such period of time as may be mutually agreed upon in writing by the parties. In the
absence of a written established period, no disclosure is authorized. Failure to comply with the provisions of this Clause may be cause for termination of this subcontract 
  

	4.0	KEY PERSONNEL 

  

	(a)	For purposes of this clause, Buyer and Seller define “Key Personnel” as those individuals who are mutually recognized as essential to the successful completion and execution of this Subcontract.

  

	(b)	Personnel designated as “Key Personnel” shall be assigned to the extent necessary for the timely completion of the task to which assigned. Any substitution or reassignment involving Seller’s “Key
Personnel” assigned to this work shall be made only with persons of equal abilities and qualifications and is subject to prior approval of Buyer, in writing which will not be unreasonably withheld. 

 

	(c)	Buyer reserves the right to request the removal and Seller shall endeavor to remove any individual assigned to this Subcontract if individual is deemed not qualified, or performs at an unacceptable level, or is
requested by its client to do so. If Buyer is not satisfied with how the issue is resolved by Seller, Buyer may resolve the issue according to Section 10 of this Subcontract or alternatively may terminate this Subcontract according to
Section 11 of this Subcontract at Buyers sole discretion. 

  

	(d)	Seller’s Key Personnel are: Diane Retallack, Ph.D., Lawrence Chew, Ph.D. and Jeffrey Allen, Ph.D. 

  

	5.0	ASSIGNMENTS AND SUBCONTRACTS 

 With a proper 30-day advance notification to Buyer, Dow shall have the
right to assign this Agreement in connection with the reorganization, consolidation, spin-off, sale or transfer of assets related to that portion of its business pertaining to the subject matter of this Agreement, either alone or in conjunction with
other Dow businesses. In addition, Dow shall have the right to assign its respective rights or obligations and delegate its performance hereunder, in whole or in part, to any of its Affiliates with the prior written consent of Buyer which will not
be unduly withheld. Further, Seller agrees to obtain Buyer’s approval before subcontracting this Order or any substantial portion thereof; provided, however, that this limitation shall not apply to the purchase of standard commercial supplies
or raw materials. 
  

	6.0	INSURANCE PROVISION FOR PROCUREMENT CONTRACTS 

 Without prejudice to Seller’s liability to indemnify
Buyer as stated in any Indemnification provision contained in this Agreement, Seller shall procure at its expense and maintain for the duration of this Agreement the insurance policies required below with financially responsible insurance companies,
and with policy limits not less than those indicated below. 
  

	(a)	Workers’ Compensation: Coverage for statutory obligations imposed by laws of any State in which the work is to be performed, including where applicable, coverage under the United States Longshoremen’s
and Harbor Workers’ Act (USL&H), the Jones Act, and the Defense Base Act (DBA). In addition, the policy shall be endorsed to waive the insurer’s rights of subrogation in favor of Buyer. 

  
  

Page 3 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	(b)	Employer’s Liability: Coverage for injuries to employees not covered by workers’ compensation with limits of at least $1,000,000 each accident, $1,000,000 each employee by disease and $1,000,000 policy
limit by disease. In addition, the policy shall be endorsed to waive the insurer’s rights of subrogation in favor of Buyer. 

  

	(c)	Commercial General Liability: Coverage for third party bodily injury and property damage, personal injury, products and completed operations, contractual liability, and independent contractors’ liability
with limits not less than $1,000,000 per occurrence and $2,000,000 in the aggregate. Buyer, its officers and employees, and Buyer’s customer where required by Buyer’s Agreement with its customer, shall be named as Additional Insured and a
waiver of subrogation shall be provided in favor of Buyer. 

  

	(d)	Business Automobile Liability: Coverage for use of all owned, non-owned, and hired vehicles with limits of not less than $1,000,000 per occurrence combined single limit for bodily injury and property damage
liability. Buyer, its officers and employees, and Buyer’s customer where required by Buyer’s Agreement with its customer, shall be named as Additional Insured and a waiver of subrogation shall be provided in favor of Buyer.

  

	(e)	Professional Liability: If seller is performing any professional services, coverage for damages (including financial loss) caused by any acts, errors and omissions arising out Seller’s performance of
professional services with limits of not less than $1,000,000 per claim and $2,000,000 in the aggregate. 

  

	(f)	All-Risk Property Insurance: Coverage to repair or replace property, including supplies covered by this Agreement, of Buyer and/or Buyer’s customer which may be in the possession or control of Seller. Buyer
shall be named as a Loss Payee with respect to loss or damage to said property and/or supplies furnished by Buyer. Further, Seller assumes the risk of loss or destruction of or damage to any of its property and its employees’ property, whether
owned, hired, rented, borrowed, or otherwise. Seller waives and shall ensure that its employees waive all rights of recovery against Buyer and Buyer’s customer and their respective employees for any loss, destruction of or damage to any such
property. 

 The required insurance coverages above shall be primary and non-contributing with respect to any other insurance that may be
maintained by Buyer and notwithstanding any provision contained herein, the Seller, and its employees, agents, representatives, consultants, subcontractors and suppliers, are not insured by Buyer, and are not covered under any policy of insurance
that Buyer has obtained or has in place. 
 Any self-insured retentions, deductibles and exclusions in coverage in the policies required under this Article
shall be assumed by, for the account of, and at the sole risk of Seller or the subcontractor which provides the insurance and to the extent applicable shall be paid by Seller or such subcontractor. In no event shall the liability of Seller or any
subcontractor be limited to the extent of any of insurance or the minimum limits required herein. 
 Prior to commencement of any work, and within 15 days
of any policy renewal that occurs while any work is on-going under this Agreement, Seller shall provide Buyer certificates of insurance evidencing the insurance policies above, including evidence of additional insured status and waivers of
subrogation where required. Buyer reserves the right to refuse to accept policies from companies with an A.M. Best Rating of less than A- VII. Seller, or its insurers, shall provide 30 days advance written notice to Buyer in the event of
cancellation or material modification of any policy. Failure of Buyer to demand such certificates or to identify any deficiency in the insurance provided shall not be construed as or deemed to be a waiver of Seller’s, or its
subcontractors’, obligations to maintain the above insurance coverages. 
  

	7.0	INDEMNIFICATION 

  

	(a)	Seller shall indemnify, defend and hold SAIC and SAIC’s customer, NIAID, specifically related to Prime Contract # N01-AI-05421 harmless from and against any and all damages, losses, liabilities and expenses arising
out of or relating to any claims, causes of action, lawsuits or other proceedings, regardless of legal theory, that result, from Seller’s (or any of Seller’s subcontractors, suppliers, employees, agents or representatives):
(i) intentional misconduct, negligence, or fraud, (ii) breach of any representation, warranty or covenant made herein, or (iii) products or services including, without limitation, any claims that such products or services infringe any
United States patent, copyright, trademark, trade secret or any other proprietary right of any third party except to the extent such claim arises solely from the use of the Buyer Technology or Buyer Materials. Buyer will give prompt notice of any
such claim and, with respect to claims described in clause above, Seller will control the defense, settlement or compromise of such claim, provided, however, that Seller shall berequired to obtain the prior written consent of Buyer before entering
into any settlement or compromise that would not relieve Buyer from any liability for past infringement or otherwise would limit the ability of Buyer to realize the full benefit of the Services. 

 

	(b)	Buyer shall indemnify Seller (including its officers, directors and employees) for all third party claims arising from the use by Buyer (or on behalf of Buyer) of samples of products, documentation, or technology
received from Seller under this Order, except for any claim for which Seller is required to indemnify Buyer above or any claim arising as a result of the negligence or willful misconduct of Seller. Seller will give prompt notice of any such claim
and Buyer will control the defense, settlement or compromise of such claim. 

  
  

Page 4 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	8.0	INFRINGEMENT INDEMNITY 

  

	(a)	Seller warrants that it is not aware of any patent, intellectual property, or industrial property rights of any third party that would be infringed by virtue of Seller performing Services, except to the extent arising
solely from the use of Buyer Technology or Buyer Materials. Also, Seller shall indemnify Buyer (including its officers, directors, employees, and SAIC’s customer, NIAID, specifically related to Prime Contract # N01-AI-05421 for all third party
claims arising in connection with a patent infringement resulting from or related to the performance of the Services, except to the extent such claim arises solely from the use of the Buyer Technology or Buyer Materials. Buyer will give prompt
notice of any such claim and, with respect to claims described above, Seller shall control the defense, settlement or compromise of such claim, provided, however, that Seller shall be required to obtain the prior written consent of Buyer before
entering into any settlement or compromise that would not relieve Buyer from any liability for past infringement or otherwise would limit the ability of Buyer to realize the full benefit of the Services. 

 

	(b)	Buyer shall indemnify Seller against liability incurred by Seller in connection with a patent infringement claim by a third party arising as a result of the use by Seller of Buyer Technology or Buyer materials in
connection with the performance of the Services. Seller will give prompt notice of any such claim and Buyer will control the defense, settlement or compromise of such claim. As used herein, “Buyer Technology” means all proprietary and/or
confidential technical and other information not known to Seller relating to PRODUCT (“PRODUCT” shall mean a full length CSP) and materials in connection with this Order, for which Buyer has intellectual property ownership or patent rights
or which Buyer is otherwise authorized to use. 

  

	(c)	Notwithstanding the foregoing paragraph, when this order is performed under the Authorization and Consent of the U.S. Government to infringe U.S. Patents, Seller’s liability for infringement of such Patents in such
performance shall be limited to the extent of the obligation of Buyer to indemnify the U.S. Government. 

  

	9.0	CONFIDENTIALITY AND USE OF BUYER FURNISHED ITEMS/INFORMATION 

 Both parties agree to maintain the
other’s Confidential Information in confidence with the same degree of care each holds its own confidential information. Neither party will use the Confidential Information of the other party except for the performance of the Service described
in the Purchase Order. Both parties will disclose the Confidential Information only to its officers, consultants and employees directly concerned with the Service, but will neither disclose the Confidential Information to any third party nor use the
Confidential Information for any other purpose. Upon completion of this Order, and at the disclosing parties request, the other party will return all Confidential Information, except that each party may retain one copy of such papers, records or
other documents for the sole purpose of determining its continuing obligations under this Order. The parties’ obligation of nondisclosure and the limitations upon the right to use the other party’s Confidential Information, samples and
test results shall not apply to the extent that either can demonstrate that the Confidential Information: (a) was in its possession prior to the time of disclosure; or (b) is or becomes public knowledge through no fault or omission of the
recipient of the Confidential Information; or (c) is obtained by the recipient from a third party under no obligation of confidentiality to the disclosing party; or (d) if such party is required to disclose the Confidential Information in
connection with a legal or administrative proceeding, such party will give the other party prompt notice of such request The disclosing party may seek an appropriate protective order or other remedy or waive compliance or both with the provisions of
this Order. If such party seeks a protective order or other remedy, the other party will cooperate. If such party fails to obtain a protective order or waive compliance with the relevant provisions of this Order, the other party will disclose only
that portion of the Confidential Information which its legal counsel determines it is required to disclose, after consultation with the other party’s attorneys. 

Seller agrees that it will keep confidential and not disclose, disseminate or publish the features of any equipment, tools, gauges, patterns, designs,
drawings, engineering data, computer programs and software or other technical or proprietary information furnished, loaned or bailed by Buyer hereunder (hereinafter collectively referred to as “Items/Information”, and use such
Items/Information only in the performance of this Subcontract or, if authorized, other orders from Buyer and not otherwise, without Buyer’s prior written consent. Notwithstanding any other provision herein, Buyer and Seller shall each retain
ownership of, and all right, title and interest in and to, their respective pre-existing Intellectual Property. 
 Both Parties agree that the Expression
Strains and Production Strain(s) represent Confidential Information from both Parties. Neither Party shall have the right to utilize, license or commercialize the Expression Strains and/or the Production Strain(s) beyond the scope of activities in
this agreement without the consent of the other Party. 

  
  

Page 5 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
 All such items furnished, loaned or bailed by Buyer
hereunder, or fabricated, manufactured, purchased, or otherwise acquired by Seller for the performance of this Subcontract and specifically charged to Buyer, are the property of Buyer. 

Upon completion, expiration or termination of this Subcontract, Seller shall return all such Items in good condition, reasonable wear only excepted, together
with all spoiled and surplus Items to Buyer, or make such other disposition thereof as may be directed or approved by Buyer. Seller agrees to replace, at its expense, all such Items not so returned. Seller shall make no charge for any storage,
maintenance or retention of such Items. Seller shall bear all risk of loss for all such Items in Seller’s possession. 
 Seller also agrees to use any
designs or data contained or embodied in such Items in accordance with any restrictive legends placed on such Items by the Buyer or any third party. If Buyer furnishes any material for fabrication hereunder, Seller agrees: (i) not to substitute
any other material for such fabrication without Buyer’s prior written consent, and (ii) that title to such material shall not be affected by incorporation in or attachment to any other property. 

Materials (“Materials” shall mean cell lysates provided by Seller to Buyer under this Order and any constituents, and any tangible materials that
incorporate the foregoing) sent to Buyer under this Order (hereinafter defined as Buyer Materials) shall not be used in human clinical studies. Samples of Materials sent to Seller by Buyer under this Order (hereinafter defined as Seller Materials)
shall be used by Seller solely for the purpose of providing the Services for Buyer as set forth herein, and for no other purpose, and shall not be transferred to any other person by Seller. 

 

	10.0	DISPUTES 

 Any dispute not disposed of in accordance with the “Disputes Clause” of Schedule B,
if any, shall be determined in the following manner. 
  

	(a)	Buyer and Seller agree to enter into Negotiation to resolve any dispute. Both parties agree to negotiate in good faith to reach a mutually agreeable settlement within a reasonable amount of time. 

 

	(b)	If negotiations are unsuccessful, Buyer and Seller agree to enter into binding Arbitration except for intellectual property issues. The American Arbitration Association (AAA) Commercial Arbitration Rules (most recent
edition) are to govern this Arbitration. The Arbitration shall take place in the County of San Diego, State of California. The Arbitrator shall be bound to follow the applicable subcontract provisions and California law in adjudicating the dispute.
It is agreed by both parties that the Arbitrator’s decision is final, and that no party may take any action, judicial or administrative, to overturn this decision. The judgment rendered by the Arbitrator may be entered in any court having
jurisdiction thereof. 

 Pending any decision, appeal or judgment referred to in this provision or the settlement of any
dispute arising under this Subcontract, Seller shall proceed diligently with the performance of this Subcontract. 
  

	11.0	DEFAULT 

  

	(a)	The Buyer may, by written notice of default to the Seller, terminate the whole or any part of this Subcontract in any one of the following circumstances: (i) if Seller fails to make delivery of the supplies or to
perform the services within the time specified herein or any extension thereof; or (ii) if Seller fails to perform any of the other provisions of this Subcontract in accordance with its terms, and in either of these two circumstances does not
cure such failure within a period of 10 days (or such longer period as Buyer may authorize in writing) after receipt of notice from the Buyer specifying such failure; or (iii) Seller becomes insolvent or the subject of proceedings under any law
relating to bankruptcy or the relief of debtors or admits in writing its inability to pay its debts as they become due. 

  

	(b)	If this Subcontract is so terminated, Buyer may procure or otherwise obtain, upon such terms and in such manner as Buyer may deem appropriate, supplies or services similar to those terminated, Seller, subject to the
exceptions set forth below, shall be liable to Buyer for any excess costs of such similar supplies or services. 

  

	(c)	Seller shall continue performance of this Subcontract to the extent not terminated. Buyer shall have no obligations to Seller with respect to the terminated part of this Subcontract except as herein provided. In case of
Seller’s default, Buyer’s rights as set forth herein shall be in addition to Buyer’s other rights although not set forth in this Subcontract. 

  

	(d)	Seller shall not be liable for damages resulting from default due to causes beyond the Seller’s control and without Seller’s fault or negligence, provided, however, that if Seller’s default is caused by
the default of a subcontractor or supplier, such default must arise out of causes beyond the control of both Seller and subcontractor or supplier, and without the fault or negligence of either of them and, provided further, the supplies or services
to be furnished by the subcontractor or supplier were not obtainable from other sources. 

  
  

Page 6 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	(e)	Seller agrees to immediately notify Buyer in writing of any actual or potential delay in Sellers performance under this Order. Such notice shall, at a minimum, describe the cause, effect, duration and corrective action
proposed by Seller to address the problem. Seller shall give prompt written notice to the Buyer of all changes to such conditions 

  

	(f)	Notwithstanding the foregoing, Seller shall not be liable for any default or delay in performance of any obligation under this Order caused by any of the following: Act of God, war, riot, fire, explosion, accident,
flood, sabotage and any other event beyond the reasonable control of Seller; or labor trouble, strike, lockout or injunction (provided that Seller shall not be required to settle a labor dispute against its own best judgment). 

 

	12.0	GENERAL RELATIONSHIP 

 The Subcontractor is not an employee of SAIC for any purpose whatsoever. Seller
agrees that in all matters relating to this Subcontract it shall be acting as an independent contractor and shall assume and pay all liabilities and perform all obligations imposed with respect to the performance of this Subcontract. Seller shall
have no right, power or authority to create any obligation, expressed or implied, on behalf of Buyer and/or the Government and shall have no authority to represent Buyer as an agent. 

 

	13.0	NON-WAIVER OF RIGHTS 

 The failure of Buyer to insist upon strict performance of any of the terms and
conditions in the Subcontract, or to exercise any rights or remedies, shall not be construed as a waiver of its rights to assert any of the same or to rely on any such terms or conditions at any time thereafter. The invalidity in whole or in part of
any term or condition of this subcontract shall not affect the validity of other parts hereof. 
  

	14.0	APPLICABLE STATE LAW AND COMPLIANCE 

 This Subcontract shall be governed by and construed in accordance
with the laws of the State of Delaware. Seller agrees to comply with the applicable provisions of any federal, state or local law or ordinance and all orders, rules and regulations issued there under. 

 

	15.0	EXPORT CONTROL COMPLIANCE FOR FOREIGN PERSONS 

 The subject technology of this Subcontract (together
including data, services, and hardware provided hereunder) may be controlled for export purposes under the International Traffic in Arms Regulations (ITAR) controlled by the U.S. Department of State or the Export Administration Regulations
(“EAR”) controlled by the U.S. Department of Commerce. ITAR controlled technology may not be exported without prior written authorization and certain EAR technology requires a prior license depending upon its categorization, destination,
end-user and end-use. Exports or re-exports of any U.S. technology to [any destination under U.S. sanction or embargo are forbidden. 
 Access to certain
technology (“Controlled Technology”) by Foreign Persons (working legally in the U.S.), as defined below, may require an export license if the Controlled Technology would require a license prior to delivery to the Foreign Person’s
country of origin. SELLER is bound by U.S. export statutes and regulations and shall comply with all U.S. export laws. SELLER shall have full responsibility for obtaining any export licenses or authorization required to fulfill its obligations under
this Subcontract. 
 SELLER hereby certifies that all SELLER employees who have access to the Controlled Technology are U.S. citizens, have permanent U.S.
residency or have been granted political asylum or refugee status in accordance with 8 U.S.C. 1324b(a)(3). Any non-citizens who do not meet one of these criteria are “Foreign Persons” within the meaning of this clause, but have been
authorized under export licenses to perform their work hereunder. 
  

	16.0	STANDARDS OF BUSINESS ETHICS & CONDUCT 

 SAIC believes in fair and open competition and is
committed to conducting its business fairly, impartially and in an ethical and proper manner. SAIC is owned and controlled by its employee owners. These characteristics make it imperative that SAIC employees adhere to a particularly high ethical
standard. Employee ownership both demands and fosters highly ethical conduct because SAIC can be successful only when employees look after long-term interests of the company and resist pressures to compromise SAIC standards. Buyer’s expectation
is that Seller also will conduct its business fairly, impartially and in an ethical and proper manner. If Seller has cause to believe that Buyer or any employee or agent of Buyer has acted improperly or unethically under this agreement/order, Seller
shall report such behavior to the SAIC Ethics Hotline (800) 435-4234. Copies of The Science Applications International Corporation (SAIC) code of Ethics and contacts for such reports are available on www.saic.com under Corporate
Governance. 

  
  

Page 7 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	17.0	ORDER OF PRECEDENCE 

 The documents listed below are hereby incorporated by reference. In the event of an
inconsistency or conflict between or among the provisions of this Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	1.	Attachment I: Statement of Work and Schedule dated July 2009. 

  

	2.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	3.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	4.	Attachment C (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls 

  
  

Page 8 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
  
  

	18.0	ENTIRE AGREEMENT 

 The parties hereby agree that this Subcontract, including all documents incorporated
herein by reference, shall constitute the entire agreement and understanding between the parties hereto and shall supersede and replace any and all prior or contemporaneous representations, agreements or understandings of any kind, whether written
or oral, relating to the subject matter hereof. 
 In witness whereof, the duly authorized representatives of Buyer and the Seller have executed this
Subcontract on the Dates shown. 
  

									
	THE DOW CHEMICAL COMPANY	 		 	SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
			
	 /s/ Bart Waters
	 		 	 /s/ Gina B. McGeehan

	(Signature)	 		 	(Signature)
					
	Name:	 	 Bart Waters
	 		 	Name:	 	 Gina B. McGeehan

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 R&D Director
	 		 	Title:	 	 Senior Subcontracts Administrator

					
	Date:	 	 9 Sep 2009
	 		 	Date:	 	 9-14-09

  
  

Page 9 of 9             

#9-932-072 Commercial Items [Government] (rev. 9/25/2006) 

 

 
 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfenex Expression TechnologyTM 

And Process Manufacturing 

Malaria Vaccine Production and Support Services 

July 2009 
  

	1.	Background 

 Science Applications International Corporation (SAIC) serves as the prime
contractor for the Malaria Vaccine Production and Support Services (MVPSS) contract awarded by the Division of Microbiology and Infectious Diseases (DMID), National Institute of Allergy and Infectious Diseases (NIAID). SAIC develops and supports
malaria vaccine candidate manufacturing for clinical use as part of DMID’s malaria program. 
 Currently, the most advanced and
efficacious malaria vaccine employed thus far is the RTS,S/AS02 vaccine developed by GlaxoSmithKline, which contains a consensus amino acid sequence for the C-terminal half of the malaria parasite P. falciparum (Pf) circumsporozoite protein
(CS) molecule. Administered alone, this vaccine has shown -~50% efficacy in infants in Phase II trials in Africa. Further, primate study data indicated that heterologous prime boosting with an
adenovirus-based CS vaccine candidate may increase the antigen’s efficacy by enhancing and maintaining the T-cell response (CD8+ and CD4+). Additionally, other studies have been performed which indicate the N-terminal portion of CS may further
improve a CS-based vaccine. 
 The manufacture of a full length CS has been refractory to recombinant expression efforts thus far. This is in
large part due to the malaria parasite’s extremely A/T-rich genome with many lysine and arginine repeats, and frequent disulfide bonds. Further, these parasites lack the N-linked glycosylation machinery. Consequently, the expression,
purification, and scale-up of many potential recombinant subunit vaccine candidates have beenunsuccessful.Attention must be paid to potential aberrant post-translational modifications and correct folding when expressing and purifying these as
recombinant proteins. Thus, SAIC seeks to overcome these manufacturing hurdles of full length CS through the Malaria Vaccine Production and Support Services contract to explore an alternative expression platform and screening services. 

 

	2.	Scope of Work 

 Independently and not as an agent of SAIC, Dow shall furnish all of the
necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the proof-of-principle evaluation of functional, full-length CSP expression utilizing
Pfēnex Expression TechnologyTM. Optional requirements are also included for Fermentation Optimization and a Technology Transfer package for Fermentation Processes. As part of this support, Dow shall be required to provide summary
reports related to the development and manufacturing process, other documentation as required in the deliverables, bacterial cell lysates and reagent-grade CSprotein. 

SAIC will provide the following information and materials: 
  

	 	2.1.	Background literature/references relating to CSP. 

 

 
  
  

	 	2.2.	An aliquot of reagent grade CSP antigen (for use as an analytical reference standard) 

  

	 	2.3.	CSP-specific antibody suitable for Western blot analysis 

  

	 	2.4.	Shipping instructions for filtered lysate 

  

	3.	Period of Performance 

 The period of performance (POP) for this effort is upon award
through April 2011. 
  

	4.	Technical Requirements 

  

	 	4.1.	Milestone 1: Evaluation of CSP expression in Pfēnex Expression TechnologyTM 

  

	 	4.1.1.	[*] 

  

	 	4.1.1.1.	[*] 

  

	 	4.1.1.2.	Dow shall transform the resulting plasmids into a strain of Dow’s Pfenex Expression TechnologyTM and plate onto selective medium. 

 

	 	4.1.1.3.	Dow shall select a series of positive clones from assorted vectors and verify correct coding sequences of insert. 

  

	 	4.1.2.	Dow shall assess the expression of CSP in Pfēnex Expression TechnologyTM at [*] mL scale in a minimum of [*] unique strains 

 

	 	4.1.2.1.	Dow shall transform the resulting plasmids into up to [*] host strains. (A minimum of 280 unique Expression Strains) 

  

	 	4.1.2.2.	Dow shall perform [*] as a primary screen. 

  

	 	4.1.2.3.	Dow shall perform a [*] on selected samples. 

  

	 	4.1.3.	Dow shall issue a final report of milestone 1 efforts. 

  

	 	4.1.3.1.	Report shall include an executive summary, brief description of test method with a reference to corresponding SOP, test results (i.e. small scale growth, expression, analytical), and conclusion. Copies of raw data
including sequencing data shall be included as an appendix. 

  

	 	4.2.	Milestone 2 [OPTIONAL]: Fermentation Assessment of CSP in Pfēnex Expression TechnologyTM 

  

	 	4.2.1.	Dow shall screen multiple fermentation conditions at the [*] scale using [*] Expression Strains to evaluate protein quality and expression levels 

 

	 	4.2.1.1.	Execute experiments to screen multiple fermentation conditions in mini-bioreactors for protein expression and protein quality. [*] fermentations per strain) 

 

	 	4.2.1.2.	Dow shall perform [*] analysis on samples from each of the fermentations. 

  

	 	4.2.1.3.	Dow shall perform [*] analysis 

  
 2 

 

 
  
  

	 	4.2.2.	Dow shall confirm selected conditions used at the [*] and verify conditions are suitable at the high cell density fermentation [*] scale to evaluate protein quality and expression levels of selected strains chosen based
on data generated in 4.2.1.3. 

  

	 	4.2.2.1.	Dow shall confirm selected conditions and strains identified in the screening experiments in a scalable high cell density fermentation process in multiplex fermentors for protein expression and protein quality.

  

	 	4.2.2.2.	Dow shall collect multiple time point samples for evaluation of protein expression levels and quality 

  

	 	4.2.2.3.	Dow shall utilize a [*] as appropriate to prepare samples from the best fermentation of each expression strain for supply to SAIC. 

4.2.2.3.1. Dow shall transfer to SAIC samples of the filtered whole cell lysate or periplasmic release extract and cell free
broth for further in vitro analysis. 
 4.2.2.3.2. Dow shall perform [*] on samples from each fermentation. 

4.2.2.3.3. Dow shall perform [*] and CSP specific assay on selected samples. 

4.2.2.3.4. Dow shall perform [*] analysis on selected samples. 

 

	 	4.2.3.	Dow shall issue a final report of milestone 2 efforts. 

  

	 	4.2.3.1.	Report shall include an executive summary, brief description of test methods with associated reference to SOPs, data (i.e. small scale growth, expression, analytical), and conclusion. Copies of raw data shall be
included as an appendix. 

  

	 	4.3.	Milestone 3 [OPTIONAL]: Preparation and Characterization of a Pseudomonas-CSP Research Cell Bank (RCB) 

Dow shall prepare a non-GMP Research Cell Bank (RCB). 
  

	 	4.3.1.	DOW shall generate [*] vials of RCB 

  

	 	4.3.2.	DOW will store the RCB a temperature-controlled [*] freezer which has a monitoring system. 

  

	 	4.3.3.	A [*] scale fermentation run shall performed to confirm productivity 

  

	 	4.3.3.1.	Dow shall harvest and prepare filtered lysate from the [*] fermentation ([*] working volume) 

  
 3 

 

 
  
  

	 	4.3.3.2.	Plasmid retention shall be evaluated using viable count plating of the samples on selective and non-selective media. 

  

	 	4.3.3.3.	Structural stability be evaluated using plasmid restriction digests. 

  

	 	4.3.4.	Dow shall perform a characterization analysis of the generated Pseudomonas-CSP RCB 

  

	 	4.3.4.1.	Phenotype of the strain shall be determined by [*] 

  

	 	4.3.4.2.	Culture purity analysis shall be performed on the RCB. 

  

	 	4.3.4.3.	[*] shall be confirmed by [*] 

  

	 	4.3.4.4.	Dow shall confirm the [*] 

  

	 	4.3.5.	Dow shall issue a final report of milestone 3 efforts. 

  

	 	4.3.5.1.	Report shall include, but no be limited to, an executive summary, description of cell banking methods and materials used, with associated reference to SOPs, characterization data, raw material certificates of analysis,
and copies of raw data. 

  

	 	4.3.5.2.	A draft report shall be submitted to SAW two weeks following completion of task and a final copy submitted one week following SAIC comments. 

 

	5.	Quality Requirements 

 Dow shall maintain a Quality System that meets scientific
expectations of traceability, reliability and control. Dow is responsible for the development and demonstration of suitability of contracted deliverables as well as providing reports and managing this project in a manner that meets scientific
expectations of traceability, reliability and control ensuring that the filtered whole cell lysate or periplasmic release extract and cell free broth produced and analyzed in the developed process and assays have the quality, and identity they
purport. 
  

	6.	Meeting and Conference Requirements 

 Unless an alternative directive is provided;
meeting, conference, and audit support shall include the following: 
  

	 	6.1.	Dow shall schedule a kickoff meeting via on-site meeting at Dow’s facilities with SAIC within 7 days of award. The agenda shall be provided by Dow in advance. The purpose of the kickoff meeting is formal
introduction of key staff and project management, technical and contractual discussions, and initial action items required to initiate contract work. 

  

	 	6.2.	Dow shall participate in biweekly meetings and/or teleconferences with SAIC. Such meetings may include, but are not limited to, meetings to discuss the technical (e.g., assay designs and critical reagents), quality,
schedule, regulatory, and contractual aspects of the program and site visits to Dow’s facilities. All visits to Dow’s facility shall be prearranged. Dow shall be responsible for preparing meeting agendas and summaries. Meeting minutes
shall be captured by Dow and are due to SAIC within 7 days after the completion of a biweekly teleconference. 

  

	 	6.3.	Dow also shall be available for ad hoc support (e.g., phone calls and e-mails) to SAIC as required for project communications. 

  
 4 

 

 
  
  

	7.	Reporting Requirements 

  

	 	7.1.	Monthly Technical and Business Progress Report: A monthly TPR shall be submitted to the SAIC management point of contact by the eighth of each month during subcontract POP. 

 

	 	7.1.1.	The TPR shall cover the work accomplished as well as issues and proposed resolutions that occur during each reporting period. 

  

	 	7.1.2.	Each TPR also shall contain an updated monthly project management schedule to indicate work completed and any change in schedule. Deliverables shall be incorporated into the schedule. 

 

	 	7.2.	Reports should include an updated inventory log to include cell banks, samples, and SAIC provide materials, and a notice of any temperature deviations of equipment storing SAIC material. The report shall also document
any changes made to methods and procedures utilized for the CSP expression efforts. 

  

	 	7.2.1.	Report shall include invoicing information for work performed during each reporting period and anticipated work activities. 

  

	 	7.3.	Documentation to Support an IND or Amendment: Data generated under this subcontract may be incorporated into an MA submission. Dow shall provide a list of relevant SOPs or other control, development and testing
documents as requested. 

  

	8.	Subcontract Deliverables 

 Table 3 summarizes documents and other deliverables due
to SAIC at the indicated timelines. 

  
 5 

 

 
  
 Table 3. Deliverables to SAIC

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	

	*	Days = Calendar days; SAIC shall provide comment within 1 week. 

  
 6 

 

 
 SCHEDULE B - U.S. GOVERNMENT TERMS AND CONDITIONS 

Applicable to all U.S. Government “Commercial Items” Subcontracts 

PART III - FAR CLAUSES 
  

	1.	DEFINITIONS 

 In all such clauses, unless the context of the clause requires otherwise, the term
“Contractor” shall mean Seller, the term “Contract” shall mean this Order, and the terms “Government,” “Contracting Officer” and equivalent phrases shall mean Buyer and Buyer’s Purchasing Representative,
respectively. It is intended that the referenced clauses shall apply to Seller in such manner as is necessary to reflect the position of Seller as a subcontractor to Buyer, to insure Seller’s obligations to Buyer and to the United States
Government, and to enable Buyer to meet its obligations under its Prime Contract or Subcontract. 
 The following definitions apply unless otherwise
specifically stated: 
 “Buyer” - the legal entity issuing this Order. 

“Commercial Item” — as defined by FAR 2-101 

“FAR” - the Federal Acquisition Regulation. 

“Prime Contract” - the Government contract under which this Order is issued. 

“Purchasing Representative” - Buyer’s authorized representative. 

“Seller” - the legal entity which contracts with the Buyer. 

“This Order” - this contractual instrument, including changes. 
  

	2.	IDENTIFICATION OF CONTRACT NUMBERS 

 Government contract numbers shown on this Order shall be included in
subcontracts and purchase orders issued by Seller hereunder. 
  

	3.	COMMERCIAL ITEMS 

 By FAR 2-101, “Commercial item” means— 

(1) Any item, other than real property, that is of a type customarily used by the general public or by non-governmental entities for purposes
other than governmental purposes, and— 
 (i) Has been sold, leased, or licensed to the general public; or 

(ii) Has been offered for sale, lease, or license to the general public; 

(2) Any item that evolved from an item described in paragraph (1) of this definition through advances in technology or performance and
that is not yet available in the commercial marketplace, but will be available in the commercial marketplace in time to satisfy the delivery requirements under a Government solicitation; 

(3) Any item that would satisfy a criterion expressed in paragraphs (1) or (2) of this definition, but for—
(i) Modifications of a type customarily available in the commercial marketplace; or 
 (ii) Minor modifications of a type not
customarily available in the commercial marketplace made to meet Federal Government requirements. “Minor modifications” means modifications that do not significantly alter the nongovernmental function or essential physical characteristics
of an item or component, or change the purpose of a process. Factors to be considered in determining whether a modification is minor include the value and size of the modification and the comparative value and size of the final product. Dollar
values and percentages may be used as guideposts, but are not conclusive evidence that a modification is minor; 
 (4) Any combination of
items meeting the requirements of paragraphs (1), (2), (3), or (5) of this definition that are of a type customarily combined and sold in combination to the general public; 

(5) Installation services, maintenance services, repair services, training services, and other services if— (i) Such services are
procured for support of an item referred to in paragraph (1), (2), (3), or (4) of this definition, regardless of whether such services are provided by the same source or at the same time as the item; and 

(ii) The source of such services provides similar services contemporaneously to the general public under terms and conditions similar to those
offered to the Federal Government; 

  
  

Page 1 of 5 

 

 
  
 (6) Services of a type offered and
sold competitively in substantial quantities in the commercial marketplace based on established catalog or market prices for specific tasks performed or specific outcomes to be achieved and under standard commercial terms and conditions. This does
not include services that are sold based on hourly rates without an established catalog or market price for a specific service performed or a specific outcome to be achieved. For purposes of these services— 

(i) “Catalog price” means a price included in a catalog, price list, schedule, or other form that is regularly maintained by the
manufacturer or vendor, is either published or otherwise available for inspection by customers, and states prices at which sales are currently, or were last, made to a significant number of buyers constituting the general public; and 

(ii) “Market prices” means current prices that are established in the course of ordinary trade between buyers and sellers free to
bargain and that can be substantiated through competition or from sources independent of the offerors. 
  

	4.	DISPUTES 

 (a) Notwithstanding any provisions herein to the contrary: 

 

	 	(1)	If a decision relating to the Prime Contract is made by the Contracting Officer and such decision is also related to this Order, said decision, if binding upon Buyer under the Prime Contract shall in turn be binding
upon Buyer and Seller with respect to such matter; provided, however, that if Seller disagrees with any such decision made by the Contracting Officer and Buyer elects not to appeal such decision, Seller shall have the right reserved to Buyer under
the Prime Contract with the Government to prosecute a timely appeal in the name of Buyer, as permitted by the contract or by law, Seller to bear its own legal and other costs. If Buyer elects not to appeal any such decision, Buyer agrees to notify
Seller in a timely fashion after receipt of such decision and to assist Seller in its prosecution of any such appeal in every reasonable manner. If Buyer elects to appeal any such decision of the Contracting Officer, Buyer agrees to furnish Seller
promptly with a copy of such appeal. Any decision upon appeal, if binding upon Buyer, shall in turn be binding upon Seller. Pending the making of any decision, either by the Contracting Officer or on appeal, Seller shall proceed diligently with
performance of this Order. 

  

	 	(2)	If, as a result of any decision or judgment which is binding upon Seller and Buyer, as provided above, Buyer is unable to obtain payment or reimbursement from the Government under the Prime Contract for, or is required
to refund or credit to the Government, any amount with respect to any item or matter for which Buyer has reimbursed or paid Seller, Seller shall, on demand, promptly repay such amount to Buyer. Additionally, pending the final conclusion of any
appeal hereunder, Seller shall, on demand, promptly repay any such amount to Buyer. Buyer’s maximum liability for any matter connected with or related to this Order which was properly the subject of a claim against the Government under the
Prime Contract shall not exceed the amount of Buyer’s recovery from the Government. 

  

	 	(3)	If this Order is issued by Buyer under a Government Subcontract rather than a Prime Contract, and if Buyer has the right under such Subcontract to appeal a decision made by the Contracting Officer under the Prime
Contract in the name of the Prime Contractor (or if Buyer is subject to any arbitrator’s decision under the terms of its subcontract), and said decision is also related to this Order, this Disputes Clause shall also apply to Seller in a manner
consistent with its intent and similar to its application had this Order been issued by Buyer under a Prime Contract with the Government. 

  
  

Page 2 of 5 

 

 
  
  

	 	(4)	Seller agrees to provide certification that data supporting any claim made by Seller hereunder is made in good faith and that the supporting data is accurate and complete to the best of Seller’s knowledge or
belief, all in accordance with the requirements of the Contract Disputes Act of 1978 (41USC601-613) and implementing regulations. If any claim of Seller is determined to be based upon fraud or misrepresentation, Seller agrees to defend, indemnify
and hold Buyer harmless for any and all liability, loss, cost or expense resulting therefrom. 

 (b) Any dispute not addressed in paragraph
(a) above, will be subject to the disputes clause of Schedule A of this subcontract agreement. 
  

	5.	OTHER GOVERNMENT PROCUREMENT 

 Nothing contained herein shall be construed as precluding the Seller from
producing items for direct sale to the Government, utilizing therefore all hardware and/or software, including designs, drawings, engineering data or other technical or proprietary information furnished Seller by Buyer, provided the Government has
the unrestricted right to permit the use thereof for such purpose. 
  

	6.	TERMINATION FOR CONVENIENCE 

 The Buyer may terminate performance of work under this subcontract in
whole, or in part if the Purchasing Representative determines that a termination is in the Buyer’s interest. The Buyer shall terminate by delivering to the Seller a Notice of Termination specifying the extent of termination and the effective
date. In the event of such termination, the Seller shall immediately stop all work hereunder and shall immediately cause any and all of its suppliers and subcontractors to cease work. Subject to the terms of this order, the Seller shall be paid a
percentage of the contract price reflecting the percentage of the work performed prior to the notice of termination, plus reasonable charges the Seller can demonstrate to the satisfaction of the Buyer using its standard record keeping system, have
resulted from the termination. The Seller shall not be required to comply with the cost accounting standards or cost principles for this purpose. The Seller shall not be paid for any work performed or costs incurred which reasonably could have been
avoided. 
  

	7.	ANTI-KICKBACK ACT OF 1986 

 By accepting this Order, Seller certifies that it has not offered, provided,
or solicited and will not offer, provide, or solicit any kickback in violation of the Anti-Kickback Act of 1986 (41 USC §§ 51-58). “Kickback” means any money, fee, commission, credit, gift, gratuity, thing of value, or
compensation of any kind that is provided, directly or indirectly, for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or a subcontract relating to a prime contract. Seller agrees to
indemnify, defend, and hold Buyer harmless from and against any losses, liabilities, offsets and expenses (including reasonable attorney’s fees) arising out of or relating to Seller’s failure to comply with the provisions of the
Anti-Kickback Act. 
  

	8.	FAR CLAUSES APPLICABLE TO THIS ORDER 

 The clauses in FAR Subpart 52.2 referenced in subparagraph (a),
the clauses applicable in subparagraph (b), and those referenced and checked in subparagraph (c) below, in effect on the date of this Order, are incorporated herein and made a part of this Order. To the extent that an earlier version of any
such clause is included in the Prime Contract or Subcontract under which this Order is issued, the date of the clause as it appears in such Prime Contract or Subcontract shall be controlling and said version shall be incorporated herein. The extent
of the flow down shall be as required by the clause. 

  
  

Page 3 of 5 

 

 
  
 (a) The following clauses are applicable to this
order: 
  

			
	 Clause & FAR
 Ref.
	  	Title of Clause
	52.219-8	  	Utilization of Small Business Concerns [15 U.S.C. 637(d)(2) and (3)] In all subcontracts that offer further subcontracting opportunities. If the subcontract (except subcontracts to small business concerns) exceeds $550,000
($1,000,000 for construction of any public facility), the subcontractor must include 52.219-8 in lower tier subcontracts that offer subcontracting opportunities.
	52.222-26	  	Equal Opportunity (E.O. 11246)
	52.222-35	  	Equal Opportunity for Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (38 U.S.C. 4212)
	52.222-36	  	Affirmative Action for Workers with Disabilities (29 U.S.C. 793)
	52.222-39	  	Notification of Employees Rights Concerning Payment of Union Dues or Fees (E.O. 13201)
	52.222-41	  	Service Contract Act of 1965, as Amended (41 U.S.C. 351, et. Seq.)
	52.247-64	  	Preference for Privately-Owned U.S. Flag Commercial Vessels (46 U.S.C. Appendix 1241(b) and 10 U.S.C. 2631)
	52.227-11	  	Patent Rights June 1997

 (b) The Seller shall comply with the FAR clauses in this paragraph (b) that the Buyer has indicated as being incorporated
into this order by reference to implement provisions of law or Executive orders applicable to acquisitions of commercial items: 
  

					
	 	  	 Clause &
 FAR Ref.
	  	Title of Clause
	 ̈	  	52.203-6	  	Restrictions on Subcontractor Sales to the Government, with Alternate I (41 U.S.C. 253g and 10 U.S.C. 2402) (If order exceeds $100,000)
	 ̈	  	52.219-9	  	Small Business Subcontracting Plan [15 U.S.C. 637(d)(4)] (if order to a large business and exceeds $550,000)
	 ̈	  	52.219-9	  	Alternate I
	 ̈	  	52.219-9	  	Alternate II
	 ̈	  	52.219-16	  	Liquidated Damages-Subcontracting Plan (15 U.S.C. 637(d)(4)(F)(i)) (If FAR 52.219-9 is incorporated)
	 ̈	  	52.222-3	  	Convict Labor (E.O. 11755)
	 ̈	  	52.222-19	  	Child Labor-Cooperation with Authorities and Remedies (E.O. 13126)
	 ̈	  	52.222-21	  	Prohibition of Segregated Facilities
	 ̈	  	52.222-37	  	Employment Reports on Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans (38 U.S.C. 4212)
	 ̈	  	52.225-1	  	Buy American Act - Supplies (41 U.S.C. 10a-10d)
	 ̈	  	52.225-3	  	Buy American Act - Free Trade Agreements - Israeli Trade Act (41 U.S.C. 10a-10d, 19 U.S.C. 3301 note, 19 U.S.C. 2112 note, Pub. L. 108-77, 108-78, 108-286 & 109-53)
	 ̈	  	52.225-3	  	Alternate I
	 ̈	  	52.225-3	  	Alternate II
	 ̈	  	52.225-5	  	Trade Agreements (19 U.S.C. 2501, et. seq., 19 U.S.C. 3301 note)
	 ̈	  	52.225-13	  	Restrictions on Certain Foreign Purchases (E.O.s, proclamations, and statutes administered by the Office of Foreign Assets Control of the Department of the Treasury)
	 ̈	  	52.239-1	  	Privacy or Security Safeguards (5 U.S.C. 552a)

  
  

Page 4 of 5 

 

 
  
 (c) The Seller shall comply with the FAR clauses in
this paragraph (c), applicable to commercial services, which the Buyer has indicated as being incorporated in this Order by reference to implement provisions of law or execute orders applicable to acquisitions of commercial items: 

 

					
	 	  	 Clause &
 FAR Ref.
	  	Title of Clause
	 ̈	  	52.222-42	  	Statement of Equivalent Rates for Federal Hires (29 U.S.C. 206 and 41 U.S.C. 351 et. seq.)
	 ̈	  	52.222-43	  	Fair Labor Standards Act and Service Contract Act - Price Adjustment (Multiple Year and Option Contracts) (29 U.S.C. 206 and 41 U.S.C. 351 et. seq.)
	 ̈	  	52.222-44	  	Fair Labor Standards Act and Service Contract Act - Price Adjustment (29 U.S.C. 206 and 41 U.S.C. 351 et. seq.)

 (d) In addition to the clauses listed in paragraphs (a), (b) and (c) above, if this order will contain Government
property, the below listed clauses as checked, are applicable: 
  

					
	 	  	 Clause &
 FAR Ref.
	  	Title of Clause
	 ̈	  	52.245-1	  	Government Property
	 ̈	  	52.245-2	  	Government Property Installation Operation Services
	 ̈	  	52.245-9	  	Use & Charges (When FAR 52.245-1 is incorporated)

 (e) In addition to the clauses listed in paragraphs (a) (b) (c) and (d) above, if this order will be
performed under any order issued by an agency of the Department of Defense, the below listed clauses are applicable: 
  

					
	 	  	 Clause &
 FAR Ref.
	  	Title of Clause
	 ̈	  	252.219-7003	  	Small Business Subcontracting Plan (DoD Contracts) (15 U.S.C. 637)
	 ̈	  	252.219-7004	  	Small Business Subcontracting Plan (Test Program) (15 U.S.C. 637 note)
	 ̈	  	252.225-7001	  	Buy American Act and Balance of Payments Program (41 U.S.C. 10a-10d, E.O. 10582)
	 ̈	  	252.225-7012	  	Preference for Certain Domestic Commodities (10 U.S.C. 2533a) (If order exceeds $100,000)
	 ̈	  	252.225-7014	  	Preference for Domestic Specialty Metals, Alternate I (10 U.S.C. 2241 note)
	 ̈	  	252.225-7015	  	Restriction on Acquisition of Hand or Measuring Tools (10 U.S.C. 2533a)
	 ̈	  	252.225-7021	  	Trade Agreements (19 U.S.C. 2501-2518 and 19 U.S.C. 3301 note)
	 ̈	  	252.225-7036	  	Buy American Act—Free Trade Agreements—Balance of Payments Program (41 U.S.C. 10a-10d and 19 U.S.C. 3301 note)
	 ̈	  	252.226-7001	  	Utilization of Indian Organizations, Indian-Owned Economic Enterprises, and Native Hawaiian Small Business Concerns (Section 8021 of Public Law 107-248 and similar sections in subsequent DoD appropriations acts) (If order exceeds
$500,000)
	 ̈	  	252.227-7015	  	Technical Data-Commercial Item
	 ̈	  	252.237-7019	  	Training for Contractor Personnel Interacting with Detainees (Section 1092 of Public Law 108-375)
	 ̈	  	252.246-7003	  	Notification of Potential Safety Issues
	 ̈	  	252.247-7023	  	Transportation of Supplies by Sea (10 U.S.C. 2631)
	 ̈	  	252.247-7024	  	Notification of Transportation of Supplies by Sea (10 U.S.C. 2631)

  
  

Page 5 of 5 

 

 
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT) 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	  	MODIFICATION #:	  	1
			
	ADDRESS:	  	DPAS RATING:	  	NA
			
	 5501 Oberlin Dr.
  

San Diego, CA 92121
	  	TYPE:	  	 FIRM FIXED PRICE COMMERCIAL
  

ITEMS (GOVERNMENT)

			
		  	VALUE:	  	$336,800.00

 Modification No. 1 to Subcontract No. P010022290 is issued to assign Subcontract No. P010022290 from The Dow Chemical
Company to Pfenex Inc. (Pfenex). 
  

	1.0	MODIFICATION EFFECTIVE DATE 

 This Modification No. 1 to Subcontract No. P010022290 is effective
December 1, 2009. 
  

	2.0	ASSIGNMENTS 

 In accordance with Subcontract No. P010022290 Section 5.0, Assignments and
Subcontracts, and the Novation Agreement signed by Science Applications International Corporation (SAIC), The Dow Chemical Company, and Pfenex, attached hereto, Subcontract No. P010022290 is assigned from The Dow Chemical Company to Pfenex. 

 

	3.0	PRICE 

 The total not-to-exceed price of Subcontract No. P010022290 remains $336,800.00. Of this amount,
at the time of assignment of this Subcontract total payments to The Dow Chemical Company are $62,282.50. The remaining Subcontract price available to be paid to Pfenex is $274,317.50. 

 

	4.0	TECHNICAL AND CONTRACTUAL REPRESENTATIVES 

 Pfenex (SELLER) Technical and Contractual representatives
are: 
  

					
	TECHNICAL:	  	 Charles H. Squires, Ph.D.
	  	
			
	CONTRACTUAL:	  	 Patrick Lucy
	  	
		
	SAIC (BUYER) Technical and Contractual representatives remain:	  	
			
	TECHNICAL:	  	 Steve Huang
	  	
			
	CONTRACTUAL:	  	 Gina B. McGeehan
	  	

 ** 

All other Subcontract terms and conditions, 

including Key Personnel and Statement of Work, remain unchanged. 

** 

  
  

Page 1 of 2 

 

 
  
 Modification No. 1 Attachment: Agreement
of Assignment and Assumption, effective December 1, 2009 
 In witness whereof, the duly authorized representatives of Buyer and Seller have executed
this Subcontract modification No. 1 on the dates shown. 
  

									
	PFENEX, INC.	 		 	SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
			
	  
	 		 	 /s/ Janet E. Lilly

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Janet E. Lilly

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Senior Subcontracts Administrator

					
	Date:	 	  
	 		 	Date:	 	 January 20, 2010

  
  

Page 2 of 2 

 AGREEMENT OF ASSIGNMENT AND ASSUMPTION 

THIS AGREEMENT is made and entered into effective December 1, 2009 by and among The Dow Chemical Company, a Delaware corporation
(“Transferor); Pfenex, Inc., a Delaware corporation (“Transferee”), and Science Applications International Corporation (“SAIC”), a Delaware corporation. 

RECITALS 
 A. SAIC has
entered into a certain contract with Transferor, namely: Subcontract Agreement No. P010022290 (the “Contract”). The term “Contract”; as used in this Agreement, means the above contract including all modifications thereto made
between SAIC and Transferor prior to the effective date of this Agreement. 
 B. As of December 1, 2009 Transferor has transferred to
Transferee all the assets of Transferor’s biopharmaceuticals business. 
 C. The parties hereto desire that SAIC consent to the
assignment of the Contract to Transferee. 
 D. NOW, THEREFORE, for and in consideration of the premises and other good and
sufficient consideration, the parties hereto agree as follows: 
 1. Transferor confirms to SAIC the full and complete assignment of the
Contract to Transferee (the “Assignment”) and waives any claims and rights against SAIC that it now has or may have in the future in connection with the Contract. 

2. Transferee represents to SAIC that by virtue of the Assignment, Transferee has acquired from Transferor all of the assets of the Transferor
relating to the Contract, and that Transferee is in a position to fully perform all of the obligations of the Transferor under the Contract. 

3. SAIC agrees to be bound by and to perform the Contract in accordance with the conditions contained in the Contract. Transferee assumes all
obligations and liabilities of, and all claims against, Transferor under the Contract as if Transferee were the original party to the Contract. 

4. Transferee ratifies all previous actions taken by Transferor with respect to the Contract, with the same force and effect as if the action
had been taken by Transferee. 
 5. SAIC recognizes Transferee as Transferor’s successor in interest in and to the Contract. Transferee
by this Agreement becomes entitled to all rights, titles, and interests of Transferor in and to the Contract as if Transferee were the original party to the Contract. 

6. Except as expressly provided in this Agreement, nothing in this Agreement shall be construed as a waiver of any rights of SAIC against
Transferor for Transferor’s performance or failure to perform prior to the effective date of this Assignment. SAIC reserves any and all claims that it may have against Transferor to Transferor’s performance or failure to perform the
Contract up to the date of this Assignment, including, but not limited to, any further claim of the Government, no such claim(s) being known or anticipated at this time. 

7. All payments and reimbursements previously made by Transferor to SAIC, and all other previous actions taken by SAIC under the Contract,
shall be considered to have discharged those parts of SAIC’s obligations under the Contract. 
 8. Payment of any and all proper
invoices under the Contract submitted by SAIC to Transferor prior to the date this Agreement is fully executed shall be paid to SAIC by Transferee. Thereafter, all payments under the Contract after the date this Agreement is fully executed by all
the parties hereto shall be made by Transferee. 

  
 1 

 

 
  
 9. The Transferor will complete all
Contract closeout actions specified in Subcontract Agreement No. P010022290 as necessary and requested by SAIC 
 10. SAIC shall be
responsible for no costs as a result of this Agreement. 
 11. This Agreement shall be governed by and interpreted in accordance with the
laws of the State of California. 
 12. Transferor waives notice of, and consents to, any further modifications of the Contract. 

13. The Contract shall remain in full force and effect, except as modified by this Agreement. Each party has executed this Agreement as of the
day and year first above written. 
 IN WITNESS WHEREOF, the parties have executed this assignment effective as of the date first written
above on the dates indicated below. 
  

									
	TRANSFEROR:	 		 	TRANSFEREE:
	The Dow Chemical Company	 		 	Pfenex Inc.
	2030 Dow Center	 		 	5501 Oberlin Drive
	Midland, MI 48674	 		 	San Diego, CA 92121
					
	By:	 	 /s/ Authorized Person
	 		 	By:	 	 /s/ Authorized Person

					
	Title:	 	 Business R&D Director
	 		 	Title:	 	 V.P. Business Development

					
	Date:	 	 December 22, 2009
	 		 	Date:	 	 January 7, 2010

				
	SCIENCE APPLICATIONS INTERNATIONAL CORPORTATION	 		 		 	
	5202 Presidents Court, Suite 110	 		 		 	
	Frederick, MS 21703	 		 		 	
					
	By:	 	 /s/ Janet E. Lilly
	 		 		 	
					
	Title:	 	 Sr. Subcontracts Admin
	 		 		 	
					
	Date:	 	 January 20, 2010
	 		 		 	

  
 2 

 

 
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT) 
  

							
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	  	MODIFICATION #:	  	2
			
	ADDRESS:	  	DPAS RATING:	  	NA
			
	301 Newbury Street PMB 251, Danvers, MA 01923	  	TYPE:	  	 FIRM FIXED PRICE
  

COMMERCIAL ITEMS
  

(GOVERNMENT)

		  	VALUE:	  	$486,800.00

 Modification No. 2 to Subcontract No. P010022290 is issued to Pfenex Inc. (Pfenex) to add funding and
Statement of Work for the Production of additional filtered lysates, and purified full-length CSP expressed in Pfēnex Expression TechnologyTM. As part of this support, Pfenex shall be required to provide summary reports related to
the development and manufacturing process, other documentation as required in the deliverables, bacterial cell lysates and reagent- grade CS protein of 80-85% purity.. 
  

	 	1.0	MODIFICATION EFFECTIVE DATE 

 This Modification No. 2 to Subcontract No. P010022290
is effective May 24, 2010. 
  

	 	2.0	PRICE 

 The total not-to-exceed price of Subcontract No. P010022290 is increased by
$150,000.00 from $336,800.00.00 to $486,800.00. Of this amount, at the time of assignment of this Subcontract total payments to The Dow Chemical Company were $62,282.50 thus the remaining Subcontract price available to be paid to Pfenex is
$424,517.50. 
  

	 	3.0	INVOICES 

 Invoices shall be prepared in duplicate and contain the following information;
subcontract number, subproject number, Stage #. Invoices will be mailed to: 
 Science Applications International Corporation 

Attention: Earleen K. Smith 
 5202
Presidents Court, Suite 110 
 Frederick, Maryland 21703 

Earleen.k.smith@saic.com 
  

	 	3.0	TECHNICAL AND CONTRACTUAL REPRESENTATIVES 

 Pfenex (SELLER) Technical and Contractual
representatives are: 
  

							
		 	TECHNICAL:	  	 Charles H. Squires, Ph.D.
	  	
		 	CONTRACTUAL:	  	 Patrick Lucy
	  	

  
  

	
	Page 1 of 2

 

 
  
 SAIC (BUYER) Technical and
Contractual representatives remain: 
  

							
		 	TECHNICAL:	  	 Steve Huang
	  	
		 	CONTRACTUAL:	  	 Earleen K. Smith
	  	

 4.0 Statement of Work entitled “Evaluation of Malaria CSP Expression in Pfēnex Expression
TechnologyTM, and Process Manufacturing, Malaria Vaccine Production and Support Services, May 4, 2010, Subcontract Modification 2” is herein incorporated into and made part of Subcontract No. P010022290. 

*** 
 All other Subcontract terms
and conditions remain unchanged. 
 *** 
 In
witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract modification No. 2 on the dates shown. 
  

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Earleen K. Smith

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Earleen K. Smith

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 05/24/10
	 		 	Date:	 	 5/24/10

  
  

	
	Page 2 of 2

 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

May 4, 2010 

Subcontract Modification 2 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the production of additional filtered lysates, and purified full-length CSP expressed in
Pfēnex Expression TechnologyTM. As part of this support, Pfenex shall be required to provide summary reports related to the development and manufacturing process, other documentation as required in the deliverables, bacterial cell
lysates and reagent-grade CS protein of [*]. 
 SAIC will provide the following information and materials: 

 

	 	1.1.1.	Background literature/references relating to Circumsporozoite Protein (CSP). 

  

	 	1.1.2.	Additional anti-CSP mAbs and control CSP, if required. 

  

	 	1.1.3.	Shipping instructions for filtered lysates and purified CSP protein 

  

	2.	Technical Requirements 

  

	 	2.1.	Milestone 1: Provide filtered lysates to SAIC 

  

	 	2.1.1.	Pfenex shall use [*] to prepare filtered lysates starting from [*] cell paste from the best fermentation performed in Stage 2 for each of the three strains [*]. 

 

	 	2.1.2.	Pfenex shall ship the filtered lysates to a contractor designated by SAIC. 

  

	 	2.2.	Milestone 2: [*] protein to SAIC 

  

	 	2.2.1.	Pfenex shall evaluate up to four [*] to capture CSP protein using batch binding experiments in 96-well plate format. 

  

	 	2.2.2.	Pfenex shall conduct small scale [*] runs using up to two selected [*] to evaluate purification of CSP protein. 

  

	 	2.2.3.	Pfenex shall conduct small scale secondary chromatography runs using up to two selected [*] using elution pool from the primary capture column runs. 

 

	 	2.2.4.	Pfenex shall evaluate up to two [*] for reduction of [*]. 

  

	 	2.2.5.	Pfenex shall analyze the final purified proteins and the filtered lysate using analytical methods including [*] 

  

	 	2.2.5.1.	Pfenex shall assess the difference in endotoxin level between filtered lysate and purified CSP. 

  

	 	2.2.5.2.	Pfenex shall also assess [*] 

  

	 	2.2.6.	Pfenex shall ship the resulting purified CSP protein (approximately 10 mg) to SAIC. 

 Note: The
purification activities are designed to result in 10 mg of purified CSP protein. Pfenex will carry out the activities as described above, however if additional activities are required to achieve the 10 mg deliverable an additional scope of work
under a new contract modification may be necessary. 

  
 1 

	 	2.3.	Pfenex shall issue a final report of milestone 1 and 2 efforts. 

  

	 	2.3.1.	Report shall include an executive summary, brief description of methods, results and conclusions, inventory of reagents provided by SAIC, and raw data in PDF format. 

 

	3.	Deliverables to SAIC 

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	

  

	*	Days = Calendar days; SAIC shall provide comment within 1 week. 

  
 2 

 

 
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT) 
  

					
	SUBCONTRACTOR:	 	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	 	MODIFICATION #:	  	3
			
	ADDRESS:	 	DPAS RATING:	  	Not Rated
			
	301 Newbury Street PMB 251, Danvers, MA 01923	 	TYPE:	  	 FIRM FIXED PRICE COMMERCIAL
  

ITEMS (GOVERNMENT)

		 	VALUE:	  	$486,800.00

 Modification No. 3 to Subcontract No. P010022290 is issued to Pfenex Inc. (Pfenex) to update the payment terms
with regard to the funding added as part of Modification #2. 
  

	Article 1.4	PAYMENT – is amended to read as follows: 

 (a) Original Subcontract Award: For each Stage of work
there will be two invoices each totaling 50 % of the price for each Stage of Work, an initial invoice upon commencement of the Stage and a final invoice upon acceptance of the final report for each Stage. 

(b) Subcontract Modification #2: For each of the two Milestones in the Statement of Work dated May 4, 2010 (modification #2) there will be two invoices
each totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon acceptance of the final report and associated deliverables for each Milestone. 

(c) Payment terms will be Net 45 days from date of invoice. Upon receipt of invoice Buyer shall within five (5) business days review the invoice and
determine if the invoice is acceptable. “If Buyer reasonable deems the invoice unacceptable Buyer shall contact Seller and Seller shall reissue a conforming invoice with a new date of invoice. If (1) Buyer does not pay on time or
(2) Buyer’s financial responsibility becomes unsatisfactory (S&P rating below BBB- or Moody’s rating below Baa3) to Seller and Seller deems itself insecure, Seller may accelerate the due date and demand immediate payment on any
outstanding invoice for Product, or may require cash payments or satisfactory security for future deliveries and for payment of all sums owed under this Agreement. Buyer agrees to pay all costs and expenses, including reasonable attorney’s
fees, incurred by Seller in the collection of any sum payable by Buyer to Seller, or in the exercise of any remedy. Seller may charge Prime +2% on all overdue amounts. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract modification No. 3 on the dates shown. 

 

									
	PFENEX INC.	 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Earleen K. Smith

	(Signature)	 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Earleen K. Smith

	(Type or Print)	 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 June 14, 2010
	 		 	Date:	 	 6/15/10

  
  

	
	Page 1 of 1

 

 
  
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT) 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	  	MODIFICATION #:	  	4
			
	ADDRESS:	  	DPAS RATING:	  	Not Rated
			
	301 Newbury Street PMB 251, Danvers, MA 01923	  	TYPE:	  	 FIRM FIXED PRICE COMMERCIAL
  

ITEMS (GOVERNMENT)

		  	VALUE:	  	$721,800.00

 Modification No. 4 to Subcontract No, P010022290 Is issued to Pfenex Inc, (Pfenex) to add funding and
Statement of Work for the Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM and Process Manufacturing. 
  

	Article 1.0	PRICE is amended to read as follows: 

 The total not-to-exceed price of Subcontract No. P010022290 is
increased by $235,000.00 from $486,800.00 to $721,800.00 including profit. 
  

	Article 1.4	PAYMENT – is amended to read as follows: 

 (a) Original Subcontract Award: For each Stage of work
there will be two invoices each totaling 50 % of the price for each Stage of Work, an initial invoice upon commencement of the Stage and a final invoice upon acceptance of the final report for each Stage. 

 

	(b)	Subcontract Modification #2: For each of the two Milestones in the Statement of Work dated May 4, 2010 (modification #2) there will be two invoices each totaling 50% of the price for each Milestone, an Initial
Invoice upon commencement of the Milestone and a final invoice upon acceptance of the final report and associated deliverables for each Milestone. 

Subcontract Modification #4: For each of the two Milestones in the Statement of Work dated November 15, 2010 (modification #4) there
will be two Invoices each totaling 50% of the price for each Milestone, an Initial invoice upon commencement of the Milestone and a final invoice upon acceptance of the final report and associated deliverables for each Milestone. 

(c) Payment terms will be Net 45 days from date of invoice. Upon receipt of invoice Buyer shall within five (5) business days review the Invoice and
determine if the invoice is acceptable. If Buyer reasonable deems the Invoice unacceptable Buyer shall contact Seller and Seller shall reissue a conforming Invoice with a new date of invoice. If (1) Buyer does not pay on time or
(2) Buyer’s financial responsibility becomes unsatisfactory (S&P rating below BBB- or Moody’s rating below Baa3) to Seller and Seller deems itself insecure, Seller may accelerate the due date and demand immediate payment on any
outstanding invoice for Product, or may require cash payments or satisfactory security for future deliveries and for payment of all sums owed under this Agreement. Buyer agrees to pay all costs and expenses, including reasonable attorney’s
fees, incurred by Seller in the collection of any sum payable by Buyer to Seller, or in the exercise of any remedy. Dow may charge Prime +2% on all overdue amounts. 

  
  

	
	Page 1 of 2

 

 
  
  

	Article 17.0	ORDER OF PRECEDENCE – is amended to road as follows: 

 The documents listed below are hereby
incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 

1. Attachment I: Statement of Work and Schedule dated July 2009, and Subcontract Modification #2 dated May 4, 2010 and Subcontract Modification #4
dated November 15, 2010. 
  

	2.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	3.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	4.	Attachment C (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract modification No. 2 on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Earleen K. Smith

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Earleen K. Smith

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 12/15/10
	 		 	Date:	 	 12/15/10

  
  

	
	Page 2 of 2

 

 
 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

November 15, 2010 

Subcontract Modification 4 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, and facilities for the purification of SAIC EP533-036/C5533-129 CS protein expressed in Pfēnex Expression TechnologyTM. As part of this project, Pfenex is
required to provide related meeting support, reports, and deliverables as listed in Table 1. 
  

	 	1.1.	SAIC will provide the following information and materials: 

  

	 	1.1.1.	Background literature/references relating to Circumsporozoite Protein (CSP). 

  

	 	1.1.2.	Additional anti-CSP mAbs and control CSP, if required, 

  

	 	1.1.3.	Shipping instructions for purified CSP protein 

  

	2.	Technical Requirements 

 As a follow-on to the successful production, testing, and
selection of a CS protein expressing cell line under the original subcontract and Mod 2 which composed of : (i)-Evaluation of CSP expression (Stage 1), (ii)-Fermentation assessment of CSP (Stage 2), (iii)-CSP purification (Stage 2A/Mod 2) and
(iv)-Preparation and characterization of Pseudumonas-CSP Research Cell Bank (RCB) (Stage 3), SAIC requires Pfenex to provide [*] using the process established in Stage 2A. 
  

	 	2.1.	Stage 3A: Protein purification 

  

	 	2.1.1.	Pfenex shall provide [*] of purified CSP from clone [*] 

  

	 	2.1.1.1.	Pfenex shall use the [*] working fermentation already available from Stage 3 plus additional fermentation if needed. Pfenex shall use the process established in Stage 2A for the protein purification efforts.

  

	 	2.1.2.	The purified CSP should have purity greater than [*]% and endotoxin level suitable for [*] 

  

	 	2.1.3.	The final product shall be at [*] 

  

	 	2.1.4.	Pfenex shall calculate % of CSP in starting, intermediate, and final materials in the process and include the data in the final report. 

 

	 	2.1.5.	Pfenex shall conduct analytical testing of the purified CSP including but not limited to [*] 

  

	 	2.1.5.1.	[*] 

  

	 	2.1.6.	[*] 

  

	 	2.1.7.	Pfenex shall ship the purified CSP to a SAIC designated facility. 

  

	 	2.1.8.	Pfenex shall issue a final report of the purification efforts. Report shall include an executive summary, brief description of methods, results and conclusions, inventory of reagents provided by SAIC, and raw data in
PDF format. 

  
 1 

 

 
  
  

	3.	Table 1 Deliverables to SAIC 

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

	1	  	Technical	  	[*]	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
	2	  	Technical	  	Unused reagents provided by SAIC	  	Within 2 week2 of SAIC request	  	Sent to SAIC designee in proper shipping containers
	3	  	Reporting	  	Weekly Email Update	  	COB Friday	  	Email
	4	  	Reporting	  	Final Report	  	 Draft: 2 weeks following completion
 Final: 2
weeks after receipt of SAIC comments
	  	 Draft: Word Document
 Final: Signed
Pdf

  

	*	Days = Calendar days; SAIC shall provide comment within 1 week. 

  
 2 

 

 
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT) 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	  	MODIFICATION #:	  	5
			
	ADDRESS:	  	DPAS RATING:	  	Not Rated
			
	5501 Oberlin Drive San Diego, CA 92121	  	TYPE:	  	 FIRM FIXED PRICE COMMERCIAL
  

ITEMS (GOVERNMENT)

		  	VALUE:	  	$3,093,173.00

 Modification No. 5 to Subcontract No. P010022290 is issued to Pfenex Inc. (Pfenex) to add subcontract value, incremental
funding and a Statement of Work dated December 23, 2010 for the Evaluation of Malaria CSP Expression in Pfenex Expression TechnologyTM and Process Manufacturing. 

Article 1.0 PRICE is amended to read as follows: 
 The
total not-to-exceed price of Subcontract No. P010022290 is increased by $2,371,373.00 from $721,800.00 to $3,093,173.00 including profit. This subcontract is incrementally funded for work to be performed through September 21, 2011. The total
FUNDING of Subcontract No. P010022290 is increased by $1,591,328.02 from $721,800.00 to $2,313,128.02 including profit 
 Article 1.4 PAYMENT –
is amended to read as follows: 
 (a) Original Subcontract Award: For each Stage of work there will be two invoices each totaling 50 % of the price
for each Stage of Work, an initial invoice upon commencement of the Stage and a final invoice upon acceptance of the final report for each Stage. 

Subcontract Modification #2: For each of the two Milestones in the Statement of Work dated May 4, 2010 (modification #2) there will be two invoices each
totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon acceptance of the final report and associated deliverables for each Milestone. 

Subcontract Modification #4: For each of the two Milestones in the Statement of Work dated November 15, 2010 (modification #4) there will be two invoices
each totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon acceptance of the final report and associated deliverables for each Milestone. 

Subcontract Modification #5: The following table shall be utilized for Milestone Invoice dates of submission and Invoice Amounts for the Milestones defined
in the Statement of Work dated December 13, 2010 (modification #5). There will be two invoices each totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon acceptance of the
final report and associated deliverables for each Milestone. 

  
  

	
	Page 1 of 3

 

 
  
  

															
	 Milestone
	  	 Stage
	  	Dollar
Amount	 	 	 	  	 Expected Invoice

date
	  	Expected invoice
amount	 
	 Milestone 2.1
	  	Stage 4	  	 	[*	] 	 	Start	  	1/17/11	  	$	[*	] 
		  		  				 	Finish	  	4/19/11	  	$	[*	] 
	 Milestone 2.2
	  	Stage 5	  	 	[*	] 	 	Start	  	3/22/11	  	$	[*	] 
		  		  				 	Finish	  	9/16/11	  	$	[*	] 
	 Milestone 2.3
	  	Stage 6	  	 	[*	] 	 	Start	  	1/17/11	  	$	[*	] 
		  		  				 	Finish	  	5/24/11	  	$	[*	] 
	 Milestone 2.4
	  	Stage 7	  	 	[*	] 	 	Start	  	8/19/11	  	$	[*	] 
		  		  				 	Finish	  	2/3/12	  	$	[*	] 
	 Milestone 2.5
	  	Stage 8	  	 	[*	] 	 	Start	  	1/10/12	  	$	[*	] 
		  		  				 	Finish	  	6/3/12	  	$	[*	] 
	 Milestone 2.6
	  	Stage 9	  	 	[*	] 	 	Start	  	11/18/11	  	$	[*	] 
		  		  				 	Finish	  	2/7/12	  	$	[*	] 
	 Milestone 2.7
	  	Report	  	 	[*	] 	 	Start	  	5/3/12	  	$	[*	] 
		  		  				 	Finish	  	5/24/12	  	$	[*	] 

 (b) Payment terms will be Net 45 days from date of invoice. Upon receipt of invoice Buyer shall within five
(5) business days review the invoice and determine if the invoice is acceptable. If Buyer reasonable deems the invoice unacceptable Buyer shall contact Seller and Seller shall reissue a conforming invoice with a new date of invoice. If
(1) Buyer does not pay on time or (2) Buyer’s financial responsibility becomes unsatisfactory (S&P rating below BBB- or Moody’s rating below Baa3) to Seller and Seller deems itself insecure, Seller may accelerate the due date
and demand immediate payment on any outstanding invoice for Product, or may require cash payments or satisfactory security for future deliveries and for payment of all sums owed under this Agreement. Buyer agrees to pay all costs and expenses,
including reasonable attorney’s fees, incurred by Seller in the collection of any sum payable by Buyer to Seller, or in the exercise of any remedy. Pfenex may charge Prime +2% on all overdue amounts. 

Article 17.0 ORDER OF PRECEDENCE — is amended to read as follows: 

The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this
Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	 	1.	Attachment Statement of Work and Schedule dated December 23, 2010 

  

	 	2.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	3.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	4.	Attachment C (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls 

5. Attachment II: Statement of Work and Schedule dated July 2009, Subcontract Modification #2 dated May 4, 2010, and Subcontract
Modification #4 dated November 15, 2010. 
 Article 19.0 SURVIVAL — Is added to the Subcontract to read as follows: 

19.0 SURVIVAL 
 If this Subcontract expires, is
completed, or is terminated, Seller shall not be relieved of those obligations contained in the following articles: 1.0, 1.5, 3.0, 7.0, 8.0, 9.0, 10.0, 12.0, 14.0, 15.0, and 17.0. 

All other Subcontract terms and conditions remain unchanged. 

  
  

	
	Page 2 of 3

 

 
  
 In witness whereof, the duly authorized
representatives of Buyer and Seller have executed this Subcontract modification No. 5 on the dates shown. 
  

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Earleen K. Smith

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Earleen K. Smith

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 1/10/11
	 		 	Date:	 	 1/10/11

  
  

	
	Page 3 of 3

 Statement of Work 

Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

December 23, 2010 

Subcontract Modification 5 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, and facilities for the full development of a manufacturing process for the SAIC Circumsporozoite Protein (CSP) expressed from C5533-129 clone using Pfēnex Expression
TechnologyTM and technical transfer of the process to a SAIC designated facility. The process shall be suitable for a scale up, at a minimum, of a [*] fermentation scale and follow-on purification, upon transfer. As part of this project, Pfenex
is required to provide related meeting support, reports, and deliverables as listed in Table 1. 
 1.1. SAIC will provide the
following information and materials: 
  

	 	•	 	Background literature/references relating to CSP. 

  

	 	•	 	Additional anti-CSP monoclonal antibodies (mAbs) and control CSP, if required. 

  

	 	•	 	Shipping instructions for purified CSP protein and other materials. 

  

	2.	Technical Requirements 

 As a follow-on to the successful production, testing, and
selection of a CSP expressing cell line under the original subcontract and Mod 2 which was composed of: (i)-Evaluation of CSP expression (Stage 1), (ii)-Fermentation assessment of CSP (Stage 2),
(iii)-CSP purification (Stage 2A/Mod 2) and (iv)-Preparation and characterization of Pseudomonas-CSP Research Cell Bank (RCB) (Stage 3); SAIC now requires Pfenex to develop a manufacturing process
suitable for a scale up, at a minimum, of a [*] fermentation scale and follow-on purification for the SAIC selected clone CS533-129 and technical transfer of the process to a SAIC designated facility. 

2.1. Stage 4: Fermentation Optimization of cell line CS533-129  

 

	 	•	 	Pfenex shall optimize fermentation parameters for protein expression utilizing the RCB. 

  

	 	•	 	The optimized fermentation shall be confirmed at the [*] scale. 

  

	 	•	 	The optimized fermentation shall produce material which can be subsequently purified to meet product quality and safety specifications required for human use when produced under cGMP conditions. 

 

	 	•	 	Pfenex shall submit the optimized fermentation procedure/protocol to SAIC for review and approval. 

  

	 	•	 	Document shall also contain, at a minimum, in process parameters examined, rational for parameters selected, and copies of the raw data. 

2.2. Stage 5: Purification Process Development 
  

	 	•	 	Pfenex shall examine, choose, and optimize a final method for [*] 

  

	 	•	 	The primary recovery procedure shall produce material which can be subsequently purified to meet product quality and safety specifications required for human use when produced under cGMP conditions. 

 

	 	•	 	Pfenex shall select and submit an optimal method to SAIC for review and approval. 

  

	 	•	 	Document shall also contain, at a minimum, methods examined, rational for method selected, and copies of the raw data. 

  

	 	•	 	Pfenex shall develop a downstream purification process based on lessons learned from Stage 2A (CSP research-grade purification strategy). 

  
 1 

	 	•	 	In-process recovery of CSP shall be calculated and monitored. 

  

	 	•	 	Pfenex shall utilize a buffer system that is suitable for the solubility and stability of the purified CSP; and that the buffer system shall meet product quality and safety specifications required for human use when
produced under cGMP conditions. 

  

	 	•	 	Pfenex shall summit the developed purification process procedures and protocols to SAIC for review and approval before moving forward to engineering run (Stage 7). 

 

	 	•	 	Document shall also contain, at a minimum, processes examined, rational for processes selected, and copies of the raw data. 

  

	 	•	 	Pfenex shall ship all purified CSP generated during development to a SAIC designated facility; however, Pfenex may retain up to 10% of the material produced if necessary. 

2.3. Stage 6: Product Specific Analytical Method Development  
  

	 	•	 	Pfenex shall develop and qualify product specific in-process and final product analytical methods and provide standard operating procedures (SOPs) for each method. 

 

	 	•	 	For release testing of bulk drug substance, the testing shall include but not be limited to, [*] 

  

	 	•	 	For characterization of bulk drug substance, the testing shall include but not limited to [*] 

  

	 	•	 	Pfenex shall establish acceptance criteria and specifications in consultation with SAIC, where applicable, that will be the basis for release and stability monitoring. The specifications shall be appropriate for a phase
1 clinical product. 

  

	 	•	 	Pfenex shall recommend and submit the developed analytical and characterization testing, including procedures, protocols, and their results, to SAIC for review and approval. 

2.4. Stage 7: Engineering Run 
  

	 	•	 	Pfenex shall perform [*] to ensure reproducibility of previously drafted procedures. 

  

	 	•	 	Pfenex shall develop master batch production records (BPRs) for the first engineering run that cover all of upstream and downstream process, and identifies where the in-process tests occur and what volume is removed for
testing. SAIC will be provided copies of the master BPRs for review and approval prior to use. 

  

	 	•	 	Pfenex shall develop master BPRs for the second engineering run that cover all of upstream and downstream process and identifies where procedures are modified, if any. SAIC will be provided copies of the master BPRs for
review and approval prior to use. 

  

	 	•	 	Pfenex shall submit the completed BPRs to SAIC upon the completion of each engineering run. 

  

	 	•	 	Pfenex shall execute the release and characterization testing as accomplished in Stage 6 for the engineering run material. 

  

	 	•	 	Pfenex shall set aside aliquots for the stability program described below, and ship the remaining purified CSP from the engineering runs to a SAIC designated facility in aliquots to be determined at a later
timepoint. 

 2.5. Stage 8: Stability Program  

 

	 	•	 	Pfenex shall conduct a non-GMP stability monitoring of the purified CSP. Pfenex shall submit the stability monitoring plans for both engineering runs to SAIC for review and approval. 

 

	 	•	 	The stability of purified CSP from the engineering runs shall be evaluated for stability at conditions of [*] 

  

	 	•	 	Stability monitoring assessment shall include, at minimum, [*] 

  

	 	•	 	A stability report shall be submitted to SAIC at each stability timepoint and include, at minimum, assays utilized with associated SOP, test results in table format, conclusion, trending data, and copies of raw
data. 

  
 2 

 2.6. Stage 9: Process Training and Transfer 

 

	 	•	 	Pfenex shall train SAIC’s clinical contract manufacture organization (CMO) on the manufacturing process and shall transfer the BPRs (master and completed) and analytical method SOPs. 

 

	 	•	 	As part of the process training and transfer Pfenex shall conduct at least one successful training run. 

  

	 	•	 	The process yield from the process training run shall be within acceptable scientific variation from the 2 engineering runs performed in Stage 7. The purified CSP shall have purity [*] 

 

	 	•	 	The process training run shall demonstrate reproducibility in all up- and down-stream processes including, but not limited to, growth rate in fermentation, quantity and quality of CSP in lysate, in primary recovery, in
each process step, and in final product. 

  

	 	•	 	Pfenex shall provide to SAIC and to SAIC designated CMO the RCS and a full process transfer package with all information necessary for the transfer of the manufacturing process. 

 

	 	•	 	The full process transfer package shall be applicable for a scale up, at a minimum, [*] and follow-on purification, upon transfer. 

  

	 	•	 	The full process transfer package shall include, but is not limited to, the following items: 

  

	 	•	 	Bill of materials and suggested suppliers 

  

	 	•	 	Detailed fermentation and purification process procedures (master BPRs) 

  

	 	•	 	Listing of instruments/equipment 

  

	 	•	 	Detailed testing procedures (SOPs) 

  

	 	•	 	Technical specification for the bulk drug substance 

  

	 	•	 	Health/Safety/Environment assessment of all materials and process 

  

	 	•	 	Detailed characterization of purified protein/buffer and intermediates 

  

	 	•	 	Stability testing plan and final report 

  

	 	•	 	Research cell bank growth parameters and technical information 

  

	 	•	 	Construct expression information and test results 

  

	 	•	 	The process transfer and associated training records for the transfer to the clinical CMO shall be well documented and be provided to SAIC in the final report. 

2.7. Final Report 
  

	 	•	 	Pfenex shall issue a final report covering all of the process development and process transfer efforts. The report shall include an executive summary, brief description of methods, results, and conclusions pertaining to
all process development activities, technical transfer training records and report, inventory of reagents provided by SAIC, and raw data in PDF format. 

  

	 	•	 	The final report shall also contain sufficient data for use in the CMC section of the IND submission including, but not limited to, details of the cloning and development of the expression strain CS533-129.

  
 3 

	3.	Quality Requirements 

 In addition to the Quality Requirements stated in the SOW, Pfenex
shall execute a Quality Management Plan suitable for process development and technical transfer (see Section 10). 
  

	 	3.1.	Pfenex shall provide a scientific, technical, and administrative infrastructure to ensure quality control of all process development and technical transfer activities. 

 

	 	3.2.	The quality management plan shall include use of any materials, instruments/equipment, methods, procedures utilized in the process development and technical transfer. 

 

	 	3.3.	At a minimum, Pfenex shall ensure: 

  

	 	•	 	Facilities in which SAIC’s materials are maintained in a safe and secure manner and allow limited access. 

  

	 	•	 	Personnel have the necessary education and training in all procedures relevant to work assignments; training and qualifications are verified by leadership of Pfenex. 

 

	 	•	 	SOPs will be used to document policies and procedures. SOPs will be version controlled and approved by key personnel. 

  

	 	•	 	An effective tracking/tracing system or procedure is in place for all materials and equipment used in this contract. 

  

	 	•	 	Equipment calibration and maintenance are performed as required and are documented. 

  

	 	3.4.	The Quality management plan shall govern Pfenex’s commitment to quality and ensure that procedures addressing the following requirements are in place. 

 

	 	•	 	SOPs 

  

	 	•	 	Document/version control 

  

	 	•	 	Equipment maintenance and repair 

  

	 	•	 	Training: adherence of staff to required schedules 

  

	 	•	 	Data management 

  

	 	•	 	Record management system 

  

	 	•	 	Safety plan 

  

	 	•	 	Asset tracking and management 

  

	 	•	 	Building and facility monitoring 

  

	 	•	 	Adherence to Federal or other applicable regulatory requirements appropriate for work on this contract 

  

	 	•	 	Operational deviations and failures will be investigated through root cause analysis, which will be documented. 

  

	 	3.5.	Cold/frozen and controlled temperature storage chambers have continuous monitors with alarms or are monitored at least every 4 hours by security staff. Any deviations will be immediately reported to Pfenex staff.

  

	 	3.6.	Effective cold chain management practices are in place for the handling of materials, products and samples. 

  

	 	3.7.	Investigation are initiated upon incident discovery (excursion from written procedure, policy, or protocol). Upon request, copies results of investigations are submitted to SAIC for review. 

 

	 	3.8.	SAIC may schedule in-plant and other visits at Pfenex to audit quality of activities conducted in this contract. 

  

	4.	Record Management Requirements 

 Pfenex shall maintain a record management system
suitable for process development and technical transfer (see Section 10, Quality Management Plan). 
  

	 	4.1.	Pfenex shall have a record management system that permits detailed records to be made concurrently with the performances of each process development activity. 

  
 4 

	 	4.2.	Records and documents shall be created and maintained in a manner that allows version control, handling steps, tests, retests, investigations, data, and results. 

 

	 	4.3.	Record and document security systems shall be adequate to ensure confidentiality and privacy of proprietary information. Confidential or proprietary information shall be restricted to staff with a need for access
and inspectors from regulatory agencies. Records shall be readily accessible for inspection by authorized personnel from SAIC. 

  

	 	4.4.	Records and documents shall be maintained for a minimum of 5 years after the completion of process development and technical transfer. SAIC shall be contacted for disposal or transfer instructions at the end of a
records storage period or at the end of the subcontract POP. 

  

	 	4.5.	Electronic records shall be backed up daily on a separate server or network. Weekly backups shall be stored on an appropriate media, e.g., CD, tape, and stored off-site. 

 

	 	4.6.	Corrections or changes in a record shall be made in accordance with a quality monitoring procedures suitable for managing process development and technical transfer. 

 

	 	4.7.	Unless alternate agreements are made, all raw data and laboratory notebooks related to this subcontract shall be made available to SAIC upon request. 

 

	5.	Table 1. Deliverables to SAIC 

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

	1	  	Technical	  	purified CSP from process development	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
	2	  	Technical	  	purified CSP from engineering and training runs	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
	3	  	Technical	  	Unused reagents provided by SAIC	  	Within 2 weeks of SAIC request	  	Sent to SAIC designee in proper shipping containers
	4	  	Technical	  	fermentation	  		  	
	5	  	Technical	  		  		  	
	6	  	Technical	  		  		  	PDF or Word document
	7	  	Technical	  		  		  	PDF or Word document
	8	  	Technical	  		  		  	PDF or Word document
	9	  	Technical	  		  		  	PDF or Word document
	10	  	Technical	  		  		  	PDF or Word document
	11	  	Technical	  		  		  	PDF or Word document
	12	  	Technical	  		  		  	PDF or Word document
	13	  	Technical	  		  		  	PDF or Word document
	14	  	Technical	  		  		  	PDF or Word document
	15	  	Reporting	  		  		  	Telecom
	16	  	Reporting	  		  		  	PDF or Word document

  

	*	Days = Calendar days 

  
 5 

 

 
 SUBCONTRACT AGREEMENT 

FIRM FIXED PRICE COMMERCIAL ITEMS (GOVERNMENT) 

Modification 06 
  

					
	SUBCONTRACTOR:	 	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	 	MODIFICATION #:	  	06
			
	ADDRESS:	 	DPAS RATING:	  	Not Rated
			
	10790 Roselle Street San Diego, CA 92121	 	TYPE:	  	 FIRM FIXED PRICE COMMERCIAL
  

ITEMS (GOVERNMENT)

		 	 VALUE:
 FUNDED:
	  	 $4,055,873.00

$2,640,928.02

 The purpose of this modification is to add subcontract value, incremental funding and a Statement of Work, dated May 2,
2011, entitled “Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM and Process Manufacturing. The modification results from Pfenex Inc’s proposal, dated May 11, 2011. As a result, the award value is
increased from $3,093,173.00 by $962,700.00 to $4,055,873.00. 
 Article 1.0 PRICE is modified to read as follows: 

The total not-to-exceed PRICE of Subcontract No. P010022290 is increased by $962,700.00 from $3,093,173.00 to $4,055,873.00 including profit. This
subcontract is incrementally funded for work to be performed through September 21, 2011. The total FUNDING of Subcontract No. P010022290 is increased by $327,800.00 from $2,313,128.02 to $2,640,928.02 including profit. 

Article 1.3 INVOICES is modified to read as follows: 

Invoices shall contain the following information: subcontract number, subproject number, Stage #. Invoices may be mailed or emailed to: 

Science Applications International Corporation 

Attention: Michael A. Younkins 

5202 Presidents Court, Suite 110 

Frederick, Maryland 21703 

Michael.A.Younkins@saic.com 
 Article
2.0 TECHNICAL AND CONTRACTUAL POINTS OF CONTACT is modified to replace Earleen Smith with the following: 
 SAIC (BUYER): 

Contractual: Michael A. Younkins  

Article 1.4 PAYMENT — is modified to read as follows: 

(a) Original Subcontract Award: For each Stage of work there will be two invoices each totaling 50 % of the price for each Stage of Work, an initial
invoice upon commencement of the Stage and a final invoice upon acceptance of the final report for each Stage. 
 Subcontract Modification #2: For each of
the two Milestones in the Statement of Work dated May 4, 2010 (modification #2) there will be two invoices each totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon
acceptance of the final report and associated deliverables for each Milestone. 
 Subcontract Modification #4: For each of the two Milestones in the
Statement of Word dated November 15, 2010 (modification #4) there will be two invoices each totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon acceptance of the final
report and associated deliverables for each Milestone. 

  
  

	
	Page 1 of 5

 

 
  
  

Subcontract Modification #5: The table shown in Mod #5 shall be utilized for Milestone Invoice dates of submission and Invoice Amounts for the Milestones
defined in the Statement of Work dated December 13, 2010 (modification #5). There will be two invoices each totaling 50% of the price for each Milestone, an initial invoice upon commencement of the Milestone and a final invoice upon acceptance
of the final report and associated deliverables for each Milestone. 
 Subcontract Modification #6: The following table shall be utilized for Milestone
Invoice submission: 
 (see next page) 

  
  

	
	 Page 2 of 5

 

 
  
  

							
	 Milestone
	  	 Payment
	  	 Amount
	  	 Duration

				
	Antigen 1 & Antigen 2 Milestone 1	  	 50% upon

commencement
	  	$[*]	  	 Approximately 8 weeks from

receipt of synthetic genes

	  
 Antigen 1 & Antigen 2 Milestone 1
	  	  
 50% upon delivery of

report
	  	$[*]	  
				
	Antigen 1 Milestone 2 [OPTIONAL]: Fermentation Assessment of [*] in Pfēnex Expression TechnologyTM	  	 50% upon

commencement
	  	$[*]	  	 Approximately 6 weeks from

receipt of written

authorization to proceed

	  
 Antigen 1 Milestone 2 [OPTIONAL]: Fermentation Assessment of
[*] in Pfēnex Expression TechnologyTM
	  	  
 50% upon delivery of

report
	  	$[*]	  
				
	Antigen 2 Milestone 2 [OPTIONAL]: Fermentation Assessment of [*] in Pfēnex Expression TechnologyTM	  	 50% upon

commencement
	  	$[*]	  	 Approximately 6 weeks from

receipt of written

authorization to proceed

	  
 Antigen 2 Milestone 2 [OPTIONAL]: Fermentation Assessment of
[*] in Pfēnex Expression TechnologyTM
	  	  
 50% upon delivery of

report
	  	$[*]	  
				
	Antigen 1 Milestone 2A [Optional]: [*] pure [*] protein from 3 selected [*] clones respectively to SAIC	  	 50% upon

commencement
	  	$[*]	  	 Approximately 7 weeks from

receipt of written

authorization to proceed

	  
 Antigen 1 Milestone 2A [Optional]: [*] pure
[*] protein from 3 selected [*] clones respectively to SAIC
	  	  
 50% upon delivery of

report
	  	$[*]	  
	  
 Antigen 2 Milestone 2A [Optional]: [*] pure
[*] protein from 3 selected [*] clones respectively to SAIC
	  	  
 50% upon

commencement
	  	$[*]	  
	  
 Antigen 2 Milestone 2A [Optional]: [*] pure
[*] protein from 3 selected [*] clones respectively to SA IC
	  	  
 50% upon delivery of

report
	  	$[*]	  
				
	Antigen I Milestone 3 [OPTIONAL]: Preparation and Characterization of a P. fluorescens-[*] Research Cell Bank (RCB)	  	 50% upon

commencement
	  	$[*]	  	 Approximately 4 weeks from

receipt of written

authorization to proceed

  
  

			
	 Page 3 of 5

 

 
  

							
	Antigen 1 Milestone 3 [OPTIONAL]: Preparation and Characterization of a P. fluorescens-[*] Research Cell Bank (RCB)	  	 50% upon delivery of

report
	  	$[*]	  	
				
	Antigen 2 Milestone 3 [OPTIONAL]: Preparation and Characterization of a P. fluorescens-[*] Research Cell Bank (RCB)	  	 50% upon

commencement
	  	$[*]	  	 Approximately 4 weeks from

receipt of written

authorization to proceed

	  
 Antigen 2 Milestone 3 [OPTIONAL]: Preparation and Characterization of
a P. fluorescens- [*] Research Cell Bank (RCB)
	  	 50% upon delivery of

report
	  	$[*]	  

 (b) Payment terms will be Net 45 days from date of invoice. Upon receipt of invoice Buyer shall within five (5) business
days review the invoice and determine if the invoice is acceptable. If Buyer reasonable deems the invoice unacceptable Buyer shall contact Seller and Seller shall reissue a conforming invoice with a new date of invoice. If (1) Buyer does not
pay on time or (2) Buyer’s financial responsibility becomes unsatisfactory (S&P rating below BBB- or Moody’s rating below Baa3) to Seller and Seller deems itself insecure, Seller may accelerate the due date and demand immediate
payment on any outstanding invoice for Product, or may require cash payments or satisfactory security for future deliveries and for payment of all sums owed under this Agreement. Buyer agrees to pay all costs and expenses, including reasonable
attorney’s fees, incurred by Seller in the collection of any sum payable by Buyer to Seller, or in the exercise of any remedy. Pfenex may charge Prime +2% on all overdue amounts. 

Article 17.0 ORDER OF PRECEDENCE — is modified to read as follows: 

The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this
Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	1.	Attachment I: Statement of Work and Schedule dated May 11, 2011 

  

	2.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	3.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	4.	Attachment C (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls 

 

	5.	Attachment II: Statement of Work and Schedule dated July 2009, Subcontract Modification #2 dated May 4, 2010, Subcontract Modification #4 dated November 15, 2010 and Subcontract Modification #5 dated
January 1, 2011. 

 All other Subcontract terms and conditions remain unchanged. 

  
  

			
	 Page 4 of 5

 

 
  
 In witness whereof, the duly authorized
representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 
  

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Michael A. Younkins

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Michael A. Younkins

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 May 25, 2011
	 		 	Date:	 	 6/1/2011

  
  

			
	 Page 5 of 5

 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM 

And Process Manufacturing 

Malaria Vaccine Production and Support Services 

May 2, 2011 

Subcontract Modification 6 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfēnex shall
furnish all of the necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the proof-of-principle evaluation of expressing full-length and
functional [*], suitable for use with [*] in combination vaccines, utilizing Pfēnex Expression TechnologyTM. Pfēnex shall provide antigens, cell banks, and reports and other documentation related to the development and
manufacturing process, as required in the deliverables (Table 1). Milestones in this subcontract modification include: 
  

			
	 Antigen
	  	 Milestone

		
	CeITOS	  	Milestone 1: Evaluation of [*] expression in Pfēnex Expression TechnologyTM
	  	  
 Milestone 2 [OPTIONAL]: Fermentation Assessment of [*] in
Pfēnex Expression TechnologyTM

	  	  
 Milestone 2A [Optional]: Provide [*] pure [*] protein from 3
selected [*] clones respectively to SAIC

	  	  
 Milestone 3 [OPTIONAL]: Preparation and Characterization of a
Pseudomonas-[*] Research Cell Bank (RCB)

		
	TRAP	  	Milestone 1: Evaluation of [*] expression in Pfēnex Expression TechnologyTM
	  	  
 Milestone 2 [OPTIONAL]: Fermentation Assessment of [*] in
Pfēnex Expression TechnologyTM

	  	  
 Milestone 2A [Optional]: Provide [*] pure [*] protein from 3
selected [*] clones respectively to SAIC

	  	  
 Milestone 3 [OPTIONAL]: Preparation and Characterization of a
Pseudomonas-[*] Research Cell Bank (RCB)

  
 1 

 SAIC will provide the following information and materials: 

 

	 	1.1.	Background literature/references relating to [*]. 

  

	 	1.2.	Suitable reference materials and sera relating to [*] if available. 

  

	2.	Period of Performance 

 The period of performance (POP) for this effort is upon award
through September 2014. 
  

	3.	Technical Requirements 

  

	 	3.1.	Milestone 1: Evaluation of [*] expression in Pfēnex Expression TechnologyTM 

  

	 	3.1.1.	Pfēnex shall clone and express a synthesized full-length [*] gene sequences (minus the GPI sequence) in Pfēnex Expression TechnologyTM. 

 

	 	3.1.1.1.	The coding region for the [*] from Pf strain [*] shall be optimized, synthesized, and cloned into a minimum of [*] different Pfēnex expression vectors. 

 

	 	3.1.1.2.	Pfenex shall transform the resulting plasmids into a strain of Pfēnex Expression TechnologyTM and plate onto selective medium. 

 

	 	3.1.1.3.	Pfēnex shall select a series of positive clones from assorted vectors and verify correct coding sequences of insert. 

  

	 	3.1.2.	Pfēnex shall assess the expression of [*] in Pfēnex Expression TechnologyTM at [*] scale in a minimum of [*] unique strains 

 

	 	3.1.2.1.	Pfēnex shall transform the resulting plasmids into up to [*] selected host strains. (A minimum of [*] unique Expression Strains) 

 

	 	3.1.2.2.	Pfēnex shall perform [*] as a primary screen. 

  

	 	3.1.2.3.	Pfēnex shall verify the target band on [*] (if antibody is available), and [*]. 

  

	 	3.1.3.	Pfēnex shall issue a final report of milestone 1 efforts. 

  

	 	3.1.3.1.	Report shall include an executive summary, brief description of test method with a reference to corresponding SOP, test results (i.e. small scale growth, expression, analytical), and conclusion. Copies of raw data
including sequencing data shall be included as an appendix. 

  

	 	3.2.	Milestone 2 [OPTIONAL]: Fermentation Assessment of [*] in Pfēnex Expression TechnologyTM 

  

	 	3.2.1.	Pfēnex shall screen multiple fermentation conditions at the [*] scale using [*] Expression Strains to evaluate protein quality and expression levels 

  
 2 

	 	3.2.1.1.	Execute experiments to screen multiple fermentation conditions in mini-bioreactors for protein expression and protein quality. ([*] fermentations per strain) 

 

	 	3.2.1.2.	Pfēnex shall perform [*] analysis on samples from each of the fermentations. 

  

	 	3.2.1.3.	Pfēnex shall verify the target band and its solubility on [*] 

  

	 	3.2.2.	Pfēnex shall confirm selected conditions used at the [*] scale and verify conditions are suitable at the high cell density fermentation [*] scale to evaluate protein quality and expression levels of selected
strains chosen based on data generated in 3.2.1.3. 

  

	 	3.2.2.1.	Pfēnex shall confirm selected conditions and strains identified in the screening experiments in a scalable high cell density fermentation process in multiplex fermentors for protein expression and protein
quality. 

  

	 	3.2.2.2.	Pfēnex shall collect multiple time point samples for evaluation of protein expression levels and quality 

  

	 	3.2.2.3.	Pfēnex shall utilize a [*] method as appropriate to prepare samples from the best fermentation of each expression strain for supply to SAIC. 

3.2.2.3.1. Pfēnex shall transfer to SAIC samples of the filtered whole cell lysate or periplasmic release extract
and cell free broth for further in vitro analysis. 
 3.2.2.3.2. Pfēnex shall perform [*] on samples
from each fermentation. 
 3.2.2.3.3. Pfēnex shall verify the target band and its solubility on [*] 

 

	 	3.2.3.	Pfēnex shall issue a final report of milestone 2 efforts. 

  

	 	3.2.3.1.	Report shall include an executive summary, brief description of test methods with associated reference to SOPs, data (i.e. small scale growth, expression, analytical), and conclusion. Copies of raw data shall be
included as an appendix. 

  

	 	3.3.	Milestone 2A [Optional]: Provide [*] pure [*] protein from [*] selected [*] clones respectively to SAIC 

  

	 	3.3.1.	Pfenex shall evaluate up to four [*] to capture [*] protein using batch binding experiments in 96-well plate format. 

  

	 	3.3.2.	Pfenex shall conduct small scale capture chromatography runs using up to two selected [*] to evaluate purification of [*] protein. 

  

	 	3.3.3.	Pfenex shall conduct small scale secondary chromatography runs using up to two selected [*] using elution pool from the primary capture column runs. 

 

	 	3.3.4.	Pfenex shall evaluate up to [*] for reduction of [*]. 

  
 3 

	 	3.3.5.	Pfenex shall analyze the final purified proteins and the filtered lysate using analytical methods including [*] 

  

	 	3.3.5.1.	Pfenex shall assess the difference in endotoxin level between filtered lysate and purified [*] 

  

	 	3.3.5.2.	Pfenex shall also assess the conformational integrity of the purified [*] 

  

	 	3.3.6.	If the quality and purity of purified protein is deemed acceptable by SAIC for R&D non-clinical studies, Pfenex shall ship the resulting purified [*] protein ([*]) from [*] selected [*] clones to SAIC.

  

	 	3.4.	Pfenex shall issue a final report of purification efforts. 

  

	 	3.4.1.	Report shall include an executive summary, brief description of methods, results and conclusions, inventory of reagents provided by SAIC, and raw data in PDF format. 

 

	 	3.5.	Milestone 3 [OPTIONAL]: Preparation and Characterization of a Pseudomonas-[*] Research Cell Bank (RCB) 

Pfenex shall prepare a non-GMP Research Cell Bank (RCB). 
  

	 	3.5.1.	Pfēnex shall generate [*] vials of RCB 

  

	 	3.5.2.	Pfēnex shall store the RCB a temperature-controlled -80°C freezer which has a monitoring system. 

  

	 	3.5.3.	A [*] scale fermentation run shall performed to confirm productivity 

  

	 	3.5.3.1.	Pfēnex shall harvest and prepare filtered lysate from the [*] fermentation ([*] working volume) 

  

	 	3.5.3.2.	Plasmid retention shall be evaluated using viable count plating of the samples on selective and non-selective media. 

  

	 	3.5.3.3.	Structural stability shall be evaluated using plasmid restriction digests. 

  

	 	3.5.4.	Pfēnex shall perform a characterization analysis of the generated Pseudomonas-[*] 

  

	 	3.5.4.1.	Phenotype of the strain shall be determined by plating on [*] 

  

	 	3.5.4.2.	Culture purity analysis shall be performed on the RCB. 

  

	 	3.5.4.3.	[*] 

  

	 	3.5.4.4.	Pfēnex shall confirm the [*] 

  

	 	3.5.5.	Pfenex shall issue a final report of milestone 3 efforts. 

  

	 	3.5.5.1.	Report shall include, but no be limited to, an executive summary, description of cell banking methods and materials used, with associated reference to SOPs, characterization data, raw material certificates of analysis,
and copies of raw data. 

  

	 	3.5.5.2.	A draft report shall be submitted to SAIC two weeks following completion of task and a final copy submitted one week following SAIC comments. 

  
 4 

	4.	Quality Requirements 

 Pfenex shall maintain a Quality System that meets scientific
expectations of traceability, reliability and control. Pfenex shall be responsible for the development and demonstration of suitability of contracted deliverables as well as providing reports and managing this project in a manner that meets
scientific expectations of traceability, reliability and control ensuring that the filtered whole cell lysate or periplasmic release extract and cell free broth produced and analyzed in the developed process and assays have the quality, and identity
they purport. 
  

	5.	Meeting and Conference Requirements 

 Unless an alternative directive is provided;
meeting, conference, and audit support shall include the following: 
  

	 	5.1.	Pfēnex shall schedule a kickoff meeting via on-site meeting with SAIC within 7 days of award. The agenda shall be provided by Pfenex in advance. The purpose of the kickoff meeting is formal introduction of key
staff and project management, technical and contractual discussions, and initial action items required to initiate contract work. 

  

	 	5.2.	Pfēnex shall participate in biweekly meetings and/or teleconferences with SAIC. Such meetings may include, but are not limited to, meetings to discuss the technical (e.g., assay designs and critical reagents),
quality, schedule, regulatory, and contractual aspects of the program and site visits to Pfenex’s facilities. All visits to Pfēnex’s facility shall be prearranged. Pfēnex shall be responsible for preparing meeting agendas and
summaries. Meeting minutes shall be captured by Pfēnex and are due to SAIC within 7 days after the completion of a biweekly teleconference. 

  

	 	5.3	Pfēnex also shall be available for ad hoc support (e.g., phone calls and e-mails) to SAIC as required for project communications. 

 

	6.	Reporting Requirements 

  

	 	6.1.	Monthly Technical and Business Progress Report: A monthly TPR shall be submitted to the SAIC management point of contact by the eighth of each month during subcontract POP. 

 

	 	6.1.1.	The TPR shall cover the work accomplished as well as issues and proposed resolutions that occur during each reporting period. 

  

	 	6.1.2.	Each TPR also shall contain an updated monthly project management schedule to indicate work completed and any change in schedule. Deliverables shall be incorporated into the schedule. 

 

	 	6.2.	Reports should include an updated inventory log, and a notice of any temperature deviations of equipment storing SAIC material. The report shall also document any changes made to methods and procedures utilized for the
cloning and expression efforts. 

  
 5 

	 	6.2.1.	Report shall include invoicing information for work performed during each reporting period and anticipated work activities. 

  

	 	6.3.	Documentation to Support an IND or Amendment: Data generated under this subcontract may be incorporated into an FDA submission. Pfenex shall provide a list of relevant SOPs or other control, development and testing
documents as requested. 

  

	7.	Subcontract Deliverables 

 Table 3 summarizes documents and other deliverables due
to SAIC at the indicated timelines. 

  
 6 

 Table 1. Deliverables to SAIC 

 

									
	 Deliverable
	  	Requirement	  	Item	  	Date*	  	Form
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	
		  		  		  		  	

  

	*	Days = Calendar days; SAIC shall provide comment within 1 week. 

  
 7 

 Core B. Carrier Protein Production 

P.I. Pfenex, Inc. San Diego, CA 
 Project Summary 

The overall goal of the Core is to express and produce carrier proteins for conjugation to [*] discovered in Projects 1 and 2. Special emphasis will be on the
production of [*] containing strategically inserted [*] to serve as anchors for targeted attachment of [*] and [*]. We expect that such an immunogen with a focused [*] will have a better chance of eliciting neutralizing antibodies than the [*] with
its unpredictable host-dependent glycan shield. In order to eliminate any other [*], we will express [*] in a [*] protein expression system. Further we will incorporate [*] at the sites of [*] to enable targeted attachment of synthetic [*] at
correct sites. 
 Attempts to express [*] in E. coli has been difficult, generally resulting in production of insoluble material that refolds with
very poor yields. The Pfenex Expression TechnologyTM platform represents a new paradigm of microbial strain development that overcomes the slow iterative process of strain selection and high failure rates for protein production in E. coli.
Pfenex has developed a proprietary strain of P.fluorescens specifically as a protein production platform to enable rapid development of expression strains capable of expressing high titers of soluble, active protein. Using a combinatorial
matrix of expression plasmids and host strains, along with high throughput methods for growth and analysis of expression strain candidates, identification of a production strain and development of a first fermentation process can be achieved
rapidly. Importantly, yields of soluble protein of ~ 1 gram per liter can be achieved upon optimization of fermentations conditions. Initial expression studies (Aim1) will be done using the codon-optimized sequence of the [*] from the [*] as it
has been shown to express epitopes recognized by each [*]. Next (Aim2), we will express [*] incorporating [*] at positions of [*] attachment such as positions [*]. This will enable attached of synthetic [*] at specific locations on [*] as part of
Project 2. Subsequent studies will use [*], as required. 
 Core B Specific Aims 

Aim 1. Efficiently express select [*] proteins in a prokaryotic system to produce non-glycosylated carrier proteins for elicitation of enhanced [*]
responses 
 Codon optimized [*] genes will be cloned into [*] unique plasmids, which will be transformed into [*] unique host strain
backgrounds resulting in a total of [*] unique expression strains. Following the small scale expression, Pfenex will perform analytical testing on the product produced from each of the Expression Strains, including [*]. Furthermore, Pfenex will
scale up production and purification of selected strains and provide purified protein for Projects 1, 2, and 3. 
  

	 	1.1	Develop P.fluorescens strains that efficiently express [*] 

  

	 	1.2	Develop P. fluorescens strains for efficient production of [*] 

  

	 	1.3	Scale up and purifiy [*] from above aims to provide ~ 1 gram of each protein to Projects 1, 2 and 3 

  

	 	1.4	Produce ~ 1 gram of [*] for use as a carrier protein for Project 1 and for use as a control for experiments in Project 2 

Aim 2. Efficiently express select [*] proteins in Pseudomonas fluorescens to produce soluble [*] proteins containing [*]. 

  
 1 

 Codon optimized DNA designed to insert [*] known to be critical for binding to[*] will be cloned
into [*] unique plasmids, which will be transformed into [*] unique host strain backgrounds resulting in a total of [*] unique expression strains. Following the small scale expression, Pfenex will perform analytical testing on the product produced
from each of the Expression Strains, including [*]. Emphasis will be placed on selection of strains that secrete high quantities of protein into the periplasmic space to facilitate purification. Three – five high-producer strains will be
selected for scale up production and purification to provide [*] for Projects 2 and 3. 
  

	 	2.1	Develop P.fluorescens strains that efficiently express [*] 

  

	 	2.2	Scale up and purify [*] from strains developed in Aim 2.1 to provide ~ 1 gram of protein to support Projects 2 and 3. 

Research Plan 
 Significance. The
development of a vaccine to prevent AIDS is the best hope for controlling the epidemic that has led to infection of more than 30 million people with the HIV-1 virus worldwide. A vaccine approach that reduces viral load would certainly be
beneficial, but one that elicits sterilizing immunity would be preferred. Conventional vaccine approaches based on delivery of HIV-1 envelope (Env) proteins or peptides derived from Env sequences have failed to generate broadly neutralizing
antibodies (bNAbs) to the virus, which mutates rapidly to escape from the immune response. Recently, [*] have been discovered from subjects in the [*]. Several of these antibodies, including [*] determinants alone or in the context of the [*]
protein. Importantly, these antibodies are even more potent (i.e., they neutralize HIV-1 at lower antibody concentrations) than other newly discovered [*]. Immunogens that elicit antibodies similar to the [*] could be ideal vaccine candidates. 

(b) Innovation. The HIV-1 Env is shrouded with oligomannose glycans that obscure potential neutralization sites and prevent the
elicitation of broad and potent immune responses. Partial removal of glycans has been shown to improve the immunogenicity of [*]. From a practical perspective, [*] are notoriously difficult to express in abundance in either mammalian or prokaryotic
systems. In mammalian expression systems, yields of only 10-20μg per liter are common, and in E. coli expression results mainly in the production of insoluble material that is difficult to refold. Furthermore,
glycosylation patterns in proteins derived from biological production systems are typically highly variable whereas using synthetic chemical methods we can obtain pure glycans in a manner that may be scaled for ultimate large scale production.

 Our overall goal is to discover and develop an [*] exposure and targeted synthetic glycan modifications to elicit broadly neutralizing
glycoprotein-specific immune responses. Specifically, we will employ the new broad and potent antibodies [*], which bind [*]. These sugar-binding antibodies require [*] and appear to require the [*] on the [*]. We plan to prepare vaccines that
contain a constrained synthetic glycan attached specifically to [*] at the site of native [*]. The critical innovation required to meet this goal is the production of a large quantity (~ 1 gram) of soluble [*]. The Pfenex Expression System has the
following unique properties that will ensure a high probability of success that will enable us to meet the above requirements: 
 Please list
attributes... 

  
 2 

 (c) Approach. 

Show steps involved in production of [*] as “preliminary data” to describe how you will approach the production of [*] 

It is expected that our approach will elicit an immune response to [*] as well as to protein epitopes normally concealed by endogenous glycans. We recognize
that this could have the mixed benefit of focusing the antibody response on the linked glycan while potentially diverting the immune response to non-neutralizing epitopes. However, efforts to eliminate non-neutralizing protein epitope by, for
example, eliminating V loops, has not proven to be beneficial in focusing the immune response on neutralizing epitopes. Rather than trying to limit induction of non-neutralizing epitope, our approach it to stimulate a robust antibody response to the
entire immunogen, especially to the glycans presented in the [*]. Glycoconjugate vaccines such as Prevnar (for the prevention of pneumococcal diseases) have been extremely successful in reducing invasive pneumococcal disease in humans despite
induction of strong immune responses to the carrier protein. 

  
 3 

 

 
 SUBCONTRACT AGREEMENT 

Modification 07 
  

					
	 SUBCONTRACTOR:
  

Pfenex Inc.
	  	SUBCONTRACT #:	  	P010022290
	  	  
 MODIFICATION #:
	  	  
 07

			
	 ADDRESS:
  

10790 Roselle Street
 San Diego, CA 92121
	  	DPAS RATING:	  	Not Rated
	  	  
 TYPE:
	  	  
 FIRM FIXED

PRICE COMMERCIAL
 ITEMS (GOVERNMENT)

			
	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	  	 VALUE:
 FUNDED:
	  	 $4,055,873.00

$2,640,928.02

 The purpose of this modification is to extend the period of performance, at no additional cost, FROM
Sep 11, 2009 through Sep 21, 2011 TO Sep 11, 2009 through Sep 21, 2014. The total value and funding value remain unchanged at $4,055,873 and $2,640,928.02 respectively. The address for Pfenex, Inc. is revised to that shown above. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown.

  

									
	PFENEX, INC.	 		 	SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Michael A. Younkins

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Michael A. Younkins

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 9/9/11
	 		 	Date:	 	 9/9/11

  
  

Page 1 of 1 

 

 
 SUBCONTRACT AGREEMENT 

Modification 08 
  

					
	 SUBCONTRACTOR:
  

Pfenex Inc.
	  	SUBCONTRACT #:	  	P010022290
	  	  
 MODIFICATION #:
	  	  
 08

			
	 ADDRESS:
  

10790 Roselle Street, San Diego, CA 92121
	  	DPAS RATING:	  	Not Rated
	  	  
 TYPE:
	  	  
 FIRM FIXED PRICE COMMERCIAL

 
 ITEMS (GOVERNMENT)

			
	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	  	 VALUE:
 FUNDED:
	  	 $4,055,873.00

$2,863,328.02

 The purpose of this modification is to provide incremental funding in the amount of $222,400.00. As a result, the funding
value is increased FROM $2,640,928.02 BY $222,400.00 TO $2,863,328.02. The total value remains unchanged at $4,055,873.00. 
 Article 1.0
PRICE is modified to read as follows: 
 The total not-to-exceed PRICE of Subcontract No. P010022290 is $4,055,873.00 including profit. This
subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No. P010022290 is $2,863,328.02 including profit. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Michael A. Younkins

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Michael A. Younkins

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 09/29/2011
	 		 	Date:	 	 09/29/2011

 

 
 SUBCONTRACT AGREEMENT 

Modification 09 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	  	MODIFICATION#:	  	09
			
	ADDRESS:	  	DPAS RATING:	  	Not Rated
			
	 10790 Roselle Street, San Diego, CA
	  	TYPE:	  	FIRM FIXED PRICE COMMERCIAL
	92121	  		  	  
 ITEMS (GOVERNMENT)

			
	Period of Performance:	  	VALUE:	  	$4,055,873.00
			
	 Sep 11, 2009 thru Sep 21, 2014
	  	 FUNDED
	  	 $3,135,328.02

 The purpose of this modification is to provide incremental funding in the amount of $272,000.00. As a result, the funding
value is increased FROM $2863,328.02 BY $272,000.00 TO $3,135,328.02. The total value remains unchanged at $4,055,873.00. 
 Article
1.0 PRICE is modified to read as follows: 
 The total not-to-exceed PRICE of Subcontract No. P010022290 is $4,055,873.00 including profit. This
subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No. P010022290 is $3,135,328.02 including profit. 

All other Subcontract terms and conditions remain unchanged 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX, INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Michael A. Younkins

	(Signature)	 		 	(Signature)
			
	 Patrick Lucy
	 		 	 Michael A. Younkins

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 11-17-11
	 		 	Date:	 	 11-17-2011

  
  

			
	 Page 1 of 1

 

 
 SUBCONTRACT AGREEMENT 

Modification 10 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	Pfenex Inc.	  	MODIFICATION #:	  	10
			
	ADDRESS:	  	DPAS RATING:	  	Not Rated
			
	10790 Roselle Street, San Diego, CA 92121	  	TYPE:	  	 FIRM FIXED PRICE COMMERCIAL

		  		  	  
 ITEMS (GOVERNMENT)

	 Period of Performance:
	  	VALUE:	  	$4,055,873.00 
	  
 Sep 11, 2009 thru Sep 21, 2014
	  	FUNDED:	  	$3,915,373.26

 The purpose of this modification is to provide incremental funding in the amount of $780,045.24. As a result, the funding
value is increased FROM $3,135,328.02 BY $780,045.26 TO $3,915,373.26. The total value remains unchanged at $4,055,873.00. 
 Article 1.0 PRICE is
modified to read as follows: 
 The total not-to-exceed PRICE of Subcontract No.P010022290 is $4,055,873.00 including profit. This subcontract is
incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No.P010022290 is $3,916,373.26 including profit. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Michael A. Younkins

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Michael A. Younkins

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 December 12, 2011
	 		 	Date:	 	 12/13/11

  
  

			
	 Page 1 of 1

 

 
 SUBCONTRACT AGREEMENT 

Modification 11 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
			
	 Pfenex Inc.
 10790 Roselle
Street, San Diego, CA
 92121
	  	MODIFICATION #:	  	11
	  	  
 DPAS RATING:
	  	  
 Not Rated

	  	  
 TYPE:
	  	  
 FIRM FIXED PRICE

		
		  	COMMERCIAL ITEMS (GOVERNMENT)
	Period of Performance: Sep 11, 2009 thru Sep 21, 2014	  	 VALUE:
 FUNDED:
	  	 $4,171,178.75 

$4,030,679.01

 The purpose of this modification is to increase the total award value by $115,305.75 for additional work; Stage 5A/
Preliminary [*]. As a result of this modification, the total value is increased FROM $4,055,873.00 BY $115,305.75 TO $4,171,178.75. The total funded amount is increased FROM $3,915,373.26 BY $115,305.75 TO $4,030,679.01. 

Statements of Work entitled “[*], November 21, 2011, Subcontract Modification 11” are herein incorporated into and made part of Subcontract No.
P010022290. 
 Article 1.0 PRICE is modified to read as follows: 

The total not-to-exceed PRICE of Subcontract No. P010022290 is $4,171,178.75 including profit. This subcontract is incrementally funded for work to be
performed through March 21, 2014. The total FUNDING of Subcontract No. P010022290 is $4,030,679.01 including profit. 
 All other
Subcontract terms and conditions remain unchanged. 
 In witness whereof, the duly authorized representatives of Buyer and Seller have executed this
Subcontract Modification on the dates shown. 
  

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Michael A. Younkins

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick Lucy
	 		 	Name:	 	 Michael A. Younkins

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

					
	Date:	 	 12/21/11
	 		 	Date:	 	 1/3/12

  
  

			
	 Page 1 of 1

 

 
 November 8, 2011 

Steve C. Huang, PhD, RAC, PMP 
 Project Manager 

Science Applications International Corporation (SAIC) 

5202 Presidents Court 
 Suite 110 

Frederick, MD 21703 
 Dear Steve, 

Please find enclosed Pfenex Inc.’s proposal in response to SAIC’s Request for Proposal regarding the Preliminary Formulation Development of rCSP.
The scope of work will be Contract Modification 11 to Subcontract #P010022290 related to SAIC Prime Contract # N01-AI-05421. The total Firm Fixed Price of this program in accordance with Statement of Work enclosed is $70,500 inclusive of materials
cost. 
 This proposal is valid for 120 days from today’s date. 

I look forward to working with you on this program. 
  

	
	Sincerely,
	
	/s/ Patrick Lucy

 Patrick Lucy 
 Vice President of
Business Development & Marketing 
 Pfenex Inc. 
 301
Newbury Street PMB #251 
 Danvers, MA 01923 
 Tel.
(978) 887-4971 
 PKL@Pfenex.com 

  
 -1- 

 

 
 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfenex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

November 11, 2011 

Subcontract Modification 

Stage 5A: Preliminary Formulation of rCSP 
  

	 	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the production of additional filtered lysates, and purified full-length CSP expressed in
Pfenex Expression TechnologyTM. As part of this support, Pfenex shall be required to provide summary reports related to the preliminary formulation of rCSP. 

 

	 	2.	Technical Requirements 

  

	 	2.1.	Screen buffer Systems 

  

	 	2.1.1.	Pfenex shall evaluate at a minimum [*] that can accommodate concentrations of [*]. 

  

	 	2.1.1.1.	Components/pH in the buffer systems should be suitable for human use. 

  

	 	2.1.1.2.	The buffer systems may include, but are not limited to the following. 

  

									
	 No.
	  	 Buffer
	  	 pH
	  	 Tonicity

Modifier
	  	 Stabilizer

					
	 1
	  	[*]	  	[*]	  	[*]	  	[*]
					
	 2
	  	[*]	  	[*]	  	[*]	  	[*]
					
	 3
	  	[*]	  	[*]	  	[*]	  	[*]
					
	 4
	  	[*]	  	[*]	  	[*]	  	[*]
					
	 5
	  	[*]	  	[*]	  	[*]	  	[*]

  

	 	2.1.1.3.	Compatibility of the buffer systems and CSP shall be analyzed. The methods that may include, but are not limited to, [*]. 

  
 -2- 

 

 
  

	 	2.2.	Short term stability monitoring 

  

	 	2.2.1.	Upon selection of suitable buffer system(s) for [*], a short term stability shall be conducted to monitor the quality changes of [*] in the selected buffer systems. 

 

	 	2.2.2.	The short term stability shall include, but are not limited to, the following temperature and time points 

  

					
	 Stress
	  	Conditions	 	Time Point(s)
	 Temperature
	  	[*]	 	[*]

  

	 	2.2.3.	[*] quality in the selected buffer systems. 

  

	 	2.2.4.	At the minimum, one aliquot per temperature and per time point shall be assessed 

  

	 	2.2.4.1.	Testing methods for the CSP stability may include, but are not limited to, [*]. 

  

	 	2.2.5.	Upon SAIC’s request, Pfenex shall provide [*] in the selected buffer system and concentration to SAIC for further testing 

  

	 	2.3.	Final Report 

  

	 	2.3.1.	Pfenex shall issue a final report. 

 The report shall include an executive summary, detailed
description of methods including system suitability controls, list of all raw materials and their source, results, conclusions, inventory of reagents provided by SAIC, and all raw data in PDF format. 

 

	 	3.	Deliverables to SAIC 

  

									
	 Deliverable
	  	Requirement	  	Item	  	 Date
	  	 Form

	 1
	  	Reporting	  	Final Report	  	 Draft: 2 weeks following completion
  

Final: 2 weeks after receipt of SAIC comments
	  	 Draft: Word Document
  

Final: Signed Pdf

					
	 2
	  	Technical	  	rCSP	  	Upon SAIC’s request	  	Proper shipping condition

  
 -3- 

 

 
  
  

	 	4.	Cost Proposal 

 The pricing for the proposal shall be based upon commercial rates and is inclusive of
costs for supplies, materials and reports. The pricing is broken down as follows: 
 Total Price – $[*] 

Payment Terms – [*] upon delivery of final report. 

Labor – Approximately [*] hours 

Materials – $[*] 
 Timescale
– Approximately eight (8) weeks from commencement to issuance of final report 

  
 -4- 

 

 
  
 November 21, 2011 

Steve C. Huang, PhD, RAC, PMP 
 Project Manager 

Science Applications International Corporation (SAIC) 
 5202
Presidents Court 
 Suite 110 
 Frederick, MD 21703 

Dear Steve: 
 Please find enclosed Pfenex Inc.’s proposal
in response to SAIC’s Request for Proposal regarding the Characterization of Fourteen (14) rCSP Monoclonal Antibodies. The scope of work will be Contract Modification 11 to Subcontract #P010022290 related to SAIC Prime Contract #
N01-AI-05421. The total Firm Fixed Price of this program in accordance with Statement of Work enclosed is $45,000 inclusive of materials cost. 
 This
proposal is valid for 120 days from today’s date. I look forward to working with you on this program. 
 Sincerely, 

/s/ Patrick Lucy 
 Patrick Lucy 

Vice President of Business Development & Marketing 

Pfenex Inc. 
 301 Newbury Street PMB #251 

Danvers, MA 01923 
 Tel. (978) 887-4971 

PKL@Pfenex.com 

  

 

 
  
 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

November 21, 2011 

Subcontract Modification 

Stage 6A: Characterization of 14 rCSP monoclonal antibodies 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the production of additional filtered lysates, and purified full-length CSP expressed in
Pfēnex Expression TechnologyTM. As part of this support, Pfenex shall be required to provide summary reports related to the characterization of 14 of rCSP monoclonal antibodies (mAbs). 

 

	2.	Technical Requirements 

  

	 	2.1.	[*] 

  

	 	2.1.1.	Pfenex shall characterize the provided [*] for their applications [*] and [*]. 

  

	 	2.1.1.1.	In both [*] and [*], Pfenex shall screen [*] against the purified rCSP and its forced-degraded derivatives. 

  

	 	2.1.1.2.	For forced degradation, the purified rCSP shall be subjected to, but is not limited to, [*]. 

  

	 	2.1.1.3.	Pfenex shall capture forced degradation conditions at which stability of the product can be reflected by the use of certain mAbs in [*]. 

 

	 	2.1.1.4.	Forced-degraded derivatives of rCSP will also be analyzed by analytical methods that include, but is not limited to, [*]. 

  

	 	2.2.	Final Report 

  

	 	2.2.1.	Pfenex shall issue a final report. 

 The report shall include an executive summary, detailed
description of methods including system suitability controls, list of all raw materials and their source, results, conclusions, inventory of reagents provided by SAIC, and all raw data in PDF format. 

  

 

 
  
  

	3.	Deliverables to SAIC 

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date
	  	 Form

					
	 1
	  	Reporting	  	Final Report	  	Draft: 2 weeks following completion Final: 2 weeks after receipt of SAIC comments	  	 Draft: Word Document
 Final: Signed
PDF

					
	 2
	  	Technical	  	rCSP	  	Upon SAIC’s request	  	Proper shipping condition

  

	4.	Cost Proposal 

 The pricing for the proposal shall be based upon commercial rates and is
inclusive of costs for supplies, materials and reports. The pricing is broken down as follows: 
 Total Price – $[*] 

Payment Terms – [*] upon delivery of final report. 

Labor – Approximately [*] – Included 

Timescale – Approximately six (6) weeks from commencement to issuance of final report 

  

 

 
  
 SUBCONTRACT AGREEMENT 

Modification 12 
  

					
	SUBCONTRACTOR:	  	SUBCONTRACT #:	  	P010022290
	  
 Pfenex Inc.

10790 Roselle Street, San Diego, CA
 92121
	  	  
 MODIFICATION #:
	  	  
 12

	  	  
 DPAS RATING:
	  	  
 Not Rated

	  	  
 TYPE:
	  	  
 FIRM FIXED PRICE

		  	  
 COMMERCIAL ITEMS (GOVERNMENT)

	 Period of Performance:

Sep 11, 2009 thru Sep 21, 2014
	  	  
 Modification Value:
	  	  
 $122,288.00

	  	  
 FUNDED:
	  	  
 $4,152,967.01

	  	Ceiling VALUE:	  	$4,612,816.75

 The purpose of this modification is to increase the ceiling value by $441,638.00 and funding value by $122,288.00 for
additional work as stated below. 
 Effective date of this modification is February 24, 2012. 

Pfenex shall be required to provide (i) gene synthesis and strain engineering of PfRh5 in pseudomonas fluorecens, (ii) optimize fermentation for 1 L
scale, (iii) purified 10mg protein from three selected clones, and (iv) produce research cell bank and conduct cell bank testing. 
 As a result
of this modification, the total ceiling value is increased FROM $4,171,178.75 BY $441,638.00 TO $4,612,816.75. The total funded amount is increased FROM $4,030,679.01 BY $122,288.00 TO $4,152,967.01. 

Statements of Work entitled “Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM And Process Manufacturing Malaria
Vaccine Production and Support Services, dated February 6, 2012 Subcontract Modification 12” are herein incorporated into and made part of Subcontract No. P010022290 and is attachment 1 to this modification 12. 

Article 1.0 PRICE is modified to read as follows: The total not-to-exceed Ceiling Value of Subcontract No. P010022290 is $4,612,816.75
including profit. This subcontract is incrementally funded for work to be performed through March 21, 2014. The total FUNDING of Subcontract No.P010022290 is $4,152,967.01 including profit. 

Article 1.3 INVOICES is modified to read as follows: 

Invoices shall contain the following information: subcontract number, subproject number, Stage #. Invoices may be mailed or emailed to: 

Science Applications International Corporation 

Attention: Carol Frishman 
 5202
Presidents Court, Suite 110 
 Frederick, Maryland 21703 

carol.c.frishman@saic.com 

  
  

			
	Page 1 of 3

 

 
  
 Article 2.0 TECHNICAL AND
CONTRACTUAL POINTS OF CONTACT is modified to replace Michael Younkins with the following: 
 SAIC (BUYER): 

Contractual: Carol Frishman 
 Article
1.4 PAYMENT — is modified to add the following: 
  

	(a)	Original Subcontract Award: For each Stage of work there will be two invoices each totaling 50 % of the price for each Stage of Work, an initial invoice upon commencement of the Stage and a final invoice upon
acceptance of the final report for each Stage. 

 The following table shall be utilized for Milestone Invoice submission for Modification
12: 
  

							
	 Milestone
	  	 Payment
	  	 Amount
	  	 Duration

				
	Milestone 1: Strain Screening	  	 50% upon

commencement
	  	[*]	  	 Approximately 8

weeks from receipt

of synthetic genes

	  
 Milestone 1: Strain Screening
	  	  
 50% upon

delivery of report
	  	  
 [*]
	  
				
	Milestone 2 [OPTIONAL]: Fermentation Assessment of [*] in Pfēnex Expression TechnologyTM	  	 50% upon

commencement
	  	[*]	  	 Approximately 6

weeks from receipt

of written

authorization to

proceed

	  
 Milestone 2 [OPTIONAL]: Fermentation Assessment of
[*] in Pfēnex Expression TechnologyTM
	  	  
 50% upon

delivery of report
	  	  
 [*]
	  
				
	Milestone 2A [OPTIONAL]: Provide [*] pure PfRh5 protein from [*] selected [*] clones respectively to SAIC	  	  
 50% upon

commencement
	  	[*]	  	 Approximately 7

weeks from receipt

of written

authorization to

proceed*

	  
 Milestone 2A [OPTIONAL]: Provide [*] pure
[*] protein from [*] selected [*] clones respectively to SAIC
	  	  
 50% upon

delivery of report
	  	  
 [*]
	  
				
	Milestone 3 [OPTIONAL]: Preparation and Characterization of a P. fluorescens- [*] Research Cell Bank (RCB)	  	 50% upon

commencement
	  	[*]	  	 Approximately 4

weeks from receipt

of written

authorization to

proceed

	  
 Milestone 3 [OPTIONAL]: Preparation and Characterization of
a P. fluorescens- [*] Research Cell Bank (RCB)
	  	  
 50% upon

delivery of report
	  	  
 [*]
	  

  

	*	Duration for Milestone 2A will depend on expression and quality data of [*] from Milestone 2 

  
  

			
	Page 2 of 3

 

 
  
 (b) Payment terms will be Net 45 days from date of
invoice. Upon receipt of invoice Buyer shall within five (5) business days review the invoice and determine if the invoice is acceptable. If Buyer reasonable deems the invoice unacceptable Buyer shall contact Seller and Seller shall reissue a
conforming invoice with a new date of invoice. If (1) Buyer does not pay on time or (2) Buyer’s financial responsibility becomes unsatisfactory (S&P rating below BBB- or Moody’s rating below Baa3) to Seller and Seller deems
itself insecure, Seller may accelerate the due date and demand immediate payment on any outstanding invoice for Product, or may require cash payments or satisfactory security for future deliveries and for payment of all sums owed under this
Agreement. Buyer agrees to pay all costs and expenses, including reasonable attorney’s fees, incurred by Seller in the collection of any sum payable by Buyer to Seller, or in the exercise of any remedy. Pfenex may charge Prime +2% on all
overdue amounts. 
 Article 17.0 ORDER OF PRECEDENCE — is modified to read as follows: 

The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this
Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	 	1.	Attachment I: Statement of Work and Schedule dated February 6, 2012. 

  

	 	2.	Statements of Work and Schedules as follows: 

 Modifications - 6 dated 6/1/11, 5 dated 1/1/11, 4
dated 11/15/10, 2 dated 5/4/10 and original dated 5/11/11 respectively. 
  

	 	3.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	4.	Schedule B: U.S. Government Terms and Conditions, Part Ill — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	5.	Attachment C (Enclosure 2; (Rev. 412009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	/s/ Patrick Lucy	 		 	/s/ Carol Frishman
	  
	 		 	  

	(Signature)	 		 	(Signature)
					
	Name:	 	Patrick Lucy	 		 	Name:	 	Carol Frishman
		 	  
	 		 		 	  

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	Vice President of Business Development	 		 	Title:	 	Subcontracts Manager
		 	  
	 		 		 	  

					
	Date:	 	2/24/12	 		 	Date:	 	2/24/12
		 	  
	 		 		 	  

  
  

			
	Page 3 of 3

 Statement of Work 

Evaluation of [*] Expression in Pfēnex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

May 20, 2013 

Subcontract Modification 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, and facilities for the full development of a manufacturing process for the [*] expressed from [*] clone using Pfēnex Expression TechnologyTM and technical transfer of
the process to a SAIC designated cGMP manufacturing facility with processing capabilities and equipment compatible with the upstream and downstream process developed by Pfenex. The process shall be suitable for a scale up, at a minimum, of a [*]
fermentation scale and follow-on purification, upon transfer. As part of this project, Pfenex is required to provide related meeting support, reports, and deliverables as listed in Table 1. 

 

	 	1.1.	SAIC will provide the following information and materials: 

  

	 	•	 	Background literature/references relating to [*]. 

  

	 	•	 	Additional [*] monoclonal antibodies (mAbs) and control Rh5, if required. 

  

	 	•	 	Shipping instructions for purified [*] protein and other materials. 

  

	2.	Technical Requirements 

 As a follow-on to the successful production, testing and
selection of a [*] expressing cell line under the original subcontract and Mod 12 which was composed of: (i)-Evaluation of [*] (Stage 1), (ii)-Fermentation assessment of [*] (Stage 2A/Mod 12) and (iv)-Preparation and characterization of
Pseudomonas-[*] (Stage 3); SAIC now requires Pfenex to develop a manufacturing process suitable for a scale up, at a minimum, of a [*] fermentation scale and follow-on purification for the SAIC selected clone [*] and technical transfer of the
process to a SAIC designated cGMP manufacturing facility with processing capabilities and equipment compatible with the upstream and downstream process developed by Pfenex. 
  

	 	2.1.	Stage 4: Fermentation Optimization of cell line [*] 

  

	 	2.1.1.	Pfenex shall apply computer-aided, statistically-based design of experiments (DoE) to examine fermentation parameters [*] expression. Design and execute 2-level fractional factorial experiments to screen up to five
(5) factors (e.g. pH and temperature) [*] expression in an 8-unit multiplex 1L bioreactor system. 

  
 Page 1 of 10 

 Please Note: Appropriate samples for yield determination and analysis will
be collected throughout the fermentation runs. 
  

	 	2.1.2.	Perform the appropriate analysis on selected pre- and post-induction samples taken from the fermentations. 

  

	 	2.1.3.	Use JMP statistics software to analyze the data. Based on the conclusions, design a confirmation round of experiments up to a total of [*] X 1L fermentations. 

 

	 	2.1.4.	Evaluate [*] titer and quality on selected samples utilizing ELISA and western blot analysis development from Stage 7 Product Specific Analytical Method Development. 

 

	 	2.1.5.	The optimized fermentation condition shall be confirmed in up to [*] scale per round. 

  

	 	2.1.6.	The optimized fermentation shall produce material which can be subsequently purified to meet product quality safety specifications required for human use when produced under cGMP conditions. 

 

	 	2.1.7.	A technical study report shall be issued following the completion of the work. 

  

	 	2.1.7.1.	Pfenex shall submit the optimized fermentation procedure/protocol to SAIC for review and approval. 

  

	 	2.1.7.2.	Document shall also contain, at a minimum, in process parameters examined, rational for parameters selected, and copies of the raw data. 

 

	 	2.2.	Stage 5: Purification Process Development 

  

	 	2.2.1.	Pfenex shall develop a cGMP ready downstream purification process. 

  

	 	2.2.2.	Pfenex shall perform up to six rounds of [*] fermentation runs to supply cell paste for the experiments outlined in this stage of work. 

 

	 	2.2.3.	Pfenex shall develop a downstream purification process based on lessons learned from Stage 2A ([*] purification strategy). 

  

	 	2.2.4.	Pfenex shall design and execute a fractional factorial design to optimize protein release and purity [*]. 

  

	 	2.2.5.	Pfenex shall evaluate efficiency (throughput, purity, recovery) of bulk separation of soluble and insoluble material by [*]. 

  

	 	2.2.6.	Pfenex shall develop [*] will permit the material [*] to be filtered through a [*]. 

  

	 	2.2.7.	Pfenex shall analyze samples taken throughout the primary recovery development for [*] yield and purity. 

  

	 	2.2.8.	Pfenex shall utilize the process intermediate from 2.2.7 to design and execute a resin screen (microtiter plate scale) for the primary capture chromatography step. Up to [*] will be screened for the best conditions for
capacity. The best two resins will be screened in a second round using up to [*] conditions to determine selectivity. 

  
  

			
	Page 2 of 10

	 	2.2.9.	Pfenex shall compare screening leads from 2.2.8 using test gradients and method scouting at small scale and rank performance with an emphasis on determining operating parameters (e.g., capacity, resolution, and yield)
for protein with that resin 

  

	 	2.2.10.	The primary column resin and associated conditions selected from 2.2.9 will be optimized further for chromatography scale up and implemented at pilot scale. 

 

	 	2.2.11.	Pfenex shall utilize the elution pool from 2.2.10 to develop and execute a resin screen for the second chromatography step. Up to [*] will be screened for the best capacity and selectivity. The best resin will be
screened in a second round using up to [*]. 

  

	 	2.2.12.	Pfenex shall compare screening leads from 2.2.11 using test gradients and method scouting at small scale and rank performance with an emphasis on determining operating parameters (e.g., capacity, resolution, and yield)
for protein with that resin. 

  

	 	2.2.13.	The second column resin and associated conditions selected from 2.2.12 will be optimized further for chromatography scale up and implemented at pilot scale. 

 

	 	2.2.14.	Pfenex shall utilize the elution pool from 2.2.13 to design and execute a resin screen for the polishing chromatography step. Up to eight resins will be screened for the best capacity and selectivity. The best resin
will be screened in a second round using up to 36 conditions for efficiency and selectivity. 

  

	 	2.2.15.	Pfenex shall compare screening leads from 2.2.14 using test gradients and method scouting at small scale and rank performance with an emphasis on determining operating parameters (e.g., capacity, resolution, and yield)
for protein with that resin. 

  

	 	2.2.16.	The polishing column resin and associated conditions selected from 2.2.12 will be optimized further for chromatography scale up and implemented at pilot scale. 

 

	 	2.2.17.	[*] from 2.2.16 will be buffer exchanged into the final drug substance buffer determined in Stage 6 using [*]. [*] parameters will be optimized to minimize processing time while maintaining product quality.

  

	 	2.2.18.	For each downstream unit operation, Pfenex shall conduct hold studies to determine process intermediate stability. 

  

	 	2.2.19.	Pfenex shall perform analysis during development that may include [*]. 

  

	 	2.2.20.	Pfenex shall perform a pilot scale integrated purification run to confirm scale-up parameters and overall process performance. 

  

	 	2.2.20.1.	Pfenex shall collect and analyze intermediate samples taken during the integrated run for protein yield, purity and contaminant profile. 

 

	 	2.2.20.2.	Pfenex shall provide [*] produced from the integrated run to SAIC or its designee. 

  

	 	2.2.20.3.	Pfenex shall perform analysis of integrated run final material that may include [*]. 

  
  

			
	Page 3 of 10

	 	2.2.21.	Pfenex shall submit the developed purification process procedures and protocols to SAIC for review and approval before moving forward to engineering run (Stage 8). 

 

	 	2.2.21.1.	Document shall also contain, at a minimum, processes examined, rational or processes selected, and copies of the raw data. 

  

	 	2.2.22.	Pfenex shall ship [*] generated during development to a SAIC designated facility; however, Pfenex may retain all or a portion of the material produced for subsequent studies. 

 

	 	2.3.	Stage 6: BDS Formulation Development 

  

	 	2.3.1.	With material generated from Stage 5 Purification Process Development, Pfenex shall screen and evaluate at a minimum [*] buffer systems that are compatible with [*]. 

 

	 	2.3.1.1.	Components/pH in the buffer systems should be suitable for human use and may include stabilizing excipients. 

  

	 	2.3.1.2.	Pfenex will measure compatibility of the buffer systems using SEC-HPLC and/or other stability indicating assays. 

  

	 	2.3.2.	Pfenex shall confirm the selected buffer systems to monitor quality changes of [*]. 

  

	 	2.3.3.	Pfenex shall perform a short-term stability monitoring of selected, suitable buffer systems(s) to monitor quality changes of [*] and/or other stability indicating assays. 

 

	 	2.3.3.1.	Short term stability monitoring shall include the following temperature and time points: 

  

					
	 Stress
	  	 Conditions
	  	 Time Point(s)

	Temperature	  	[*]	  	[*]

  

	 	2.3.3.2.	[*]. 

  

	 	2.3.4.	Upon SAIC’s request, Pfenex shall provide [*] in the selected buffer system and concentration to SAIC for further testing 

  

	 	2.3.5.	Pfenex shall issue a final report. The report shall include an executive summary, detailed description of methods including system suitability controls, list of all raw materials and their source, results, conclusions,
inventory of reagents provided by SAIC, and all raw data in PDF format. 

  

	 	2.4.	Stage 7: Product Specific Analytical Method Development  

  

	 	2.4.1.	Pfenex shall develop product specific in-process and final product analytical methods and provide standard operating procedures (SOPs) for each method. 

Please Note: Method qualification may be performed as optional. 

  
  

			
	Page 4 of 10

	 	2.4.2.	Pfenex shall establish acceptance criteria and specifications in consultation with SAIC, where applicable, that will be the basis for release and stability monitoring. The specifications shall be appropriate for a Phase
1 clinical product. 

  

	 	2.4.3.	For in-process testing of low purity fermentation and purification samples, the testing shall include: [*] analysis. 

  

	 	2.4.4.	For release testing of bulk drug substance, the testing shall include: [*] 

  

	 	2.4.5.	For characterization of bulk drug substance, the testing shall include: [*] 

  

	 	2.4.6.	Pfenex shall recommend and submit the developed analytical and characterization testing, including procedures, protocols, and their results, to SAIC for review and approval. 

 

	 	2.4.7.	(Optional) Analytical method qualification shall be performed on methods developed. 

  

	 	2.4.7.1.	Qualification protocols and report template shall be issued for review and approval 

  

	 	2.4.7.2.	Qualification report shall be issued and include data and summary tables. 

  

	 	2.5.	Stage 8: Engineering Run 

  

	 	2.5.1.	Pfenex shall perform a complete engineering run at the [*] scale to ensure reproducibility of previously drafted procedures. 

  

	 	2.5.2.	Pfenex shall develop master batch production records (BPRs) for the engineering run that covers all of upstream and downstream process, and identifies where the in-process tests occur and what volume is removed for
testing. SAIC will be provided copies of the master BPRs for review and approval prior to use. 

  

	 	2.5.3.	Pfenex shall submit the completed BPRs to SAIC upon the completion of the engineering run. 

  

	 	2.5.4.	Pfenex shall execute the release and characterization testing as accomplished in Stage 7 for the engineering run material. 

  

	 	2.5.5.	Pfenex shall set aside aliquots for the stability program described below, and ship the remaining [*] from the engineering run to a SAIC designated facility in aliquots to be determined at a later timepoint.

  

	 	2.5.6.	(Optional) Pfenex may perform additional engineering run(s) if required by SAIC 

  

	 	2.5.6.1.	Pfenex shall develop master batch production records (BPRs) for the engineering run that covers all of upstream and downstream process, and identifies where the in-process tests occur and what volume is removed for
testing. SAIC will be provided copies of the master BPRs for review and approval prior to use. 

  

	 	2.6.	Stage 9: Stability Program  

  

	 	2.6.1.	Pfenex shall conduct a non-GMP stability monitoring of the [*]. Pfenex shall submit the stability monitoring plans for the engineering run to SAIC for review and approval. 

  
  

			
	Page 5 of 10

	 	2.6.2.	The stability of purified [*] from the engineering run will be evaluated for stability at conditions [*]. 

  

									
	 Method/Test

–70°C, 5°C, 25°C/60% relative humidity (RH), 40°C/75% RH
	  	Initial
Testing
(T=0)	  	1 mo	  	2 mo	  	3 mo
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	
	[*]	  	X	  	X	  	X	  	
	[*]	  	X	  		  		  	X

  

	 	2.6.3.	Stability monitoring assessment shall include: [*] 

  

	 	2.6.4.	A stability report shall be submitted to SAIC at each stability timepoint and include, at minimum, assays utilized with associated SOP, test results in table format, conclusion, trending data, and copies of raw data.

  

	 	2.7.	Stage 10: Process Training and Transfer 

  

	 	2.7.1.	Pfenex shall train SAIC’s cGMP contract manufacture organization (CMO) on the manufacturing process and shall transfer the BPRs (master and completed) and analytical method SOPs. 

 

	 	2.7.2.	As part of the process training and transfer Pfenex shall conduct at least one successful training run. 

  

	 	2.7.3.	The process yield from the process training run shall be within acceptable scientific variation from the engineering run performed in Stage 8. 

 

	 	2.7.4.	The process training run shall demonstrate within acceptable scientific variation reproducibility as compared to Stage 8, in all up- and down-stream processes including growth rate in fermentation, quantity and quality
of Rh5 in lysate, in primary recovery, in each process step, and in final product. 

  

	 	2.7.5.	Pfenex shall provide to SAIC and to SAIC designated CMO the RCB and a full process transfer package with all information necessary for the transfer of the manufacturing process. 

  
  

			
	Page 6 of 10

	 	2.7.6.	The full process transfer package shall include the following items: 

  

	 	2.7.6.1.	Bill of materials and suggested suppliers 

  

	 	2.7.6.2.	Detailed fermentation and purification process procedures (master BPRs) 

  

	 	2.7.6.3.	Listing of instruments/equipment 

  

	 	2.7.6.4.	Detailed testing procedures (SOPs) 

  

	 	2.7.6.5.	Technical specification for the bulk drug substance 

  

	 	2.7.6.6.	Health/Safety/Environment assessment of all materials and process 

  

	 	2.7.6.7.	Detailed characterization of purified protein/buffer and intermediates 

  

	 	2.7.6.8.	Stability testing plan and final report 

  

	 	2.7.6.8.1.	Research cell bank growth parameters and technical information 

  

	 	2.7.6.8.2.	Construct expression information and test results 

  

	 	2.7.7.	The process transfer and associated training records for the transfer to the clinical CMO shall be well documented and be provided to SAIC in the final report. 

 

	 	2.8.	CMC Support 

  

	 	2.8.1.	Pfenex shall provide support in reviewing CMC sections and documents related to IND submission including details of the cloning and development of the expression strain [*]. 

 

	3.	Quality Requirements 

 In addition to the Quality Requirements stated in the SOW, Pfenex
shall execute a Quality Management Plan suitable for process development and technical transfer (see Section 10). 
  

	 	3.1.	Pfenex shall provide a scientific, technical, and administrative infrastructure to ensure quality control of all process development and technical transfer activities. 

 

	 	3.2.	The quality management plan shall include use of any materials, instruments/equipment, methods, procedures utilized in the process development and technical transfer. 

 

	 	3.3.	At a minimum, Pfenex shall ensure: 

  

	 	3.3.1.	Facilities in which SAIC’s materials are maintained in a safe and secure manner and allow limited access. 

  

	 	3.3.2.	Personnel have the necessary education and training in all procedures relevant to work assignments; training and qualifications are verified by leadership of Pfenex. 

 

	 	3.3.3.	SOPs will be used to document policies and procedures. SOPs will be version controlled and approved by key personnel. 

  

	 	3.3.4.	An effective tracking/tracing system or procedure is in place for all materials and equipment used in this contract. 

  

	 	3.3.5.	Equipment calibration and maintenance are performed as required and are documented. 

  
  

			
	Page 7 of 10

	 	3.4.	The Quality Management Plan shall govern Pfenex’s commitment to quality and ensure that procedures addressing the following requirements are in place. 

 

	 	3.4.1.	SOPs 

  

	 	3.4.2.	Document/version control 

  

	 	3.4.3.	Equipment maintenance and repair 

  

	 	3.4.4.	Training: adherence of staff to required schedules 

  

	 	3.4.5.	Data management 

  

	 	3.4.6.	Record management system 

  

	 	3.4.7.	Safety plan 

  

	 	3.4.8.	Asset tracking and management 

  

	 	3.4.9.	Building and facility monitoring 

  

	 	3.4.10.	Adherence to Federal or other applicable regulatory requirements appropriate for work on this contract 

  

	 	3.4.11.	Operational deviations and failures will be investigated through root cause analysis, which will be documented. 

  

	 	3.5.	Cold/frozen and controlled temperature storage chambers have continuous monitors with alarms or are monitored at least every 4 hours by security staff. Any deviations will be immediately reported to Pfenex staff.

  

	 	3.6.	Effective cold chain management practices are in place for the handling of materials, products and samples. 

  

	 	3.7.	Investigation are initiated upon incident discovery (excursion from written procedure, policy, or protocol). Upon request, copies results of investigations are submitted to SAIC for review. 

 

	 	3.8.	SAIC may schedule in-plant and other visits at Pfenex to audit quality of activities conducted in this contract. 

  

	4.	Record Management Requirements 

 Pfenex shall maintain a record management system
suitable for process development and technical transfer (see Section 10, Quality Management Plan). 
  

	 	4.1.	Pfenex shall have a record management system that permits detailed records to be made concurrently with the performances of each process development activity. 

 

	 	4.2.	Records and documents shall be created and maintained in a manner that allows version control, handling steps, tests, retests, investigations, data, and results. 

 

	 	4.3.	Record and document security systems shall be adequate to ensure confidentiality and proprietary information. Confidential or proprietary information shall be restricted to staff with a need for access and inspectors
from regulatory agencies. Records shall be readily accessible for inspection by authorized personnel from SAIC. 

  

	 	4.4.	Records and documents shall be maintained for a minimum of 5 years after the completion of process development and technical transfer. SAIC shall be contacted for disposal or transfer instructions at the end of a
records storage period or at the end of the subcontract POP. 

  
  

			
	Page 8 of 10

	 	4.5.	Electronic records shall be backed up daily on a separate server or network. Weekly backups shall be stored on an appropriate media, e.g., CD, tape, and stored off-site. 

 

	 	4.6.	Corrections or changes in a record shall be made in accordance with a quality monitoring procedures suitable for managing process development and technical transfer. 

 

	 	4.7.	Unless alternate agreements are made, all raw data and laboratory notebooks related to this subcontract shall be made available to SAIC upon request. 

 

	5.	Table 1. Deliverables to SAIC 

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

					
	1	  	Technical	  	[*] from process development	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
					
	2	  	Technical	  	[*] from engineering run	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
					
	3	  	Technical	  	Unused reagents provided by SAIC	  	Within 2 weeks of SAIC request	  	Sent to SAIC designee in proper shipping containers
					
	4	  	Technical	  	Optimized fermentation procedure and protocols	  	Within 3 week of completion	  	PDF or Word document
					
	5	  	Technical	  	Selected primary recovery method	  	Within 3 week of completion	  	PDF or Word document
					
	6	  	Technical	  	Purification process procedures and protocols	  	Within 3 week of completion	  	PDF or Word document
					
	7	  	Technical	  	Recommended analytical and characterization testing	  	Within 3 week of completion	  	PDF or Word document
					
	8	  	Technical	  	Master BPRs for the engineering run	  	2 weeks prior to initiation	  	PDF or Word document

  
  

			
	Page 9 of 10

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

					
	9	  	Technical	  	Master BPRs for the second engineering run, etc	  	2 weeks prior to initiation	  	PDF or Word document
					
	10	  	Technical	  	Completed BPRs for the engineering run	  	Within 3 week of completion	  	PDF or Word document
					
	11	  	Technical	  	Completed BPRs for the second engineering run, etc	  	Within 3 week of completion	  	PDF or Word document
					
	12	  	Technical	  	Stability monitoring plans for engineering run(s)	  	2 weeks prior to initiation	  	PDF or Word document
					
	13	  	Technical	  	stability reports	  	3 week following each indicated time point	  	PDF or Word document
					
	14	  	Technical	  	Full Process transfer package	  	4 weeks following completion of engineering run	  	PDF or Word document
					
	15	  	Reporting	  	Biweekly Meeting and minutes	  	Meeting as scheduled, minutes within a week of the meeting	  	Telecom
					
	16	  	Reporting	  	Monthly Reports	  	Due by the 8th of each month during the performance of work efforts	  	PDF or Word document
					
	17	  	Reporting	  	CMC Support	  	Final: 3 weeks after receipt of SAIC CMC sections provided for review	  	Draft: Word document

  

	*	Days = calendar days 

  
  

			
	Page 10 of 10

 7A PRICE SHEET for Subcontract P010022290 

May 24, 2012 
 Pricing is based upon
commercial rates and is inclusive of costs for supplies, materials (except as noted) and reports. 
  

											
	 Stage 7A Activity
	  	Payment Terms
(50% upfront/50%
issuance of final
report)	 	  	Estimated
Labor
(hours)	  	Estimated
Materials
Costs	  	Estimated
Timescales
					
	 2.1.1 [*]
	  	$	[*]	  	  	[*]	  	[*]	  	3 weeks
					
	 2.1.2 [*]
	  	$	[*]	  	  	[*]	  	[*]	  	2 weeks
					
	 2.1.3 [*]
	  	$	[*]	  	  	[*]	  	[*]	  	5 weeks
					
	 2.1.4 [*]
	  	$	[*]	  	  	[*]	  	n/a	  	1 week
					
	 2.1.5-2.1.8 [*]
	  	$	[*]	  	  	[*]	  	n/a	  	3 weeks
					
	 2.1.9 [*]
	  	$	[*]	  	  	[*]	  	n/a	  	2 weeks

  

  

			
	Attachment 2 P010022290 Mod 13	  	Page 1 of 1

 

 
 SUBCONTRACT AGREEMENT P010022290 Modification 13 

 

					
	 SUBCONTRACTOR:
  

Pfenex Inc.
 10790 Roselle Street, San Diego,

CA 92121
	  	SUBCONTRACT #:	  	P010022290
	  	  
 MODIFICATION #:
	  	  
 13

	  	  
 DPAS RATING:
	  	  
 Not Rated

	  	  
 TYPE:
	  	  
 FIRM FIXED PRICE

	  	  
 COMMERCIAL ITEMS (GOVERNMENT)

	  
 Period of Performance:

 
 Sep 11, 2009 thru Sep 21, 2014
	  	  

  •    Modification Value:
	  	  
 $238,336.00

	  	  
 FUNDED:
	  	  
 $4,391,303.01

	  	  
 Ceiling VALUE:
	  	  
 $4,851,152.75

 The purpose of this modification is to increase the ceiling value and funding value by $238,336.00 for additional work
as stated below. 
 Effective date of this modification is June 15, 2012. 

As a result of this modification, the total ceiling value is increased FROM $4,612,816.75 BY $238,336.00 TO $4,851,152.75. The
total funded amount is increased FROM $4,152,967.01 BY $238,336.00 TO $4,391,303.01. 
 Statement of Work entitled
“Evaluation of Malaria CSP Expression in Pfenex Expression TechnologyTM And Process Manufacturing Malaria Vaccine Production and Support Services, dated May 24, 2012 Subcontract
Modification 13” is herein incorporated into and made part of Subcontract No. P010022290 as additional work and is attachment 1 to this modification 13. 

1.0 PRICE is modified to read as follows: The total not-to-exceed Ceiling Value of Subcontract No. P010022290 is $4,851,152.75 including profit. This
subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No.P010022290 is $4,391,303.01 including profit. 

Each Stage 7A Activity will commence upon request of SAIC representative in writing only. Payments will be made in accordance with Article 1.4 of this
subcontract. 
 17.0 ORDER OF PRECEDENCE — is modified to read as follows: 

The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this
Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	 	1.	Attachment 1: Statement of Work and Schedule dated May 24, 2012, Mod 13. 

  

	 	2.	Attachment 2: 7A Price Sheet 

  

	 	3.	Statements of Work and Schedules as follows: 

 Modifications -12 dated 2/6/12, 6 dated 6/1/11, 5
dated 1/1/11, 4 dated 11/15/10, 2 dated 5/4/10 and original dated 5/11/11 respectively. 
  

	 	3.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	4.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	5.	Attachment C: (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls. 

All other Subcontract terms and conditions remain unchanged. 

 In witness whereof, the duly authorized representatives of Buyer and Seller have
executed this Subcontract Modification on data shown. 
  

													
	PFENEX INC	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	/S/ Patrick Lucy	 		 	/s/ Carol Frishman
	  
	 		 	  

	(Signature)	 		 	(Signature)
							
	Name:	 	Patrick Lucy	 	Date 6/20/12	 		 	Name:	 	Carol Frishman	 	Date 6/20/12
		 	  
	 		 		 	  

	(Type or Print)	 		 	(Type or Print)
							
	Title:	 	Vice President of Business Development	 		 		 	Title:	 	Subcontracts Administrator	 	
		 	  
	 		 		 	  

 

 
  
 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfenex Expression
TechnologyTM 
 And Process Manufacturing 

Malaria Vaccine Production and Support Services 

May 24, 012 

Subcontract Modification 13 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of the necessary
services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the production of additional filtered lysates, and purified [*] expressed in Pfenex Expression
TechnologyTM. As part of this support, Pfenex shall be required to provide summary reports related to the development and manufacturing process, other documentation as required in the
deliverables, bacterial cell lysates and reagent-[*] protein under specifications defined in Stage 7. Pfenex shall provide antigens, and reports and other documentation related to the development and manufacturing process, as required in the
deliverables (Table 1). Milestones in this subcontract modification include: 
 Table 1. Milestones for CSP 

 

					
	 Antigen
	  	 Milestones
	  	 Timeline

	rCSP	  	Stage 7A: [*]	  	7-10 weeks, followed by Report in 2 weeks

 SAIC will provide the following information and materials: 

 

	 	1.1.1.	Background literature/references relating to [*]. 

  

	 	1.1.2.	Additional [*] and control [*], if required. 

  

	 	1.1.3.	Shipping instructions for filtered lysates and purified [*] 

  

	2.	Technical Requirements 

  

	 	2.1.	Stage 7A: Provide improvements to [*] purification process for manufacture at large-scale (pilot) scale and provide rCSP purified material to SAIC’s Repository designate 

 

	 	2.1.1.	Pfenex shall investigate thawed lysate precipitation using centrifugation of thawed lysate to remove precipitation. 

  

	 	2.1.2.	Pfenex shall develop [*] to test for reduction of host cell protein levels to [*]. Note: SAIC shall decide on approval of Activity 2.1.3 pursuant to results from Activity 2.1.2. 

 

	 	2.1.3.	Pfenex shall incorporate a third chromatography step to reduce host cell protein levels to[*], pursuant to results from Activity 2.1.2. 

 

	 	2.1.4.	Pfenex shall perform buffer development to define acceptable deviation thresholds on key buffer formulations to better understand variability from preparation to preparation, and confirm buffers are robust, i.e. will
meet process specifications from lot to lot. 

 

 
  
  

	 	2.1.5.	Pfenex shall incorporate final buffer formulation from Stage 5A Preformulation Development of [*] Drug Substance and confirm at large-scale purification. 

 

	 	2.1.6.	Pfenex shall perform up to [*] scale fermentations to generate cell paste to support large-scale purification efforts. Targeted expression titer ranges shall be [*]. 

 

	 	2.1.6.1	Whole broth samples will be analyzed for titer by [*]. 

  

	 	2.1.7.	Pfenex shall place in-process samples from the large-scale purification (Activity 2.1.5) on a short stability study to characterize hold times. The final [*] will be incorporated into Stage 8 Stability Program.

  

	 	2.1.8.	Pfenex shall ship the remaining purified [*] to SAIC’s repository designate. 

  

	 	2.1.9.	Pfenex shall issue a final report of Stage 7A efforts. 

  

	 	2.1.9.1	Pfenex shall refine master BPRs for the large-scale (pilot) development work that cover all downstream process and identified where procedures are modified, if any. SAIC will be provided copies of the master BPRs for
review and approval prior to use. 

  

	3.	Deliverables to SAIC 

  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

					
	1	  	Project Management	  	Final Project Schedule	  	To be submitted within 1 week of kickoff meeting; schedule to be baselined within 3 weeks of award	  	1 electronic file, Preferably .mmp format
					
	2	  	Meeting Requirement	  	Meeting Agenda	  	1 day prior to regular meetings, 3 days prior to kickoff	  	1 electronic Word document or email
					
	3	  	Meeting Requirement	  	Meeting Summaries	  	7 days after meetings	  	1 electronic Word document
					
	4	  	Technical Requirement	  	7A Milestone Report	  	 Draft: 2 weeks following completion of procedure

Final: 2 weeks after receipt of SAIC comments
	  	 Draft: Word Document
 Final: Signed
PDF

					
	5	  	Technical Requirement	  	Antigen deliverables	  	2 weeks following completion of requirement	  	Sent to SAIC designee in proper shipping containers

  

	*	Days = Calendar days; SAIC shall provide comment within 1 week. 

  
 -2- 

 

 
  
 7A PRICE SHEET for Subcontract
P010022290 
 May 24, 2012 
 Pricing is
based upon commercial rates and is inclusive of costs for supplies, materials (except as noted) and reports. 
  

													
	 Stage 7A Activity
	  	Payment Terms
(50% upfront/
50% issuance of
final report)	 	  	Estimated Labor
(hours)	  	Estimated
Materials Costs	 	  	Estimated
Timescales
					
	 2.1.1 Precipitation Issues
	  	$	34,560	  	  	120	  	 	n/a	  	  	3 weeks
					
	 2.1.2 HCP method development
	  	$	14,824	  	  	48	  	$	1,150 (ELISA kit)	  	  	2 weeks
					
	 2.1.3 HCP Reduction by Chromatography
	  	$	86,400	  	  	300	  	$	17,250 (resins)	  	  	5 weeks
					
	 2.1.4 Buffer Development
	  	$	13,824	  	  	48	  	 	n/a	  	  	1 week
					
	 2.1.5-2.1.8 Large-scale (Pilot) demonstration
	  	$	77,208	  	  	216	  	 	n/a	  	  	3 weeks
					
	 2.1.9 Final Report
	  	$	11,520	  	  	40	  	 	n/a	  	  	2 weeks

 

 
 SUBCONTRACT AGREEMENT P010022290 Modification 14 

 

							
	SUBCONTRACTOR:	 	SUBCONTRACT #: 	 	P010022290
	  
 Pfenex Inc.

10790 Roselle Street, San Diego, CA
 92121
	 	  
 MODIFICATION #: 
	 	  
 14

	 	  
 DPAS RATING: 
	 	  
 Not Rated

	 	  
 TYPE:
	 	  
 FIRM FIXED PRICE

	 	  
 COMMERCIAL ITEMS (GOVERNMENT)

	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	 	  

•     Modification Value: 
	 	  

        $1,086,563.00

	 	  
 FUNDED: 
	 	  
 $5,477,866.01

	 	  
 Ceiling VALUE: 
	 	  
 $5,937,715.75

 The purpose of this modification is to increase the ceiling value and funding value for additional work as stated below. 

Effective date of this modification is July 31, 2012. 

As a result of this modification, the total ceiling value is increased FROM $4,851,152.75 BY $1,086,563.00 TO $5,937,715.75. The total
funded amount is increased FROM $4,391,303.01 BY $1,086,563.00 TO $5,477,866.01. 
 Statement of Work entitled
“Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM And Process Manufacturing Malaria Vaccine Production and Support Services June 22, 2012 Subcontract Modification” is herein
incorporated into and made part of Subcontract No. P010022290 as additional work and is attachment 1 to this modification 14. 
 1.0 PRICE is
modified to read as follows: The total not-to-exceed Ceiling Value of Subcontract No. P010022290 is $5,937,715.75 including profit. This subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING
of Subcontract No. P010022290 is $5,477,866.01 including profit. 
 This Milestone Activity will commence upon request of SAIC representative in writing
only. Payments for this modification 14 will be made in accordance with the schedule as outlined below. 
  

							
	 Milestone
	  	Invoicing	  	Amount	 
	 Milestone 1: Technology Transfer (including CMO Upfront Payments)
	  	Due upon execution of the
contract modification	  	$	864,209.00	  
	 Project Management Storage & Shipping
	  	Due upon Initiation of GMP
manufacturing run	  	$	222,354.00	  
		  		  	  
	  
	 
	 Total for modification 14 Activity
	  		  	$	1,086,563.00	  
		  		  	  
	  
	 

 ADDITIONAL TERMS AND CONDITIONS: 
  

	 	1.	SAIC is responsible for all regulatory and quality issues related to Mod 14/cGMP Manufacturing. 

  
  

Page 1 of 2 

 

 
  
  

	 	2.	In the event SAIC shall be required to recall the Product because such SAIC Product may violate local, state or federal laws or regulations, or the laws or regulations of any applicable foreign government or agency, or
does not conform to the Specifications, or in the event that SAIC elects to institute a voluntary recall, withdrawal, field alert or similar action (collectively a “Recall”), SAIC shall be responsible for coordinating such Recall. SAIC
shall promptly notify Pfenex if the SAIC Product is the subject of a Recall and provide Pfenex with a copy of all documents relating to such Recall. Pfenex shall reasonably cooperate with Client in connection with any Recall and shall cause any of
its Subcontractors to do the same, at SAIC’s expense. SAIC shall be responsible for all of the costs and expenses of such Recall except to the extent caused by a Limited Latent Defect in which case Pfenex shall cause the CMO to reimburse SAIC
to that extent for its reasonable, direct and documented out of pocket expenses, up to an aggregate limit of $100,000 for all such Recall(s). 

  

	 	3.	If SAIC terminates Mod 14 then all unavoidable termination fees/costs incurred by Pfenex shall be reimbursed by SAIC. 

  

	17.0	ORDER OF PRECEDENCE — is modified to read as follows: 

 The documents listed below are hereby
incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 

 

	 	1.	Attachment I: Statement of Work and Schedule dated June 22, 2012, Mod 14. 

  

	 	2.	Statements of Work and Schedules as follows: 

 Modifications -13 dated 6/15/12, 12 dated 2/6/12,
6 dated 6/1/11, 5 dated 1/1/11, 4 dated 11/15/10, 2 dated 5/4/10 and original dated 5/11/11 respectively. 
  

	 	3.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	4.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	5.	Attachment C: (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

													
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Carol Frishman

	(Signature)	 		 	(Signature)
							
	Name:	 	Patrick Lucy	 	August 2, 2012	 		 	Name:	 	Carol Frishman	 	8/2/12
		 	  
	 		 		 	  

	(Type or Print)	 	Date	 		 	(Type or Print)	 	Date
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

			
	  
	 		 	  

  
  

Page 2 of 2 

 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM 

And Process Manufacturing 

Malaria Vaccine Production and Support Services 

June 22, 2012 

Subcontract Modification 
  

	1.	Background 

 The National Institute of Allergy and Infectious Diseases, Division of Microbiology and
Infectious Diseases (DMID), directed Science Applications International Corporation [Malaria Vaccine Production and Support Services Program, prime contract NO1-A1-05421] to develop early-phase malaria vaccines. SAIC provides project and quality
management as well as regulatory support for DMID’s malaria vaccine development efforts. Under subcontract agreement (P010022290) with SAIC, Pfenex has developed a [*]. Currently, Pfenex has reached “Stage 9: Process Training and
Transfer” which will facilitate the cGMP manufacture, release, and stability monitoring drug substance (DS) for use in Phase 1 clinical trials at a third party contract manufacture organization (CMO). As part of the Stage 9 agreement, Pfenex
will coordinate with the CMO to perform the follow activities: 
  

	 	•	 	Pfenex shall train the Pfenex-selected CMO manufacturing and QC staff, as necessary, using the information in the Pfenex technology transfer package. 

 

	 	•	 	SAIC shall provide Pfenex selected CMO the working cell bank vials and WCB growth parameters and technical information 

  

	 	•	 	Pfenex shall provide Pfenex selected CMO a full process transfer package with all information necessary for the successful transfer of the manufacturing process operable and reproducible at a minimum of [*] fermentation
scale and shall include, but is not limited to, the following items: 

  

	 	•	 	Bill of materials and suggested suppliers 

  

	 	•	 	Detailed fermentation and purification process procedures (master BPRs) 

  

	 	•	 	Listing of instruments/equipment 

  

	 	•	 	Detailed testing procedures (SOPs) 

  

	 	•	 	Technical specification for the bulk drug substance (BDS or DS) 

  

	 	•	 	Health/Safety/Environment assessment of all materials and process 

  

	 	•	 	Detailed characterization of purified protein/buffer and intermediates 

  

	 	•	 	Construct expression information and test results 

  

	 	•	 	The process transfer and associated training records of CMO personnel for the transfer to the CMO shall be well documented and be provided to SAIC in the final report. 

 To further the successful transfer and manufacture of the [*] from Pfenex to the CMO, SAIC herein requests Pfenex
to identify and subcontract a cGMP qualified CMO to perform the DS manufacture and release of [*], produced by production strain [*] for use in Phase 1 clinical trials. 
  

	2.	Period of Performance 

 The period of performance (POP) for this effort is upon approval of the change of
scope through September 2014. 
  

	3.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all necessary services,
qualified personnel, and travel as needed to conduct the CMO subcontract technical management & coordination, cGMP manufacture and release of [*]. 
  

	4.	Technical Requirement 

 Pfenex Project Management and SAIC shall create a Project Coordination Team (PCT)
that shall provide scientific, technical, and administrative oversight to ensure the efficient planning, initiation, implementation, and management of all activities carried out for the execution of Pfenex’s subcontract with the CMO. Details of
the roles and responsibilities of the SAIC and Pfenex team members are described in detail in Section 5, Project Management). Pfenex shall provide necessary ad hoc support to the CMO to ensure the success of all technical requirement
activities. Upon SAIC’s request, Pfenex shall arrange for SAIC’s visit and audit at the CMO for monitoring tech transfer, engineering run(s) and GMP production activities, as well as other any other Quality Assurance functions (see
Section 6, Quality for more details). 
 The technical requirement include the following milestones: 

Milestone 1: Technical transfer 

Milestone 2: Engineering runs (Optional) 

Milestone 3: GMP manufacture (Optional) 

Milestone 4: Testing and release of [*] at CMO (Optional) 

Milestone 5: Regulatory support (Optional) 
  

	 	4.1	Milestone 1: Technical transfer 

  

	 	4.1.1	Beyond the agreed upon tech transfer activities to be undertaken under the existing Stage 9 agreement, Pfenex shall provide management and coordinating activities, between SAIC, Pfenex and the selected CMO, for the
suitable scale [*] fermentation, process, and analytical methods transfer at the CMO. 

  

	 	4.1.1.1	The PCT (Project Coordination Team) shall ensure that all updates, changes, decisions, findings, and study reports at the CMO site are directly transferred to Pfenex and SAIC within 48 hours of receipt or notification.
SAIC shall be responsible for approval. 

  

	 	4.1.2	The PCT shall provide all necessary documents for approval of transfer analytical methods, fermentation, and purification process of rCSP to the selected CMO at 5 L-scale. 

  
 -2- 

	 	4.1.3	The tech transfer runs shall generate sufficient interim non-GMP reference material to be used in the analysis of the engineering run(s). 

 

	 	4.1.3.1	The interim reference standard (IRS) must pass the following tests: [*]. 

  

							
	 TESTS
	  	 SPECIFICATIONS

	Appearance	  	[*]	  		  	[*]
	Identification	  	A.	  	[*]	  	[*]
	  	B. 	  	[*]	  	[*]
	Protein content	  	[*]	  		  	[*]
	Purity	  	A.	  	[*]	  	[*]
	  	B. 	  	[*]	  	[*]
	  	C. 	  	[*]	  	[*]
	 Structural

characterization (for information only)
	  	A.	  	[*]	  	[*]
	  	B. 	  	[*]	  	[*]
	Safety	  	A.	  	[*]	  	[*]
	  	B. 	  	[*]	  	[*]
	  	C. 	  	[*]	  	[*]
	  	D.	  	[*]	  	[*]
	Potency	  	[*]	  		  	[*]

  

	*	Target specifications may be revised prior to the GMP run 

  

	 	4.1.3.2	The IRS shall be aliquoted into up to [*]. (Note: assuming > [*] concentration) 

  

	 	4.1.3.3	The IRS shall be placed on a 3-month stability program as outlined in the table below. 

  

									
	 Method/Test
	  	 Initial

Testing

(T=0)
	  	 1 month
	  	 2 month
	  	 3 month

	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  		  		  	
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X
	[*]	  	X	  	X	  	X	  	X

  
 -3- 

	 	4.1.4	The PCT shall provide SAIC QAD all reports documenting the success of the transfer of analytical methods, fermentation, and purification to Pfenex-selected CMO, including all materials, SOPs, and raw data generated in
the transfer. 

  

	 	4.1.4.1	PCT shall provide sufficient supporting evidence of the success of the transfer to SAIC QAD for approval. 

  

	 	4.1.4.2	PCT shall receive the go/no go decision from SAIC QAD before moving forward to the engineering runs. 

  

	 	4.2	Milestone 2: Engineering runs (Optional) 

  

	 	4.2.1	PCT shall provide management and coordinating activities, between SAIC, Pfenex and the selected CMO, for all engineering run activities 

 

	 	4.2.1.1	PCT shall ensure that all updates, changes, decisions, findings, and study reports at the CMO site are directly transferred to SAIC within 48 hours of receipt or notification 

 

	 	4.2.2	The PCT shall provide all reports documenting the success of the engineering runs, including all materials, SOPs, and raw data generated in the transfer to Pfenex and SAIC QAD. SAIC QAD is responsible for approval.

  

	 	4.2.3	Up to two successful [*] runs shall be performed that will be of sufficient quality to be utilized in GLP toxicity studies. 

  

	 	4.2.3.1	Unused cell paste from successful [*] fermentation runs shall be aliquoted into [*] batch sizes and stored in -80°C at Pfenex CMO, under agreed upon monitoring conditions. 

 

	 	4.2.3.2	One successful [*]-scale purification run shall be performed with each [*] fermentation run. Note: current process flow diagram of [*]-scale purification run is provided for budgetary purposes (Exhibit 1).

  

	 	4.2.3.3	Potency data is not necessary BEFORE proceeding to second engineering run or GMP run. A decision will be submitted to SAIC QAD for approval based on the process and analytical data. 

 

	 	4.2.4	The engineering run(s) shall generate interim sufficient quantity of non-GMP reference material to be used in future testing of GMP manufactured lots of [*]. 

 

	 	4.2.4.1	The reference standard must pass the assays designated as release and characterization tests as specified by the PCT for the GMP BDS lot. 

 

	 	4.2.4.2	The reference standard shall be aliquoted in up to [*] and stored frozen at [*]. (Note: assuming concentration of [*]) 

  

	 	4.2.4.3	The reference standard shall be placed on a 12-month stability program with real-time storage, accelerated conditions, and freeze/thaw cycles as outlined in the table below. 

  
 -4- 

	 	4.2.4.4	The stability tests to be performed at a minimum for all temperatures and conditions will be: [*]. 

  

							
	 Time Point
	  	 CSP Reference Standard Storage Temperature

	  	 £-65°C
	  	 5°C±3°C
	  	 40°C±2°C/

70%±5% RH*

	0 (lot release)	  	X	  	—	  	—
	1 Month	  	X	  	X	  	X
	2 Month	  	X	  	X	  	X
	3 Month	  	X	  	X	  	X
	6 Month	  	X	  	X	  	X
	9 Month	  	X	  		  	
	12 Month	  	X	  		  	
	1 Cycle Freeze/Thaw	  	X	  		  	
	2 Cycle Freeze/Thaw	  	X	  		  	
	3 Cycle Freeze/Thaw	  	X	  		  	

  

	*	RH, relative humidity 

  

	 	4.2.5	PCT shall provide sufficient supporting evidence of the success of the engineering runs to SAIC QAD, i.e., completed BPRs and testing results, for approval 

 

	 	4.2.6	PCT shall receive the go/no go decision from SAIC QAD before moving forward to the GMP manufacturing. 

  

	 	4.3	Milestone 3: GMP manufacture of DS (Optional) 

  

	 	4.3.1	If the second engineering run is successful and is performed with GMP-compliant documentation and quality, then that material shall be utilized as the deliverable for this milestone. CMO must address and resolve issues
identified by SAIC QAD in quality audit report prior to commencement of GMP production of BDS. 

  

	 	4.3.2	PCT shall provide management and coordinating activities, between SAIC, Pfenex and the selected CMO, for GMP run activities. 

  

	 	4.3.2.1	Upon SAIC’s request, Pfenex shall facilitate/arrange for SAIC QAD and/or other SAIC representatives, at SAIC’s expense, to conduct audits at the Pfenex-selected CMO to ensure all cGMP activities and associated
internal quality assurance (QA) and quality control (QC) review are compliant with U.S. Code of Federal Regulations Parts 210, 211, 600, and 610 and ICH Guidance on Quality of Biotechnological Products. 

 

	 	4.3.2.2	PCT shall ensure that all updates, changes, decisions, findings, and study reports at the CMO site are directly transferred to SAIC QAD within 48 hours of receipt or notification. 

  
 -5- 

	 	4.3.3	The master batch production records (MPRs) for the [*] cGMP run shall be provided to the PCT for review and approval. 

  

	 	4.3.4	At a minimum, one successful [*] GMP fermentation run shall be performed using the rPfCSP WCB. 

  

	 	4.3.4.1	Unused GMP cell paste will be aliquoted into 10 L batches in single-use closed bags, and will be stored at the Pfenex selected CMO facility in temperature monitored GMP storage locations (-80°C) under agreed upon
monitoring conditions. Temperature monitoring records will be provided by Pfenex to SAIC upon request. SAIC will review shipping records to verify cold chain is maintained. 

 

	 	4.3.5	Pfenex CMO shall perform successful [*]-scale purification(s) and provide 5 to 10 grams of purified GMP-grade CSP meeting the agreed upon specifications to SAIC or SAIC designated location. 

 

	 	4.3.5.1	Interim bulk materials generated in each purification cycle must meet interim release specification to allow pooling to produce final bulk drug substance material. 

 

	 	4.3.5.2	Interim release testing will include, but is not limited to the following, [*]. 

  

	 	4.3.6	Following PCT provided guidance, the drug substance (DS) shall be dispensed in aliquots suitable for long-term storage, release testing, and stability monitoring. 

 

	 	4.3.6.1	SAIC aliquot sizes and container closures are: 

  

	 	•	 	[*] 

  

	 	•	 	Stability Samples: Vial component figuration to be determined (Note: [*]) 

  

	 	4.3.6.2	PCT to approve bottle specifications and labels in advance of the fills. (Stability monitoring of GMP Bulk DS will be determined at a later stage and scope of work will be handled as a contract modification.)

  

	 	4.3.7	CMO will ship Bulk drug substance samples to SAIC Designee using pre-approved, qualified shipping vendors, under the agreed upon shipping configuration 

 

	 	4.3.8	The completed BPR shall be internally reviewed by the Pfenex CMO and then submitted to PCT and SAIC QAD for review. 

  

	 	4.4	Milestone 4: Testing and release of [*] DS at CMO (Optional) 

  

	 	4.4.1	All analytical methods to be used at the CMO for release testing shall be qualified, based on mutual agreement within the PCT and SAIC QAD. 

  
 -6- 

	 	4.4.2	The CoA, including a list of analytical methods and specifications as well as results shall be generated based upon an agreed upon testing plan. 

 

	 	4.4.3	The cGMP [*] DS shall be shipped to an SAIC-designated facility. 

  

	 	4.4.3.1	The CMO shall ensure the shipment will be at the required temperatures using a qualified shipping configuration for dry ice shipments with temperature monitoring. SAIC will be responsible for the review and approval of
material following shipping. 

  

	 	4.4.3.2	A material safety data sheet shall be prepared by Pfenex PCT and included in the shipment; duplicates of documents shall be provided to PCT and SAIC QAD. 

 

	 	4.4.4	Any remaining development- and manufacture-related materials, such as cell bank, unpurified lysate, and in-process product, shall be shipped to SAIC’s repository upon SAIC’s request. 

 

	 	4.4.5	PCT shall provide management and coordinating activities, between SAIC, Pfenex and the selected CMO, for release testing activities 

  

	 	4.4.5.1	PCT shall ensure that all updates, changes, decisions, findings, and study reports at the CMO site are directly transferred to SAIC QAD within 48 hours of receipt or notification. 

 

	 	4.5	Milestone 5: Regulatory support (Optional) 

  

	 	4.5.1	The PCT shall transfer from the CMO to Pfenex and SAIC QAD all supporting material for the submission of an IND application by providing Chemistry, Manufacturing, and Control documentation (21CFR312.23) required by
U.S. regulatory authorities. The supporting materials shall include, but are not limited to, the following: 

  

	 	4.5.1.1	A detailed description of all production materials, including their derivation and the analytical methodology used to characterize and release these materials. 

 

	 	4.5.1.2	A list of all raw materials, including source and methods to qualify their suitability for further manufacture. All animal-derived raw materials will be specifically identified, including details of country of origin.

  

	 	4.5.1.3	Analytical method development and /or qualification reports. 

  

	 	4.5.1.4	A detailed description of the production process, including test sample points for intermediate materials and the DS. 

  

	 	4.5.1.5	The DS labels including draft and final. 

  

	 	4.5.1.6	Master and executed BPRs. 

  
 -7- 

	 	4.5.1.7	Protocol (draft and final) for release testing of production materials and release of lots of DS, including descriptions of analytical methods and target specifications. 

 

	 	4.5.1.8	CoAs for production materials and the DS; a detailed DS lot production report. 

  

	 	4.5.1.9	Stability testing protocol (draft and final) for interim reference materials. 

  

	 	4.5.1.10	Out-of-specification (draft and final) investigational reports. 

  

	 	4.5.1.11	Control documentation for changes in analytical or manufacturing methods. 

  

	 	4.5.1.12	Letter of cross-reference for Pfenex’s CMO Drug Master File. 

  

	5.	Project Management 

  

	 	5.1	Pfenex shall appoint a Project Manager who shall provide effective communications with SAIC’s PM and Subcontract Administrator in order to properly execute the manufacture of rPfCSP DS at the CMO. SAIC shall
provide an equivalent PM who will coordinate the decisions with Pfenex that can affect scope, cost and schedule for work including testing, performed at the CMO. 

  

	 	5.2	SAIC and Pfenex Project Management shall create a Project Coordination Team (PCT) that shall provide quality, scientific, technical, and administrative oversight to ensure the efficient planning, initiation,
implementation, and management of all activities carried out for the execution of Pfenex’s subcontract with the CMO. 

  

	 	5.2.1	The PCT is responsible for: (1) monitoring the CMO’s technical progress, including the surveillance and assessment of performance and recommending to the SAIC Subcontracts Administrator changes in
requirements; (2) interpreting the SOW and any other technical performance requirements; (3) performing technical evaluation as required; (4) review invoices against technical work performed (5) performing technical inspections
and acceptances required by this subcontract; and (6) assisting in the resolution of technical problems encountered during performance. 

  

	 	5.3	SAIC and Pfenex PMs shall be responsible for: 

  

	 	5.3.1	Facilitate and coordinate the activities the PCT Team members 

  

	 	5.3.2	Project management and communications 

  

	 	5.3.3	Tracking, monitoring, and reporting on status and progress 

  

	 	5.3.4	Establishing and maintaining a risk register 

  

	 	5.3.5	Provide tracking and verification of expenditures 

  
 -8- 

	 	5.3.6	Recommending modifications to project requirements and time lines, including projects undertaken by third-tier subcontractors 

  

	 	5.3.7	Providing all deliverables according to the Reporting Requirements and Subcontract Deliverables sections of an agreed upon SOW to the CMO 

 

	 	5.3.8	Scheduling and monitoring of all tests and/or work 

  

	 	5.3.9	Collection and reporting of results 

  

	 	5.4	Any changes in the SOW, POP, delivery schedule, costs incurred during the performance of this subcontract, or terms and conditions for the CMO shall be approved by the SAIC PM and Subcontracts Administrator prior to
execution. 

  

	 	5.5	The PCT, through Pfenex Project Management, shall direct the CMO to maintain an accurate inventory and package and transfer all remaining reagents purchased or provided through this subcontract to SAIC or a designated
repository. The inventory shall be provided as part of a monthly report. The materials, if applicable, will be transferred in a manner sufficient to preserve their respective cold chains. SAIC will determine who is responsible for making this
shipment and method used to maintain cold chain. 

  

	6.	Quality 

 SAIC is contractually responsible for assuring that the CMO maintains a Quality
System that ensures compliance with current Good Manufacturing Practices (cGMP) to ensure the product has the necessary safety, purity, identity and other quality attributes that are suitable for its intended use and that these efforts can be
duplicated by an independent laboratory based solely on the documentation provided from CMO. 
 The PCT shall be responsible for the
development and demonstration of suitability of contracted deliverables as well as providing reports and managing this project in a manner that meets scientific expectations of traceability and control. 

The SAIC Quality Assurance Director (QAD) will verify that all CMO quality systems are in place and maintained prior to the execution of the
sub-contracted GMP-related work effort and shall have access to all systems and documentation utilized for completion of this effort. All quality issues at the CMO shall be addressed prior to the execution of GMP-related work. Additionally, the SAIC
QAD has the authority for review and final sign-off for acceptance of deliverables. The SAIC QAD has direct communication with the CMO’s QA/QC counterparts. As required, communications may be formal and include official responses to SAIC QAD
audit reports, responses to deviations and associated investigation resolution documentation, or informal emails, teleconferences, and face-to-meetings. 

SAIC shall perform an award audit of the Pfenex selected CMO to determine its adequacy, assessing the materials, systems, equipment, facilities
and equipment to be utilized in the performance of product transfer, the engineering run and the cGMP manufacturing of the DS. Following the audit, SAIC shall provide a written report with stated findings and concerns to both CMO and Pfenex. SAIC
shall verify remedial actions are completed by the CMO before GMP-contracted activities are initiated. The CMO shall complete follow-up to issues or concerns 

  
 -9- 

 
raised during quality audits as appropriate. SAIC is responsible for providing final approval of CAPA’s. SAIC QAD will provide on-going quality monitoring and oversight during the execution
of sub-contracted activities. SAIC expects to have a person in the plant, as needed, to provide appropriate quality oversight. 
  

	7.	Reporting Requirement 

 The PCT is responsible for monitoring quality, technical
performance and budgetary updates and advising the (SAIC and Pfenex) subcontract administrator(s) on programmatic requirements. Further, they are responsible for coordinating these requirements with the USG Project and Contract Officers. Therefore,
all communications and reports (technical and financial) from the CMO shall be sent directly to all PCT members (SAIC and Pfenex PMs) simultaneously in order allow unfettered access to all information that impacts technical and financial performance
and decision making. 
  

	8.	Subcontract Deliverables 

 Table 1 summarizes documents and other deliverables due to
SAIC at the indicated time points. 
  

									
	 Deliverable
	 	 Requirement
	 	 Item
	 	 Date
	 	 Form

	1	 	Technical	 	Reports (technology transfer and engineering runs)	 	 Draft: 3 weeks following completion of transfer run
  

Final: 2 weeks after receipt of SAIC comments
	 	PDF or Word document
	2	 	Technical	 	Remaining non-GMP [*] product (technology transfer and engineering runs) including cell paste interim reference material, and lysates	 	Within a week of completion	 	Sent to SAIC designee in proper shipping containers with a temperature monitor in each container
	3	 	Technical	 	cGMP master BPRs	 	 Draft: 4 weeks before initiation
  

Final: 2 weeks after receipt of SAIC comments
	 	PDF or Word document
	4	 	Technical	 	Completed rCSP cGMP BPRs	 	 Draft: 3 weeks following completion of 100 L cGMP run
  

Final: 2 weeks after receipt of SAIC comments
	 	PDF or Word document

  
 -10- 

									
	 Deliverable
	 	 Requirement
	 	 Item
	 	 Date
	 	 Form

	5	 	Technical	 	[*] along with associated raw data	 	 Draft: 3 weeks following completion of cGMP rPfCSP DS release testing

 
 Final: 2 weeks after receipt of SAIC comments
	 	PDF or Word document
	6	 	Technical	 	[*]	 	Within a week of completion	 	Sent to SAIC designee in proper shipping containers with a temperature monitor
	7	 	Technical	 	Remaining cGMP unpurified cell paste and or lysate	 	Maintain GMP chain	 	Stored at Pfenex CMO in proper GMP storage conditions
	8	 	Technical	 	Interim reports and a final stability report for the [*] stability monitoring	 	 Draft: 3 weeks following completion of each time point
  

Final: 2 weeks after receipt of SAIC comments
	 	PDF or Word document
	9	 	Reporting	 	Biweekly meeting and minutes	 	Meeting as scheduled, minutes within a week of the meeting	 	Teleconference
	10	 	Reporting	 	Monthly reports, including technical progress, and budgeting updates	 	Due by the 15th of each month during the performance of work efforts	 	PDF or Word document
	11	 	Technical	 	Regulatory support documents	 	 Draft: 3 weeks following completion of all activities
  

Final: 2 weeks after receipt of SAIC comments
	 	 Draft: Word document
 Final: Signed
Pdf

	12	 	Reporting	 	Inventory Tracking Report, including banked production materials, reagents, held intermediates and Drug Substance	 	Due by the 15th of each month during the performance of work efforts	 	PDF or Word document

  
 -11- 

 Exhibit 1 of SOW 

Pfenex Inc. Confidential 
  

	#	Step and Parameters 

 The process flow sheet is based on purifying 5 L fermentation and projected downstream
process after development 
  

							
	 In-Process Testing
	  	 
		  	Fermentation (Pseudomonas fluorescens)	  		  	
		  	 Inoculum - batch
 Seed broth volume

Fermentation time
	  	  
 0 6 L

~24 h
	  	
				
		  	Fermentation 2	  	i	  	
	1	  	 Production - high density fed-batch

Production broth volume
 Fermentation time

Expression Level
	  	  
  

10 L
 ~48 h

4 g/L                     3-4 g/L
	  	
				
		  	Cell Paste by batch centrifugation	  		  	
	2	  	 Production - high density fed-batch

Broth aliquot volume
 Relative Centrifugation Force

Centrifugation Temperature
 Centrifugation Time
	  	  
  
 1
L, cpy = 10
 15900 × g
 4°C

60 min
	  	
				
		  	Cell Reconstruction	  	i	  	Hold (-80°C)
	3	  	 Feed
 Paste Mass

Cycles Needed
 Equipment

Mix Time
 Dilution Buffer

Dilution buffer amount
 Total volume upon dilution

Step Time
 Step yield
	  	 Frozen (-80°C, Paste from step 3a
 2.8 kg
(equivalent to 5L broth)
 2
 Batch mixer

0.5 – 1 hr
 20mM tris, 2M area

11.2 L approximate
 14 L approximate

~1 hr
 100%
	  	

							
	 In-Process Testing
	  	 
				
	4	  	Cell Lysis	  	i     2C g (per cycle)	  	
		  	 Feed
 Equipment

Flush buffer
 Flush buffer amount

Homogenization parameter
 Lysate temperature

 
 Number of passes

Lysis time
 Step yield
	  	 14 L approximate from step 3
 Niro Soayi

2M urea, 20mM Tris, pH 8.2
 As needed

TBD (critical parameter)
 Codec to < 12°C with heat
exchanger at outlet)
 1 pass
 1.4 hr approximate (at ~ 0
L/hr)
 100%
	  	 20% cell lysate: pH, Cond
 Retain for
SDS-PAGE/CGE

		
	5	  	Dilution of 20% lysate to 10% solids 2C g (per cycle)
		  	 Feed
 Feed volume

Equipment
 Dilution buffer

Dilution buffer amount
 Total volume upon dilution

Pump rate
 Mix time

Step yield
	  	 Lysate from step 4
 14 L

6C L single use bag Sartorius Stedim
 2M urea, 20mM tris, PH 8

14 L approximate
 28 L approximate

8 L/min
 > 10 min

100%
	  	 10% cell lysate: pH, Cond
 Retain for
SDS-PAGE/CGE

				
	6	  	Disk-Stack Centrifugation	  	i     2C g (per cycle)	  	
		  	 Feed
 Feed volume

Feed Temp
 Equipment

G-force
 Flow rate
	  	 10% lysate from step 5
 28 L

15 – 26 °C
 Westfalia SC -6

15,000 g
 0.3 L/mh
	  	Centrate turbidity (HACH NTU as well as Althea equipment measurement)
		  	Q/S	  	8.10E-10 m/s	  	
		  	 Backpressure
 Discharge Interval

Discharge Volume
 Centrate Temp

 
 Step Time

Step yield
	  	 75-82 psi
 20 min

0.7 L
 <20°C, cooled by heat exchanger on the outlet

1.6 hrs
 88%
	  	
				
	7	  	Depth Filtration	  	i     16 g (per cycle)	  	
		  	 Feed
 Feed volume

Equipment
 Manufacturer

Part #
	  	 Centrate from Step 6
 24.64 L

Millistak+XOHC Depth Filter
 Millipore

MXOHC05=S1
	  	 Depth Filter Equilibration:
 pH,
cond

  
 -2- 

							
	 In-Process Testing
	  	 
		  	 Quantity
 Filter Area

Filter Loading
 Flowrate

Step time
 Step yield
	  	 1
 0.22 m2

112 L/m 2
 33 – 50 LM-I 0.12 – 0.18 l/min

1 hr, run in parallel with centrugation
 95%
	  	
				
	8	  	Sterile Filtration	  	i     17 g (per cycle)	  	
		  	 Feed
 Feed volume

Equipment
 Manufacturer

Part #
 Quantity

Filter Area
 Filter Loading

Flowrate
 Step Time

Step yield
	  	 Filtrate from Step 7, processed in-line
 24.64
L
 Sartobran P (0.45/0.2um)
 Sartorius

5.235307H9-OO-V
 1

0.20 m2
 123 L/m2

36-54 LMH 0.12-0.18 L/min
 N/A run in parallel with step 7

100%
	  	 Primary Recovery Filtrate: pH, cond
 Retain for
SDS-PAGE/CGE

				
	9	  	Freezing of CSP clarified cell culture	  	i           17 g (per cycle)	  	
		  	 Feed
 Feed Volume

Equipment
 Manufacturer

Part #
 Quantity

Step Time
 Step Yield
	  	 Filtrate from Step 8
 24.64 L

Sartorius Stedim Bags
 Sartorious

Celsius FFT 2L, Celsius FFT 12L
 4 of each part#

48-72hrs Specs TBD
 100%
	  	
				
	10	  	Thawing and filtration of CSP clarified cell culture	  	i           17 g (per cycle)	  	
		  	 Feed
 Thaw volume

Equipment
 Filter

Part #
 Quantity

Filter Area
 Filter Loading

Flowrate
 Thaw Time

Filtration Time
 Step time

Step yield
	  	 Filtrate from Step 8
 24 L

Water Bath @ 25°C
 TBD

TBD
 1

TBD       m2

TBD       L/m2

TBD       LMH
 < 4 hrs

TBD
 < 5 hrs

97%
	  	 Thawed Filtrate: pH, cond
 Retain for
SDS-PAGE/CGE

  
 -3- 

							
	 In-Process Testing
	  	 
				
	11	  	Primary Capture	  	i           16 g (per cycle)	  	
		  	 Feed
 Feed Volume

Resin
  

Resin Amount
 Equipment

Mode
 Capacity

Flow rate
 Bed height

Residence time
 Loading Ratio

Equilibration/wash buffer
 Washes

Elution buffer
 Elution

Product elution volume
 Strip

Clean, sanitize
 Cycles Needed

Process time
 Step yield

Step yield (vol)
	  	 Filtrate from step 10
 24 L approximate

Fracotgel TMAE HiCap (M), an ion exchange resin
 5.2 L
approximate
 20 cm column + 6 mm BioProcess skid
 Bind and
elute
 ~3 g/L resin estimated
 150
cm/H          47.1 L/h
 16.6 cm

7 min
 4.6 L of Feed per L of Resin

20mM Tris, 2M Urea, pH 6.1
 5 CV

20mM Tris, 2M Urea, 75 mM NaCL, pH 8.1
 3.5 CV with higher
NaCL
 3 CV estimated
 High salt g caustic
 Common industry practice

1
 5.4 hrs approximate

80% estimated
 15.7 L approximate
	  	 TMAE Eluate pH, Cond, osmo (?, as a way to validate adj. pri HCT load)

Retain for SDS-PAGE/CGE

				
	12	  	xxxxxxxxxxxxxxxx	  	i           16 g (per cycle)	  	
		  	 Xxxxxxxxxxxxxxxx

Xxxxxxxxxxxxxxxx

Xxxxxxxxxxxxxxxx

xxxxxxxxxxxxxxxx
	  	  
 xxxxxxxxxxxxxxxx
	  	  
 Elution Immediately Processed to Step 13

				
	13	  	Ceramic HA Chromatography	  	i           13 g	  	
		  	 Feed
 Feed Volume

Resin
 Resin Amount

Equipment
 Mode

Capacity
 Flow rate

Bed height
 Residence time
	  	 Filtrate from step 12
 15.7 L approximate

Ceramic Hydroxyapetite
 5.2 L approximate

20 cm column + 6 mm Bio Process skid
 Bind and clute

3 c/L resin estimated
 1511
cm/h        4/1 L/h
 16.6 cm

7 min
	  	 CHT Load: pH, cond, osmo (as way to validate adjustments)

Retain for SDS-PAGE/CGE
  

 
  
 Eluate: pH, cond,
endotoxin
 Retain for SDS-PAGE/CGE

  
 -4- 

							
	 In-Process Testing
	  	 
		  	 Loading Ratio
 Equiliberation/Wash 1 buffer

 
 Wash 1

Wash 2 Buffer
  

Wash 2
 Elution

Product elution volume
 Strip

Clean, Sanitize
 Process time

Step yield
 Step yield (vol)
	  	 3.00 L u/Feed per L of Resin
 1mM phosphate,
50mM HEPES, 2 M urea, 75mM Nacl, pH 7.5
 10 CV
 4mM phosphate,
50 mM HEPES, 2M urea, 75mM NaCL, pH
 5 CV
 3.5 CV win 50 mM
NaPO4
 3 CV estimated
 0.5M NaPO4

Common industry practice
 5.6 hrs practice

90% estimated
 16 L approximate
	  	
				
	14	  	Sterile Filtration	  	i           11.6 g	  	
		  	 Feed
 Filter

 
 Filter capacity

Step Time
 Step Yield
	  	 Filtrate from step 13
 Sartobran 0/15/0.2-um
sterilizing grace filter, 500 cm2
 313 L/m2 loading
 0.5
hrs
 99%
	  	  
 5235307H7-OO0A

(Sartorius Stedim)
 -500 cm2 filter

				
	15	  	Mild Reduction of CSP	  	i           11.4 g	  	
		  	 Feed
 Feed volume

Reductant
  

Reductant Concentration
 Reductant Volume

Final Colume, HA Eluate +
 Reductant Concentration

Equipment
 Temperature

Reduction Time
 Agitator

Agitator Rate
 Filter

Par. #
 Quantity

Filter Area
 Filter Loading

Flowrate
 Step time

Step Yield
	  	 HA Eluate from step 14
 16 L

DIthiothreitol crystals U.T. Baker #JT-F780-2)

10 mM
 0.0314
L          (-HA Eluate Volume/499
 15.68 L

20 mm
 50_ disposable
sted m bag
 15-25 LC
 12-1X rrs

Recirculation on with Perstatic Pump
 15-25% (v/vi per minute)

Sartobran P (0 45/0 2urm)
 5235307H7—OO-V

 
 0.05 m2

X1X 1/m2
 1-2 L/min

12 – 10 hrs
 99%
	  	  
 Pre-Reduction: A280, SEC, RR

Retain for SDS-PAGE/CGE
  

(Sartorius Stedim) -500 cm2 filter
  

Post-Reduction: a280, SEC,
RP, endotoxin
 Retain for
SDS-PAGE/CGE

  
 -5- 

							
	 In-Process Testing
	  	 
			
	16	  	TFF (Concentration and Buffer Exchange)	  	i           11.9 g Many parameters yet to be optimized
		  	 Feed
 Feed Volume

Membrane
 Membrane Loading

Number of membranes
 Equipment

 
 Pumprate
  

Exchange into
 Diafiltration

Diafiltration buffer
 Clean and sanitize

Ultrafiltration time
 Retentate volume

Step time
 Step yield
	  	 Filtrate from step 1C
 15.7 L approximate

16 m2, 6 k/a regenerated cellulose
 11.3 g/m2

2
 Peristatic pumas cassete holders pressure sensors

324 | MH (1 per m2 per min)
 5.4 L/min/m2

TED
 6 fold

144 L approximate
 Industry practice

Hrs approximate
 14 L approximate

5.0 hrs, including prep and clearing
 90%
	  	  
 Equilibration: pH, (endotoxin?)

 
  

[                    ]

-Pellicon 2, C-screen UF cassette
  

Retentate: A280, retain for SDS-PAGE/CGE

				
	17	  	Sterile filtration and bulk fill	  	i           10.2 g	  	
		  	 Feed
 Filter

Filter Area
 Filter Capacity

Step Time
 Step yield
	  	 Retentate from step 16
 Wilpak 2000 22um
sterilizing grade
 OV m2
 14 L/m2 loading

30 min
 99%
	  	 All BDS release testing as outlined in documentation
  

MPVL2GCA3 )EMD Millipore)
 - Millipak 200, 0.2 um

1000 cm2

		  		  	Grams per 6L cycle 10.1 g	  	

  
 -6- 

 

 
 SUBCONTRACT AGREEMENT P010022290 Modification 15 

 

							
	SUBCONTRACTOR:	 	SUBCONTRACT #: 	 	P010022290
	  
 Pfenex Inc.

10790 Roselle Street, San Diego, CA
 92121
	 	  
 MODIFICATION #: 
	 	  
 15

	 	  
 DPAS RATING: 
	 	  
 Not Rated

	 	  
 TYPE:
	 	  
 FIRM FIXED PRICE

	 	  
 COMMERCIAL ITEMS (GOVERNMENT)

	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	 	  

•      Modification Value: 
	 	  

        $311,000.00

	 	  
 FUNDED: 
	 	  
 $5,788,866.01

	 	  
 Ceiling VALUE: 
	 	  
 $6,248,715.75

 The purpose of this modification is to increase the ceiling value and funding value for additional work as stated below. 

Effective date of this modification is August 17, 2012. 

As a result of this modification, the total ceiling value is increased FROM $5,937,715.75 BY $311,000.00 TO $8,248,715.75. The total
funded amount is increased FROM $5,477,866.01 BY $311,000.00 TO $5,788,866.01. 
 Statement of Work entitled “Evaluation of
Malaria CSP Expression in Pfēnex Expression TechnologyTM And Process Manufacturing Malaria Vaccine Production and Support Services May 4, 2012 Subcontract Modification” is herein incorporated into and made
part of Subcontract No. P010022290 as additional work and is attachment 1 to this modification 15. 
 1.0 PRICE is modified to read as follows: The
total not-to-exceed Ceiling Value of Subcontract No. P010022290 is $6,248,715.75 including profit. This subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No. P010022290 is
$5,788,866.01 including profit. 
 This Milestone Activity will commence upon request of SAIC representative in writing only. Payments for this modification
15 will be made in accordance with the schedule as outlined below. 
  

									
	 Milestone
	  	 Payment
	  	 Amount
	 	 	 Duration

	 [*] (Antigen 1) Milestone 2B
	  	50% upon
commencement	  	 	[*	] 	 	Approximately nine (9) weeks
	  	50% upon delivery of
report	  	 	[*	] 	 
	 [*] (Antigen 2) Milestone 28
	  	50% upon
commencement	  	 	[*	] 	 	Approximately seven (7) weeks
	  	50% upon delivery of
report	  	 	[*	] 	 
	 [*] (Antigen 2) Milestone 2C
	  	50% upon
commencement	  	 	[*	] 	 	Approximately two (2) weeks
	  	50% upon delivery of
report	  	 	[*	] 	 

  
  

Page 1 of 2 

 

 
  
 17.0 ORDER OF PRECEDENCE — is modified to
read as follows: 
 The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the
provisions of this Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	 	1.	Attachment I: Statement of Work and Schedule dated May 4 2012, Mod 15. 

  

	 	2.	Statements of Work and Schedules as follows: 

 Modifications -14 dated 6/22/2012, 13 dated
6/15/12, 12 dated 2/6/12, 6 dated 6/1/11, 5 dated 1/1/11, 4 dated 11/15/10, 2 dated 5/4/10 and original dated 5/11/11 respectively. 
  

	 	3.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	4.	Schedule B: U.S. Government Terms and Conditions, Part Ill — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	5.	Attachment C: (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Carol Frishman

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick
Lucy                                         date
8/31/12
	 		 	Name:	 	 Carol
Frishman                                     date
8/31/12

	(Type or Print)	 		 	(Type or Print)
					
	Title: 	 	 Vice President of Business Development
	 		 	Title: 	 	 Subcontracts Manager

  
  

Page 2 of 2 

 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfenex Expression
TechnologyTM 
 And Process Manufacturing 

Malaria Vaccine Production and Support Services 

May 4, 2012 

Subcontract Modification 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the proof-of-principle evaluation of expressing full-length and functional [*], suitable
for use with [*] in combination vaccines, utilizing Pfenex Expression TechnologyTM. Pfenex shall provide antigens, and reports and other documentation related to the development and
manufacturing process, as required in the deliverables (Table 1). Milestones in this subcontract modification include: 
 Table 1. Milestones for
CELTOS/TRAP 
  

			
	 Antigen
	  	 Milestones

	[*]
 (Antigen 1)
	  	Milestone 2B: [*] protein from 1 selected [*]
	[*]
 (Antigen 2)
	  	 Milestone 2B: Provide additional purification development to support Milestone 2A ([*] produced [*] expression strains to SAIC)

 
 Milestone 2C (OPTION): Endotoxin Reduction Development

  

	1.	SAIC will provide the following information and materials: 

  

	 	1.1.	Background literature/references relating to [*]. 

  

	 	1.2.	Suitable reference materials and sera relating to [*] if available. 

  

	2.	Technical Requirements 

  

	 	2.1.	Milestone 2B [*] to SAIC 

  

	 	2.1.1.	Pfenex shall screen different wash conditions on HIC column as well as TMAE HiCap, for separation of endotoxin from target varying factors such as pH, detergents, solvents, heat treatment, etc 

 

	 	2.1.2.	Pfenex shall confirm endotoxin reduction results observed in 2.1.1 and conduct small scale chromatography runs using conditions identified in 2.1.1. 

 

	 	2.1.3.	Pfenex shall perform additional fermentation runs in a 1L-scale high-cell density bioreactor as needed to support purification of CelTOS from [*]. 

 

	 	2.1.4.	Pfenex shall purify up to [*] protein ([*] purity by SDS-CGE) from strain [*] with acceptable endotoxin levels ([*]). 

	 	2.1.5.	Pfenex shall analyze the final purified protein and the filtered lysate using analytical methods including [*]. 

  

	 	2.1.6.	If the quality and purity of purified protein is deemed acceptable by SAIC for R&D non-clinical studies, Pfenex shall ship the resulting purified [*] protein (310 mg) to
SAIC. 

 Note: Pfenex will complete the activities as described and shall assume no risk in the ability to deliver the
10 mg of [*] protein. The completion of the activities described shall suffice in meeting the deliverable and will be deemed acceptable to issue an invoice for the final 50% of the price. 

 

	 	2.1.7.	Pfenex shall issue a final report of purification efforts. 

  

	 	2.1.8.	Report shall include an executive summary, brief description of methods, results and conclusions, inventory of reagents provided by SAIC, and raw data in PDF format. 

 

	 	2.2.	Milestone 2B ([*]): Provide additional purification development to support Milestone 2A ([*] protein from 3 selected [*] clones respectively to SAIC)  

Note: As part of Milestone 2A: Pfenex shall perform additional resin screening to identify chromatography media for primary capture and
secondary capture of TRAP. Pfenex shall perform additional fermentation runs in 1L-scale high-cell density bioreactor to support purification of [*] protein 
  

	 	2.2.1.	Pfenex shall conduct small scale chromatography runs using conditions identified in Milestone 2A and purify up to 10 mg of purified [*] protein from strains [*] with acceptable endotoxin levels ([*]). 

Note: Pfenex will complete the activities as described and shall assume no risk in the ability to deliver the [*] of [*] protein. The
completion of the activities described shall suffice in meeting the deliverable and will be deemed acceptable to issue an invoice for the final 50% of the price described in this contract modification and the final 50% of the price described in
Contract Modification 6 Antigen 2 Milestone 2A. 
  

	 	2.3.	Milestone 2C ([*]): Pfenex shall screen different wash conditions on selected chromatography media, for separation of endotoxin from target varying factors such as pH, detergents, solvents, heat
treatment, etc 

  

	 	2.3.1.	Pfenex shall confirm endotoxin reduction results observed in 3.2.2 and conduct small scale chromatography runs using conditions identified in 3.2.2. 

 

	 	2.3.2.	Pfenex shall analyze the final purified proteins and the filtered lysate using analytical methods including [*] 

  

	 	2.3.2.1	  

  

	 	2.3.3.	If the quality and purity of purified protein is deemed acceptable by SAIC for R&D non-clinical studies, Pfenex shall ship the resulting purified [*] protein (>10 mg) from 3 selected [*] clones to SAIC.

  
 -2- 

 Note: Pfenex will complete the activities as described and shall assume no risk in the
ability to deliver the [*] of [*]. The completion of the activities described shall suffice in meeting the deliverable and will be deemed acceptable to issue an invoice for the final 50% of the price described in this contract modification and the
final 50% of the price described in Contract Modification 6 Antigen 2 Milestone 2A. 
  

	 	2.3.4.	Pfenex shall issue a final report of purification efforts. 

  

	 	2.3.5.	Report shall include an executive summary, brief description of methods, results and conclusions, inventory of reagents provided by SAIC, and raw data in PDF format. 

 

	3.	Quality Requirements 

  

	 	3.1.	Pfenex shall maintain a Quality System that meets scientific expectations of traceability, reliability and control. Pfenex shall be responsible for the development and demonstration of suitability of contracted
deliverables as well as providing reports and managing this project in a manner that meets scientific expectations of traceability, reliability and control ensuring that the filtered whole cell lysate or periplasmic release extract and cell free
broth produced and analyzed in the developed process and assays have the quality, and identity they purport. 

  

	4.	Meeting and Conference Requirements 

 Unless an alternative directive is provided;
meeting, conference, and audit support shall include the following: 
  

	 	4.1.	Pfenex shall schedule a kickoff meeting via teleconference with SAIC within 7 days of award. The agenda shall be provided by Pfenex in advance. The purpose of the kickoff meeting is formal introduction of key staff and
project management, technical and contractual discussions, and initial action items required to initiate contract work. 

  

	 	4.2.	Pfenex shall participate in biweekly meetings and/or teleconferences with SAIC. Such meetings may include, but are not limited to, meetings to discuss the technical (e.g., assay designs and critical reagents), quality,
schedule, regulatory, and contractual aspects of the program and site visits to Pfenex’s facilities. All visits to Pfenex’s facility shall be prearranged. Pfenex shall be responsible for preparing meeting agendas and summaries. Meeting
minutes shall be captured by Pfenex and are due to SAIC within 7 days after the completion of a biweekly teleconference. 

  

	 	4.3.	Pfenex also shall be available for ad hoc support (e.g., phone calls and e-mails) to SAIC as required for project communications. 

  

	5.	Reporting Requirements 

  

	 	5.1.	Monthly Technical and Business Progress Report: A monthly TPR shall be submitted to the SAIC management point of contact by the eighth of each month during subcontract POP. 

 

	 	5.1.1.	The TPR shall cover the work accomplished as well as issues and proposed resolutions that occur during each reporting period. 

  

	 	5.1.2.	Each TPR also shall contain an updated monthly project management schedule to indicate work completed and any change in schedule. Deliverables shall be incorporated into the schedule. 

  
 -3- 

	 	5.2.	Reports should include an updated inventory log, and a notice of any temperature deviations of equipment storing SAIC material. The report shall also document any changes made to methods and procedures utilized for the
cloning and expression efforts. 

  

	 	5.2.1.	Report shall include invoicing information for work performed during each reporting period and anticipated work activities. 

  

	 	5.3.	Documentation to Support an IND or Amendment: Data generated under this subcontract may be incorporated into an FDA submission. Pfenex shall provide a list of relevant SOPs or other control, development and testing
documents as requested. 

  

	6.	Subcontract Deliverables 

  

	 	Table 2 summarizes documents and other deliverables due to SAIC at the indicated timelines. 

Table 2. Deliverables to SAIC 
  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

	1	  	Project Management	  	Final Project Schedule	  	To be submitted within 1 week of kickoff meeting; schedule to be baselined within 3 weeks of award	  	1 electronic file, Preferably .mmp format
	2	  	Meeting Requirement	  	Meeting Agenda	  	1 day prior to regular meetings, 3 days prior to kickoff	  	1 electronic Word document or email
	3	  	Meeting Requirement	  	Meeting Summaries	  	7 days after meetings	  	1 electronic Word document
	4	  	Technical Requirement	  	Milestone Reports [If Funded]	  	Draft: 2 weeks following completion of procedure Final: 2 weeks after receipt of SAIC comments	  	Draft: Word Document Final: Signed PDF
	5	  	Technical Requirement	  	Antigen deliverables	  	2 weeks following completion of requirement.	  	Sent to SAIC designee in proper shipping containers

  

	*	Days = Calendar days; SAIC shall provide comment within 1 week. 

  
 -4- 

 

 
  
 SUBCONTRACT AGREEMENT P010022290
Modification 16 
  

					
	SUBCONTRACTOR:	  	 SUBCONTRACT #:
  
	  	P010022290
	 Pfenex Inc.
 10790 Roselle
Street, San Diego, CA
 92121
	  	 MODIFICATION #:
  
	  	16
	  	 DPAS RATING:
  
	  	Not Rated
	  	TYPE:	  	FIRM FIXED PRICE
		  	  
 COMMERCIAL ITEMS (GOVERNMENT)

	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	  	  

•   Modification
Value:            $-217,854.00***

	  	  
 FUNDED:
	  	  
 $5,571,012.01

	  	Ceiling VALUE:	  	$6,253,215.75

 The purpose of this modification is to correct the funding amount and add additional services in support of pre-clinical
development. 
 Effective date of this modification is September 21, 2012. 

As a result of this modification, the total ceiling value is increased FROM $6,248,715.75 BY $4,500.00 TO $6,253,215.75. The total funded
amount is decreased FROM $5,788,866.01 BY $217,854.00 TO $5,571,012.01. The ceiling value remains $6,253,215.75. 
 Statement of
Work entitled “Evaluation of Malaria CSP Expression in Pfēnex Expression TechnologyTM And Process Manufacturing Malaria Vaccine Production and Support Services September 14, 2012 Subcontract Modification
16” is herein incorporated into and made part of Subcontract No. P010022290 as additional work and is attachment 1 to this modification 16. 
  

	***	Funding is corrected as listed below: 

 Mod 14 funding corrected from $1,086,563.00 to $864,209.00 (less
$222,354.00) 
  

					
	 Mod 15
	  	$	311,000.00	  
	 Mod 16 for SOW 9/14/12
	  	+ $	4,500.00	  
		  	  
	  
	 
		  	$	1,179,709.00	  
		
	 Funding at Mod 13
	  	+ $	4,391.303.01	  
		  	  
	  
	 
	 Total amount funded all Mods
	  	$	5,571,012.01	  

 1.0 PRICE is modified to read as follows: The total not-to-exceed Ceiling Value of Subcontract No. P010022290 is
$6,253,215.75 including profit. This subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No. P010022290 is $5,571,012.01 including profit. 

This Activity will commence upon request of SAIC representative in writing only. Payments for this modification 16 will be made in accordance with the
schedule as outlined below. 
 Payment of $4,500.00 due upon the initiation of testing of the vials. 

Delivery of Modification 16 is approximately two weeks from commencement. 

  
  

	
	Page 1 of 2

 

 
  
 17.0 ORDER OF PRECEDENCE — is modified to
read as follows: 
 The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the
provisions of this Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	 	1.	Attachment I: Statement of Work and Schedule dated September 14, 2012. 

  

	 	2.	Statements of Work and Schedules as follows: 

 Modifications — 16 dated September 14,
2012, 15 dated May 4 2012, 14 dated 6/22/2012, 13 dated 6/15/12, 12 dated 2/6/12, 6 dated 6/1/11, 5 dated 1/1/11, 4 dated 11/15/10, 2 dated 5/4/10 and original dated 5/11/11 respectively. 

 

	 	3.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	4.	Schedule B: U.S. Government Terms and Conditions, Part III — FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	5.	Attachment C: (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite internal Controls. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Carol Frishman

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick
Lucy                                         
   date 9/28/12
	 		 	Name:	 	 Carol
Frishman                                        
date 9/28/12

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

  
  

	
	Page 2 of 2

 

 
 September 14, 2012 

Carol C. Frishman 
 Subcontracts Administrator 

Health Solutions Business Unit 
 Science Applications
International Corporation 
 5202 Presidents Court, Suite 110 

Frederick, MD 21703 
 Dear Ms. Frishman, 

Please find enclosed Pfenex Inc.’s contract modification proposal for additional services in support of pre-clinical development of the circumsporozoite
protein (CSP). The specific activities are described in the statement of work below. This scope of work will be Contract Modification 16 to Subcontract #P010022290 related to SAIC Prime Contract # N01-AI-05421. If all options are exercised the total
Firm Fixed Price of this program in accordance with Statement of Work enclosed is $4,500 inclusive of materials. 
 This proposal is valid for 120 days from
today’s date. 
 We look forward to continuing to work with you on this program. 

 

	
	Sincerely,
	
	/s/ Patrick Lucy
	
	Patrick Lucy
	Vice President of Business Development
	Pfenex Inc.
	301 Newbury Street PMB #251
	Danvers, MA 01923
	Tel. (978) 887-4971
	PKL@pfenex.com

  
 -1- 

 

 
 STATEMENT OF WORK 

Evaluation of Malaria CSP Expression in Pfenex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

September 14, 2012 

Subcontract Modification 16 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, facilities, and travel not otherwise provided under the terms of this agreement as needed for the preparation of vials containing diluent that will be used in support of pre-clinical
studies. 
  

	2.	Technical Requirements 

  

	 	2.1.	Pfenex will prepare vials containing meeting the following requirements: 

  

	 	2.1.1	Number: [*] 

  

	 	2.1.2	Formulation: [*] 

  

	 	2.1.3	Fill Volume: [*] 

  

	 	2.1.4	Vial Type: [*] 

  

	 	2.1.5	Container Closure: Screw cap 

  

	 	2.1.6	Label Description: Name (rCSP Dilution Buffer), Date, Manufacturer, Formulation, Expiration Date 

  

	 	2.1.7	Storage conditions: Following the completion of the filling and labeling exercise the vials will be stored at -80° C prior to shipment. In transit the vials will be shipped on dry ice. 

 

	 	2.1.8	SAIC will provide detailed shipping instructions when they would like the vials shipped to a designated location. 

  

	 	2.1.9	Specification: A Certificate of Analysis shall be provided and will include the following test results: pH, conductivity, osmolality and endotoxin (LAL) test results. 

 

	3.	Cost Proposal 

 The pricing for the proposal shall be based upon commercial rates and is inclusive of
costs for supplies and materials. The pricing is broken down as follows: 
 Total Price - $[*] 

Payment Terms – 100% due upon the initiation of testing of the vials. 

Time-scale – Approximately two (2) weeks from commencement. 

  
 -2- 

 

 
  
 SUBCONTRACT AGREEMENT P010022290
Modification 17 
  

					
	SUBCONTRACTOR:	  	 SUBCONTRACT #:
  
	  	P010022290
	  
 Pfenex Inc.

10790 Roselle Street, San Diego, CA

92121
	  	 MODIFICATION #:
  
	  	17
	  	 DPAS RATING:
  
	  	Not Rated
	  	 TYPE:
  
	  	FIRM FIXED PRICE
		  	 COMMERCIAL ITEMS (GOVERNMENT)
  

	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	  	 •   Modification
Value:            $0
  

	  	FUNDED:	  	$5,571,012.01
	  	Ceiling VALUE:	  	$6,253,215.75

 The purpose of this modification is to correct the Milestone Chart as shown on Modification 14 to read as shown below. 

Effective date of this modification is October 9, 2012. 
  

							
	 Milestone
	  	 Invoicing
	  	Amount	 
	 Milestone 1: CMO Initiation
	  	 Due upon execution of the contract modification,
	  	$	293.831.06	  
	 Milestone 1a: Technology Transfer
	  	 Due upon execution of Tech Transfer
	  	$	570,377.94	  
	 Project Management Storage & Shipping
	  	 Due upon Initiation of GMP manufacturing run
	  	$	222,354.00	  
		  		  	  
	  
	 
	 Total for modification 14 Activity
	  		  	$	1,086,563.00	  
		  		  	  
	  
	 

 All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATION INTERNATIONAL CORPORATION
			
	 /s/ Patrick Lucy
	 		 	 /s/ Carol Frishman

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick
Lucy                                        date
9/20/12
	 		 	Name:	 	 Carol
Frishman                                date 9/20/12

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Manager

  
  

	
	Page 1 of 1

 

 
  
 SUBCONTRACT AGREEMENT P010022290
Modification 18 
  

					
	 SUBCONTRACTOR:
  

Pfenex Inc.

10790 Roselle Street, San Diego, CA

92121
	  	 SUBCONTRACT #:
  
	  	P010022290
	  	 MODIFICATION #:
  
	  	18
	  	 DPAS RATING:
  
	  	Not Rated
	  	 TYPE:
  
	  	FIRM FIXED PRICE
	  	 COMMERCIAL ITEMS
  
	  	(GOVERNMENT)
	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	  	 •   Modification
Value:            $590,522.25
  

	  	 FUNDED:
  
	  	$6,161,534.26
	  	Ceiling VALUE:	  	$6,253,215.75

 The purpose of this modification is to add incremental funding as shown below. (This is an increase in funding only and is not
for additional scope of work). 
 Effective date of this modification is May 21, 2013. 

The total funded amount is increased FROM $5,571,012.01 BY $590,522.25 TO $6,161,534.26. The ceiling value remains
$6,253,215.75. 
 1.0 PRICE is modified to read as follows: The total not-to-exceed Ceiling Value of Subcontract No. P010022290 is
$6,253,215.75 including profit. This subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No. P010022290 is $6,161,534.26 including profit. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
			
	 s/s Patrick Lucy
	 		 	 s/s Carol Frishman

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick
Lucy                                         
       date
	 		 	Name:	 	 Carol
Frishman                                        
        date

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Administrator

  
  

	
	Page 1 of 1

 

 
  
 SUBCONTRACT AGREEMENT P010022290
Modification 19 
  

					
	 SUBCONTRACTOR:
  

Pfenex Inc.

10790 Roselle Street, San Diego, CA

92121
	  	 SUBCONTRACT #:
  
	  	P010022290
	  	 MODIFICATION #:        19

 

	  	 DPAS RATING:
  
	  	Not Rated
	  	 TYPE:
  
	  	FIRM FIXED
	  	 PRICE COMMERCIAL ITEMS (GOVERNMENT)
  

	 Period of Performance:
  

Sep 11, 2009 thru Sep 21, 2014
	  	 •    Modification Value:

 
	  	$2,155,708.00
	  	TOTAL FUNDED:        $7,437,162.26
	  	Ceiling VALUE:	  	$8,408,923.75

 The purpose of this modification is to increase the ceiling value and funding value for additional work as stated below. 

Effective date of this modification is September 30, 2013. 

As a result of this modification, the total ceiling value is increased FROM $6,253,215.75 BY $2,155,708.00 TO $8,408,923.75. The
total funded amount is increased FROM $6,161,534.26 BY $1,275,628.00 TO $7,437,162.26. 
 Statement of Work entitled
“Evaluation of [*] Antigen Expression in Pfēnex Expression TechnologyTM and Process Manufacturing” and dated May 20, 2013 is herein incorporated into and made part of Subcontract No. P010022290 as additional work
and is attachment 1 to this modification 19. 
 1.0 PRICE is modified to read as follows: The total not-to-exceed Ceiling Value of Subcontract No.
P010022290 is $8,408,923.75 including profit. This subcontract is incrementally funded for work to be performed through September 21, 2014. The total FUNDING of Subcontract No. P010022290 is $7,437,162.26, including profit. 

This Milestone Activity will commence upon request of SAIC representative in writing only. Payments for this modification 19 will be made in accordance with
the schedule as outlined below. 
 It is understood Payment terms are 50% upon commencement of task and 50% upon acceptance of task draft final report which
includes results of a successful engineering run. A successful engineering run is defined as pilot scale execution of bench-scale process that does not experience any operator error and/or mechanical error that impacts the successful completion of
the run. The product quality from the engineering run needs to be comparable to that of the smaller scale runs and suitable for pre-clinical testing. Master batch records, along with process and analytical data will be outlined in the final Stage 8
report. 
 The estimated pricing for this proposal is inclusive of costs for labor, supplies, materials and reports. 

 

							
	 Stage
	  	Estimated
Timescale	  	Price	 
			
	 Stage 4: Fermentation Development
	  	8 weeks	  	$	200,200	  
			
	 Stage 5: Purification Development
	  	20 weeks	  	$	652,960	  
			
	 Stage 5 materials & service fees
	  		  	$	160,000	  
			
	 Stage 6: BDS Formulation Development
	  	4 weeks	  	$	103,796	  
	 Stage 7: Product-Specific Analytical Method SOP Development
	  	20 weeks	  	$	237,468	  

  
  

	
	Page 1 of 2

 

 
  

							
	 Stage
	  	Estimated
Timescale	  	Price	 
			
	 Stage 7 materials & service fees
	  		  	$	25,000	  
			
	 Stage 8: Engineering Run (ER)
	  	4 Weeks
 Assumes using
materials purchased
in Stage 5.
	  	$	221,760 per ER	  
	 Stage 9: Stability Study for material from Stage 8: Engineering Run
	  	16 weeks	  	$	263,648	  
	 Stage 10: Process Transfer and Training
	  	8 weeks	  	$	260,876	  
			
	 CMC Support
	  	3 weeks	  	$	30,000	  
		  		  	  
	  
	 
			
	 Total Price:
	  		  	$	2,155,708	  
		  		  	  
	  
	 

 17.0 ORDER OF PRECEDENCE – is modified to read as follows: 

The documents listed below are hereby incorporated by reference. In the event of an inconsistency or conflict between or among the provisions of this
Subcontract, the inconsistency shall be resolved by giving precedence in the following order: 
  

	 	1.	Attachment I: Statement of Work and Schedule dated May 20, 2013, Mod 19. 

  

	 	2.	Statements of Work and Schedules as follows: 

 Modifications -15 dated 5/4/12, 14 dated 6/22/12,
13 dated 6/15/12, 12 dated 2/6/12, 6 dated 6/1/11, 5 dated 1/1/11, 4 dated 11/15/10, 2 dated 5/4/10 and original dated 5/11/11 respectively. 
  

	 	3.	Schedule A: Specific Terms and Conditions Form 9-932-072 (Rev. 9/25/06). 

  

	 	4.	Schedule B: U.S. Government Terms and Conditions, Part III – FAR Clauses Form 9-932-082 (Rev. 07/25/07). 

  

	 	5.	Attachment C: (Enclosure 2; (Rev. 4/2009) Property Administration Requirements For Subcontractors With An Adequate System Or Requisite Internal Controls. 

All other Subcontract terms and conditions remain unchanged. 

In witness whereof, the duly authorized representatives of Buyer and Seller have executed this Subcontract Modification on the dates shown. 

 

									
	PFENEX INC.	 		 	SCIENCE APPLICATIONS INTERNATIONAL CORPORATION
			
	  
	 		 	  

	(Signature)	 		 	(Signature)
					
	Name:	 	 Patrick
Lucy                                         
       date
	 		 	Name:	 	 Carol
Frishman                                        
        date

	(Type or Print)	 		 	(Type or Print)
					
	Title:	 	 Vice President of Business Development
	 		 	Title:	 	 Subcontracts Administrator

  
  

	
	Page 2 of 2

 Statement of Work 

Evaluation of [*] Malaria Antigen Expression in Pfēnex Expression TechnologyTM 

and Process Manufacturing 

Malaria Vaccine Production and Support Services 

May 20, 2013 

Subcontract Modification 
  

	1.	Scope of Work 

 Independently and not as an agent of SAIC, Pfenex shall furnish all of
the necessary services, qualified personnel, materials, equipment, and facilities for the full development of a manufacturing process for the [*] clone using Pfēnex Expression TechnologyTM and technical transfer of the process to a
SAIC designated cGMP manufacturing facility with processing capabilities and equipment compatible with the upstream and downstream process developed by Pfenex. The process shall be suitable for a scale up, at a minimum, of a [*] scale and follow-on
purification, upon transfer. As part of this project, Pfenex is required to provide related meeting support, reports, and deliverables as listed in Table 1. 
  

	 	1.1.	SAIC will provide the following information and materials: 

  

	 	•	 	Background literature/references relating to Rh5. 

  

	 	•	 	Additional [*], if required. 

  

	 	•	 	Shipping instructions for [*] and other materials. 

  

	2.	Technical Requirements 

 As a follow-on to the successful production, testing, and
selection of a [*] line under the original subcontract and Mod 12 which was composed of: (i)-Evaluation of Rh5 expression (Stage 1), (ii)-Fermentation assessment of Rh5 (Stage 2), (iii)-Rh5 purification (Stage 2A/Mod 12) and (iv)-Preparation and
characterization of [*] (RCB) (Stage 3); SAIC now requires Pfenex to develop a manufacturing process suitable for a scale up, at a minimum, of a [*] scale and follow-on purification for the SAIC selected clone [*] and technical transfer of the
process to a SAIC designated cGMP manufacturing facility with processing capabilities and equipment compatible with the upstream and downstream process developed by Pfenex. 
  

	 	2.1.	Stage 4: Fermentation Optimization of cell line [*] 

  

	 	2.1.1.	Pfenex shall apply computer-aided, statistically-based design of experiments (DoE) to examine fermentation parameters for [*] expression. Design and execute 2-level fractional factorial experiments to screen up to five
(5) factors (e.g. pH and temperature) for [*] expression in an 8-unit multiplex 1L bioreactor system. 

 Please
Note: Appropriate samples for yield determination and analysis will be collected throughout the fermentation runs. 

  
 Page 1 of 10 

	 	2.1.2.	Perform the appropriate analysis on selected pre- and post-induction samples taken from the fermentations. 

  

	 	2.1.3.	Use JMP statistics software to analyze the data. Based on the conclusions, design a confirmation round of experiments up to a total of 32-40 X 1L fermentations. 

 

	 	2.1.4.	Evaluate Rh5 titer and quality on selected samples utilizing ELISA and western blot analysis development from Stage 7 Product Specific Analytical Method Development. 

 

	 	2.1.5.	The optimized fermentation condition shall be confirmed in up to three rounds at 3 X 20L scale per round. 

  

	 	2.1.6.	The optimized fermentation shall produce material which can be subsequently purified to meet product quality and safety specifications required for human use when produced under cGMP conditions. 

 

	 	2.1.7.	A technical study report shall be issued following the completion of the work. 

  

	 	2.1.7.1.	Pfenex shall submit the optimized fermentation procedure/protocol to SAIC for review and approval. 

  

	 	2.1.7.2.	Document shall also contain, at a minimum, in process parameters examined, rational for parameters selected, and copies of the raw data. 

 

	 	2.2.	Stage 5: Purification Process Development 

  

	 	2.2.1.	Pfenex shall develop a cGMP ready downstream purification process. 

  

	 	2.2.2.	Pfenex shall perform up to six rounds of [*] working volume) fermentation runs to supply cell paste for the experiments outlined in this stage of work. 

 

	 	2.2.3.	Pfenex shall develop a downstream purification process based on lessons learned from Stage 2A (Rh5 research-grade purification strategy). 

 

	 	2.2.4.	Pfenex shall design and execute a fractional factorial design to optimize protein release and purity [*]. 

  

	 	2.2.5.	Pfenex shall evaluate efficiency (throughput, purity, recovery) of bulk separation of [*]. 

  

	 	2.2.6.	Pfenex shall develop centrifugation, clarification, and filter train that will permit the material containing Rh5 [*]. 

  

	 	2.2.7.	Pfenex shall analyze samples taken throughout the primary recovery development for Rh5 yield and purity. 

  

	 	2.2.8.	Pfenex shall utilize the process intermediate from 2.2.7 to design and execute a resin screen (microtiter plate scale) for the primary capture chromatography step. Up to [*] resins will be screened for the best
conditions for capacity. The best two resins will be screened in a second round using up to [*] to determine selectivity. 

  

	 	2.2.9.	Pfenex shall compare screening leads from 2.2.8 using test gradients and method scouting at small scale and rank performance with an emphasis on determining operating parameters (e.g., capacity, resolution, and yield)
for protein with that resin 

  
 Page 2 of 10 

	 	2.2.10.	The primary column resin and associated conditions selected from 2.2.9 will be optimized further for chromatography scale up and implemented at pilot scale. 

 

	 	2.2.11.	Pfenex shall utilize the elution pool from 2.2.10 to design and execute a resin screen for the second chromatography step. Up to [*] will be screened for the best capacity and selectivity. The best resin will be
screened in a second round using up to [*] for efficiency and selectivity. 

  

	 	2.2.12.	Pfenex shall compare screening leads from 2.2.11 using test gradients and method scouting at small scale and rank performance with an emphasis on determining operating parameters (e.g., capacity, resolution, and yield)
for protein with that resin. 

  

	 	2.2.13.	The second column resin and associated conditions selected from 2.2.12 will be optimized further for chromatography scale up and implemented at pilot scale. 

 

	 	2.2.14.	Pfenex shall utilize the elution pool from 2.2.13 to design and execute a resin screen for the polishing chromatography step. Up to [*] will be screened for the best capacity and selectivity. The best resin will be
screened in a second round using up to [*] for efficiency and selectivity. 

  

	 	2.2.15.	Pfenex shall compare screening leads from 2.2.14 using test gradients and method scouting at small scale and rank performance with an emphasis on determining operating parameters (e.g., capacity, resolution, and yield)
for protein with that resin. 

  

	 	2.2.16.	The polishing column resin and associated conditions selected from 2.2.12 will be optimized further for chromatography scale up and implemented at pilot scale. 

 

	 	2.2.17.	Purified Rh5 from 2.2.16 will be buffer exchanged into the final drug substance buffer determined in Stage 6 using tangential flow filtration (TFF). TFF parameters will be optimized to minimize processing time while
maintaining product quality. 

  

	 	2.2.18.	For each downstream unit operation, Pfenex shall conduct hold studies to determine process intermediate stability. 

  

	 	2.2.19.	Pfenex shall perform analysis during development that may include [*]. 

  

	 	2.2.20.	Pfenex shall perform a pilot scale integrated purification run to confirm scale-up parameters and overall process performance. 

  

	 	2.2.20.1.	Pfenex shall collect and analyze intermediate samples taken during the integrated run for protein yield, purity and contaminant profile. 

 

	 	2.2.20.2.	Pfenex shall provide purified Rh5 produced from the integrated run to SAIC or its designee. 

  

	 	2.2.20.3.	Pfenex shall perform analysis of integrated run final material that may include [*]. 

  
 Page 3 of 10 

	 	2.2.21.	Pfenex shall submit the developed purification process procedures and protocols to SAIC for review and approval before moving forward to engineering run (Stage 8). 

 

	 	2.2.21.1.	Document shall also contain, at a minimum, processes examined, rational for processes selected, and copies of the raw data. 

  

	 	2.2.22.	Pfenex shall ship purified Rh5 generated during development to a SAIC designated facility; however, Pfenex may retain all or a portion of the material produced for subsequent studies. 

 

	 	2.3.	Stage 6: BDS Formulation Development 

  

	 	2.3.1.	With material generated from Stage 5 Purification Process Development, Pfenex shall screen and evaluate at a minimum [*] that are compatible with Rh5. 

 

	 	2.3.1.1.	Components/pH in the buffer systems should be suitable for human use and may include stabilizing excipients. 

  

	 	2.3.1.2.	Pfenex will measure compatibility of the buffer systems using SEC-HPLC and/or other stability indicating assays. 

  

	 	2.3.2.	Pfenex shall confirm the selected buffer systems to monitor quality changes of rRh5 using SEC-HPLC and SDS-PAGE. 

  

	 	2.3.3.	Pfenex shall perform a short-term stability monitoring of selected, suitable buffer systems(s) to monitor quality changes of Rh5 using SEC-HPLC and/or other stability indicating assays. 

 

	 	2.3.3.1.	Short term stability monitoring shall include the following temperature and time points: 

  

					
	 Stress
	  	 Conditions
	  	 Time Point(s)

	Temperature	  	-70°C; 5°C; 25°C; 40C	  	Day 0, 1, 2

  

	 	2.3.3.2.	Repeated freeze/thaw stress in 3-cycles. 

  

	 	2.3.4.	Upon SAIC’s request, Pfenex shall provide Rh5 in the selected buffer system and concentration to SAIC for further testing 

  

	 	2.3.5.	Pfenex shall issue a final report. The report shall include an executive summary, detailed description of methods including system suitability controls, list of all raw materials and their source, results, conclusions,
inventory of reagents provided by SAIC, and all raw data in PDF format. 

  

	 	2.4.	Stage 7: Product Specific Analytical Method Development 

  

	 	2.4.1.	Pfenex shall develop product specific in-process and final product analytical methods and provide standard operating procedures (SOPs) for each method. 

Please Note: Method qualification may be performed as optional. 

 

	 	2.4.2.	Pfenex shall establish acceptance criteria and specifications in consultation with SAIC, where applicable, that will be the basis for release and stability monitoring. The specifications shall be appropriate for a Phase
1 clinical product. 

  
 Page 4 of 10 

	 	2.4.3.	For in-process testing of low purity fermentation and purification samples, the testing shall include: [*]. 

  

	 	2.4.4.	For release testing of bulk drug substance, the testing shall include: [*], endotoxin, and suitable process specific assays such as detection of impurities. 

 

	 	2.4.5.	For characterization of bulk drug substance, the testing shall include: [*]. 

  

	 	2.4.6.	Pfenex shall recommend and submit the developed analytical and characterization testing, including procedures, protocols, and their results, to SAIC for review and approval. 

 

	 	2.4.7.	(Optional) Analytical method qualification shall be performed on methods developed. 

  

	 	2.4.7.1.	Qualification protocols and report template shall be issued for review and approval 

  

	 	2.4.7.2.	Qualification report shall be issued and include data and summary tables. 

  

	 	2.5.	Stage 8: Engineering Run 

  

	 	2.5.1.	Pfenex shall perform a complete engineering run at the 20 L (10 L w/v) scale to ensure reproducibility of previously drafted procedures. 

 

	 	2.5.2.	Pfenex shall develop master batch production records (BPRs) for the engineering run that covers all of upstream and downstream process, and identifies where the in-process tests occur and what volume is removed for
testing. SAIC will be provided copies of the master BPRs for review and approval prior to use. 

  

	 	2.5.3.	Pfenex shall submit the completed BPRs to SAIC upon the completion of the engineering run. 

  

	 	2.5.4.	Pfenex shall execute the release and characterization testing as accomplished in Stage 7 for the engineering run material. 

  

	 	2.5.5.	Pfenex shall set aside aliquots for the stability program described below, and ship the remaining purified Rh5 from the engineering run to a SAIC designated facility in aliquots to be determined at a later
timepoint. 

  

	 	2.5.6.	(Optional) Pfenex may perform additional engineering run(s) if required by SAIC 

  

	 	2.5.6.1.	Pfenex shall develop master batch production records (BPRs) for the engineering run that covers all of upstream and downstream process, and identifies where the in-process tests occur and what volume is removed for
testing. SAIC will be provided copies of the master BPRs for review and approval prior to use. 

  

	 	2.6.	Stage 9: Stability Program 

  

	 	2.6.1.	Pfenex shall conduct a non-GMP stability monitoring of the purified Rh5. Pfenex shall submit the stability monitoring plans for the engineering run to SAIC for review and approval. 

  
 Page 5 of 10 

	 	2.6.2.	The stability of purified Rh5 from the engineering run shall be evaluated for stability at conditions of -70°C, 2°C–8°C, 25°C/60% relative humidity (RH), and 40°C/75% RH at month-0, 1,2, and 3.
Note: T=0 initial testing is covered in Stage 8: Engineering Run. 

  

									
	 Method/Test

-70°C, 5°C, 25°C/60% relative humidity (RH), 40°C/75% RH
	  	Initial
Testing
(T=0)	  	1 mo	  	2 mo	  	3 mo
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
					
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	X
	 [*]
	  	X	  	X	  	X	  	
	 [*]
	  	X	  	X	  	X	  	
	 [*]
	  	X	  		  		  	X

  

	 	2.6.3.	Stability monitoring assessment shall include: pH, SDS-PAGE/CGE, RP-HPLC, SE-HPLC, peptide mapping by mass spectrometry, intact mass, capillary isoelectricfocusing (CIEF), circular dichroism, Intrinsic fluorescence.

  

	 	2.6.4.	A stability report shall be submitted to SAIC at each stability timepoint and include, at minimum, assays utilized with associated SOP, test results in table format, conclusion, trending data, and copies of raw data.

  

	 	2.7.	Stage 10: Process Training and Transfer 

  

	 	2.7.1.	Pfenex shall train SAIC’s cGMP contract manufacture organization (CMO) on the manufacturing process and shall transfer the BPRs (master and completed) and analytical method SOPs. 

 

	 	2.7.2.	As part of the process training and transfer Pfenex shall conduct at least one successful training run. 

  

	 	2.7.3.	The process yield from the process training run shall be within acceptable scientific variation from the engineering run performed in Stage 8. 

 

	 	2.7.4.	The process training run shall demonstrate within acceptable scientific variation reproducibility as compared to Stage 8, in all up- and down-stream processes including: growth rate in fermentation, quantity and
quality of Rh5 in lysate, in primary recovery, in each process step, and in final product. 

  
 Page 6 of 10 

	 	2.7.5.	Pfenex shall provide to SAIC and to SAIC designated CMO the RCB and a full process transfer package with all information necessary for the transfer of the manufacturing process. 

 

	 	2.7.6.	The full process transfer package shall include the following items: 

  

	 	2.7.6.1.	Bill of materials and suggested suppliers 

  

	 	2.7.6.2.	Detailed fermentation and purification process procedures (master BPRs) 

  

	 	2.7.6.3.	Listing of instruments/equipment 

  

	 	2.7.6.4.	Detailed testing procedures (SOPs) 

  

	 	2.7.6.5.	Technical specification for the bulk drug substance 

  

	 	2.7.6.6.	Health/Safety/Environment assessment of all materials and process 

  

	 	2.7.6.7.	Detailed characterization of purified protein/buffer and intermediates 

  

	 	2.7.6.8.	Stability testing plan and final report 

  

	 	2.7.6.8.1.	Research cell bank growth parameters and technical information 

  

	 	2.7.6.8.2.	Construct expression information and test results 

  

	 	2.7.7.	The process transfer and associated training records for the transfer to the clinical CMO shall be well documented and be provided to SAIC in the final report. 

 

	 	2.8.	CMC Support  

  

	 	2.8.1.	Pfenex shall provide support in reviewing CMC sections and documents related to IND submission including details of the cloning and development of the expression strain CS672-3057. 

 

	3.	Quality Requirements 

 In addition to the Quality Requirements stated in the SOW, Pfenex
shall execute a Quality Management Plan suitable for process development and technical transfer (see Section 10). 
  

	 	3.1.	Pfenex shall provide a scientific, technical, and administrative infrastructure to ensure quality control of all process development and technical transfer activities. 

 

	 	3.2.	The quality management plan shall include use of any materials, instruments/equipment, methods, procedures utilized in the process development and technical transfer. 

 

	 	3.3.	At a minimum, Pfenex shall ensure: 

  

	 	3.3.1.	Facilities in which SAIC’s materials are maintained in a safe and secure manner and allow limited access. 

  

	 	3.3.2.	Personnel have the necessary education and training in all procedures relevant to work assignments; training and qualifications are verified by leadership of Pfenex. 

  
 Page 7 of 10 

	 	3.3.3.	SOPs will be used to document policies and procedures. SOPs will be version controlled and approved by key personnel. 

  

	 	3.3.4.	An effective tracking/tracing system or procedure is in place for all materials and equipment used in this contract. 

  

	 	3.3.5.	Equipment calibration and maintenance are performed as required and are documented. 

  

	 	3.4.	The Quality Management Plan shall govern Pfenex’s commitment to quality and ensure that procedures addressing the following requirements are in place. 

 

	 	3.4.1.	SOPs 

  

	 	3.4.2.	Document/version control 

  

	 	3.4.3.	Equipment maintenance and repair 

  

	 	3.4.4.	Training: adherence of staff to required schedules 

  

	 	3.4.5.	Data management 

  

	 	3.4.6.	Record management system 

  

	 	3.4.7.	Safety plan 

  

	 	3.4.8.	Asset tracking and management 

  

	 	3.4.9.	Building and facility monitoring 

  

	 	3.4.10.	Adherence to Federal or other applicable regulatory requirements appropriate for work on this contract 

  

	 	3.4.11.	Operational deviations and failures will be investigated through root cause analysis, which will be documented. 

  

	 	3.5.	Cold/frozen and controlled temperature storage chambers have continuous monitors with alarms or are monitored at least every 4 hours by security staff. Any deviations will be immediately reported to Pfenex staff.

  

	 	3.6.	Effective cold chain management practices are in place for the handling of materials, products and samples. 

  

	 	3.7.	Investigation are initiated upon incident discovery (excursion from written procedure, policy, or protocol). Upon request, copies results of investigations are submitted to SAIC for review. 

 

	 	3.8.	SAIC may schedule in-plant and other visits at Pfenex to audit quality of activities conducted in this contract. 

  

	4.	Record Management Requirements 

 Pfenex shall maintain a record management system
suitable for process development and technical transfer (see Section 10, Quality Management Plan). 
  

	 	4.1.	Pfenex shall have a record management system that permits detailed records to be made concurrently with the performances of each process development activity. 

 

	 	4.2.	Records and documents shall be created and maintained in a manner that allows version control, handling steps, tests, retests, investigations, data, and results. 

 

	 	4.3.	Record and document security systems shall be adequate to ensure confidentiality and privacy of proprietary information. Confidential or proprietary information shall be restricted to staff with a need for access and
inspectors from regulatory agencies. Records shall be readily accessible for inspection by authorized personnel from SAIC. 

  
 Page 8 of 10 

	 	4.4.	Records and documents shall be maintained for a minimum of 5 years after the completion of process development and technical transfer. SAIC shall be contacted for disposal or transfer instructions at the end of a
records storage period or at the end of the subcontract POP. 

  

	 	4.5.	Electronic records shall be backed up daily on a separate server or network. Weekly backups shall be stored on an appropriate media, e.g., CD, tape, and stored off-site. 

 

	 	4.6.	Corrections or changes in a record shall be made in accordance with a quality monitoring procedures suitable for managing process development and technical transfer. 

 

	 	4.7.	Unless alternate agreements are made, all raw data and laboratory notebooks related to this subcontract shall be made available to SAIC upon request. 

Table 1. Deliverables to SAIC 
  

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

	1	  	Technical	  	Purified Rh5 from process development	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
	2	  	Technical	  	Purified Rh5 from engineering run	  	Within a week of completion	  	Sent to SAIC designee in proper shipping containers with a temperature monitor
	3	  	Technical	  	Unused reagents provided by SAIC	  	Within 2 weeks of SAIC request	  	Sent to SAIC designee in proper shipping containers
	4	  	Technical	  	Optimized fermentation procedure and protocols	  	Within 3 week of completion	  	PDF or Word document
					
	5	  	Technical	  	Selected primary recovery method	  	Within 3 week of completion	  	PDF or Word document
	6	  	Technical	  	Purification process procedures and protocols	  	Within 3 week of completion	  	PDF or Word document
	7	  	Technical	  	Recommended analytical and characterization testing	  	Within 3 week of completion	  	PDF or Word document
					
	8	  	Technical	  	Master BPRs for the engineering run	  	2 weeks prior to initiation	  	PDF or Word document

  
 Page 9 of 10 

									
	 Deliverable
	  	 Requirement
	  	 Item
	  	 Date*
	  	 Form

	9	  	Technical	  	Master BPRs for the second engineering run, etc	  	2 weeks prior to initiation	  	PDF or Word document
					
	10	  	Technical	  	Completed BPRs for the engineering run	  	Within 3 week of completion	  	PDF or Word document
	11	  	Technical	  	Completed BPRs for the second engineering run, etc	  	Within 3 week of completion	  	PDF or Word document
	12	  	Technical	  	Stability monitoring plans for engineering run(s)	  	2 weeks prior to initiation	  	PDF or Word document
	13	  	Technical	  	stability reports	  	3 week following each indicated time point	  	PDF or Word document
	14	  	Technical	  	Full Process transfer package	  	4 weeks following completion of engineering run	  	PDF or Word document
	15	  	Reporting	  	Biweekly Meeting and minutes	  	Meeting as scheduled, minutes within a week of the meeting	  	Telecom
	16	  	Reporting	  	Monthly Reports	  	Due by the 8th of each month during the performance of work efforts	  	PDF or Word document
					
	17	  	Reporting	  	CMC Support	  	Final: 3 weeks after receipt of SAIC CMC sections provided for review	  	Draft: Word Document

  

	*	Days = Calendar days 

  
 Page 10 of 10 

 

 
 October 29, 2013 

Pfenex Inc. 
 10790 Roselle Street 

San Diego, CA 92121 
  

	Attention:	Patrick Lucy, Vice President of Business Development and Marketing 

  

	Subject:	Modification No. 20 

  

	Reference:	(a) SAIC Subcontract P010022290 

 Dear Mr. Lucy: 

In 2012, SAIC, Inc. announced plans to separate into two independent, publicly-traded companies. This separation was approved by the SAIC Board of
Directors and will occur on 28 September 2013. The legacy company (SAIC, Inc.) will operate under the name Leidos, Inc., and will continue to use the original Home Office CAGE Code and DUNS Number. 

Therefore, this unilateral modification, effective 28 September 2013, to Reference (a) Subcontract is issued to amend “Science Applications
International Corporation” (SAIC) to “Leidos, Inc.”. All references in the Reference (a) Subcontract to “SAIC” are hereby amended to “Leidos.” 

 

	
	Sincerely,
	
	 s/s Carol Frishman

	
	Carol Frishman
	Subcontracts Administrator | Leidox, Inc.
	Phone: 240-529-0438
	Carol.c.frishman@leidos.com

  
  

Page 1 of 1 
 The information
transmitted is intended only for the person or entity to which it is addressed and may contain confidential and/or 
 privileged material. If
you received this in error, please contact the sender and delete the material from any computer.

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00231-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00231-of-00352.parquet"}]]