Document:

EX-10.2

 Exhibit 10.2 
  

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

PAGE    OF    PAGES

	 		 		 	  1        |            1        
	  
 2. AMENDMENT/MODIFICATION NO.

 
 0013
	 	  
 3. EFFECTIVE DATE

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

	 6. ISSUED BY
  
	 	CODE  	 	ASPR-BARDA	 	7. ADMINISTERED BY (If other than Item 6)	 	CODE  	 	ASPR-BARDA02
	 ASPR-BARDA
 200 Independence Ave., S.W.

Room 640-G
 Washington DC 20201

 
	 	 ASPR-BARDA
 330 Independence Ave, SW, Rm G640

Washington DC 20201
	 		 	
	8. NAME AND ADDRESS OF CONTRACTOR (No. street, county, State and ZIP Code)	 	(x) 	 	9A. AMENDMENT OF SOLICITATION NO	 	 	 	 
	  
 PFENEX, INC 1358378

FENEX BIOPHARMACEUTICALS, INC.
 10790 ROSELLE ST

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

 

	 		 	  

x  
	 	  
 10A. MODIFICATION OF
CONTRACT/ORDER NO
 HHSO100201000045C
  

		 		 		 		 	 
		 		 		 		 		 	10B. DATED (SEE ITEM 13)
	CODE	 	    1358378	 	 	 	  FACILITY CODE	 		 	  
 07/30/2010

 
	 		 	
	11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

  

			
	  ̈    The above numbered
solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers
                                 is extended     is not extended
Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods (a) By completing Items 8 and 15, and returning
                             copies of the amendment: (b) By acknowledging receipt of this
amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers. FAILURE OF YOUR ACKNOWLEDGEMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF
OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes
reference to the solicitation and this amendment, and is received prior to the opening hour and date specified.
	  	

			
	 12. ACCOUNTING AND APPROPRIATION DATA (If required)

 
 See Schedule
	  	 

					
	 13. THIS ITEM ONLY APPLIES TO MODIFICATION OF CONTRACTS/ORDERS. IT MODIFIES THE
CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14.
  

	CHECK ONE  	 	A.	 	 THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN
THE CONTRACT ORDER NO. IN ITEM 10A
  

	 	 	B.	 	 THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in
paying office, appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43 103(b).
  

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

 

	x	 	 D.  OTHER (Specify type of modification and authority)

 
 FAR 52.243-2 Alternate I (Apr 1987) Changes – Cost – Reimbursement and mutual agreement of
the parties
  

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

 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where
feasible.) 
 Tax ID Number: 27-1356759 
 DUNS Number: 013603710 

A. The purpose of this modification is to: 
 1. Extend the Period of Performance of
subCLIN 0003a to August 31, 2015. 
 B. This is a bilateral, administrative no-cost modification. The total contract amount and all other terms and conditions remain
the same. 
 Period of Performance: 07/30/2010 to 08/31/2015 
 Except as provided
herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanged and in full force and effect. 

									
	15A. NAME AND TITLE OF SIGNER (Type or print)	 	 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

 

	Patrick Lucy, CBO	 	 	 	 THOMAS P. HASTINGS
  
	 	 	 	 
	 15B. CONTRACTOR/OFFEROR
  
	 	15C. DATE SIGNED	 	16B.   UNITED STATES OF AMERICA	 		 	16C. DATE SIGNED
	                /s/ Patrick Lucy	 	7.22.15	 	                /s/ THOMAS P. HASTINGS	 	7/23/15
	(Signature of person authorized to sign)	 	 	 	                             
   (Signature of Contracting
Officer)                                        
	 	 

					
	NSN 7540-01-152-8070	 		  	                        STANDARD FORM 30 (REV 10-83)
	Previous edition unusable	 		  	                        Prescribed by GSA
		 		  	                        FAR (48 CFR) 53 243EX-10.3

 Exhibit 10.3 

FIRST AMENDMENT TO AMENDED AND RESTATED CREDIT AGREEMENT 

THIS AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is entered into as of September 28, 2015, by and between PFENEX INC., a Delaware
corporation (“Borrower”), and WELLS FARGO BANK, NATIONAL ASSOCIATION (“Bank”). 
 RECITALS 

WHEREAS, Borrower is currently indebted to Bank pursuant to the terms and conditions of that certain Amended and Restated Credit Agreement between
Borrower and Bank dated as of July 1, 2015, as amended from time to time (“Credit Agreement”). 
 WHEREAS, Bank and Borrower have
agreed to certain changes in the terms and conditions set forth in the Credit Agreement and have agreed to amend the Credit Agreement to reflect said changes. 

NOW, THEREFORE, for valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto agree that the Credit
Agreement shall be amended as follows: 
 1.           Section 6.1 (i) is hereby
deleted in its entirety, and the following substituted therefor: 
 “(i)         Any
“person” or “group” (as such terms are used in Sections 13(d) and 14(d) of the Securities Exchange Act of 1934 and the rules of the Securities Exchange Commission thereunder as in effect on the date hereof) is or shall become the
“beneficial owner” (as defined in Rules 13(d)-3 and 13(d)-5 under the Securities Exchange Act of 1934), directly or indirectly, of 35% or more on a fully diluted basis of the voting interests in Borrower’s capital stock.” 

2.           Except as specifically provided herein, all terms and conditions of the Credit
Agreement remain in full force and effect, without waiver or modification. All terms defined in the Credit Agreement shall have the same meaning when used in this Amendment. This Amendment and the Credit Agreement shall be read together, as one
document. 
 3.           Borrower confirms that its representations and warranties contained
in the Credit Agreement are true and correct in all material respects on and as of the date of the signing of this Amendment (except for any such representation or warranty that is qualified by materiality or reference to a material adverse effect,
which such representation and warranty is true and correct in all respects), with the same effect as though such representations and warranties had been made on and as of such date (except to the extent such representations and warranties
specifically relate to an earlier date, in which case they are true and correct in all material respects as of such earlier date, except for any such representation or warranty that is qualified by materiality or reference to a material adverse
effect, which such representation and warranty is true and correct in all respects as of such earlier date). Borrower reaffirms its covenants under the Credit Agreement. 

  
 -1- 

 IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed as of the day and year
first written above. 
  

									
	PFENEX INC.	 		 	 WELLS FARGO BANK,
   NATIONAL
ASSOCIATION

					
	By: 	 	/s/ Bertrand Liang	 		 	By: 	 	/s/ Tyler Wilson
		 	 BERTRAND LIANG,
 CHIEF EXECUTIVE OFFICER
	 		 		 	 TYLER WILSON,
 ASSISTANT VICE PRESIDENT

  
 -2-EXHIBIT 4.1

 

	NUMBER	 	 	 	UNITS
	 	 	 	 	 
	U-____________	 	 	 	 
	 	 	 	 	 
	SEE REVERSE FOR

CERTAIN DEFINITIONS	PMV ACQUISITION CORP.	 
	 	 	 
	 	 	CUSIP 693459 208

 

UNITS CONSISTING
OF ONE SHARE OF COMMON STOCK AND ONE WARRANT

EACH WARRANT TO
PURCHASE ONE HALF OF ONE SHARE OF COMMON STOCK

 

	THIS
    CERTIFIES THAT	 	 

	 	 	 
	is the owner of	 	 Units.

 

Each Unit (“Unit”) consists
of one (1) share of common stock, par value $0.0001 per share (“Common Stock”), of PMV Acquisition Corp., a Delaware
corporation (the “Company”), and one warrant (the “Warrant(s)”). Each Warrant entitles the holder to purchase
one half (1/2) of one (1) share of Common Stock for $5.75 per half share (subject to adjustment). Each Warrant will become exercisable
on the later of (i) 30 days after the Company’s completion of a merger, share exchange, asset acquisition, stock purchase,
recapitalization, reorganization or other similar business combination (“Business Combination”) and (ii) 12 months
from the closing of the Company’s initial public offering (“IPO”), and will expire unless exercised before 5:00
p.m., New York City Time, on the fifth anniversary of the completion of an initial Business Combination, or earlier upon redemption
(the “Expiration Date”). The Common Stock and Warrants comprising the Units represented by this certificate are not
transferable separately prior to the 52nd day after the date of the prospectus relating to the Company’s IPO, subject to
earlier separation in the discretion of Cantor Fitzgerald & Co. provided that the Company has filed with the Securities and
Exchange Commission a Current Report on Form 8-K which includes an audited balance sheet reflecting the Company’s receipt
of the gross proceeds of the IPO and issued a press release announcing when separate trading will begin. The terms of the Warrants
are governed by a Warrant Agreement, dated as of _______, 2015, between the Company and Continental Stock Transfer & Trust
Company, as Warrant Agent, and are subject to the terms and provisions contained therein, all of which terms and provisions the
holder of this certificate consents to by acceptance hereof. Copies of the Warrant Agreement are on file at the office of the Warrant
Agent at 17 Battery Place, New York, New York 10004, and are available to any Warrant holder on written request and without cost.

This certificate is not
valid unless countersigned by the Transfer Agent and Registrar of the Company.

Witness the facsimile
seal of the Company and the facsimile signatures of its duly authorized officers.

 

	 	 		 	 
	By	 	 	 
	 	 	 	 
	 	Chairman of the Board	Secretary	 
	 	 	 	 
	 	 	 	 
	 	 	 	 

    	 

    	

    

PMV Acquisition Corp.

 

The Company will furnish
without charge to each stockholder who so requests, a statement of the powers, designations, preferences and relative, participating,
optional or other special rights of each class of stock or series thereof of the Company and the qualifications, limitations, or
restrictions of such preferences and/or rights.

 

The following abbreviations,
when used in the inscription on the face of this certificate, shall be construed as though they were written out in full according
to applicable laws or regulations:

 

	TEN COM –	as tenants in common	UNIF GIFT MIN ACT - 	 	Custodian	 
	TEN ENT –	as tenants by the entireties	 	(Cust)	 	(Minor)
	JT TEN –	as joint tenants with right of survivorship	under Uniform Gifts to Minors
	 	and not as tenants in common	Act ____________	 	 	 
	 	 	(State)	 	 	 

 

Additional abbreviations may also be used
though not in the above list.

 

For value received, ___________________________
hereby sell, assign and transfer unto

 

	PLEASE INSERT SOCIAL SECURITY OR OTHER

IDENTIFYING NUMBER OF ASSIGNEE
	 

 

(PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS,
INCLUDING ZIP CODE, OF ASSIGNEE)

 

 

 

	 	 Units

 

represented by the within Certificate,
and do hereby irrevocably constitute and appoint

 

	 	 Attorney

to transfer the said Units on the books
of the within named Company will full power of substitution in the premises.

 

	Dated	 	 

 

	 	 	 	 
	 	Notice:	The signature to this assignment must correspond with the name as written upon the face of the certificate in every particular, without alteration or enlargement or any change whatever.

 

Signature(s) Guaranteed:

	 	 	 
	THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN
    ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN
    APPROVED SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15).	 

 

The holder of the shares of common stock underlying this certificate
shall be entitled to receive funds from the trust account only in the event of the liquidation of the Company’s trust account
upon failure to consummate a business combination within the required time period set forth in the Company’s Amended and
Restated Certificate of Incorporation as the same may be amended from time to time, or if the holder seeks to convert his shares
upon consummation of a business combination or in connection with certain amendments to the Company’s Amended and Restated
Certificate of Incorporation. In no other circumstances shall the holder have any right or interest of any kind in or to the trust
account.

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