Document:

EX-10.32

 Exhibit 10.32 

.OMB Approval 2700-0042 
  

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

N/A
	 	 PAGE OF PAGES

1        |        4

	 2. AMENDMENT/MODIFICATION NO.

0003
	 	 3. EFFECTIVE DATE

October 31, 2014
	 	4. REQUISITION/PURCHASE REQ. NO.	 	 5. PROJECT NO. (If applicable)

N/A

	6. ISSUED BY	 	CODE  	 	 	 	7. ADMINISTERED BY (If other than Item 6)	 	CODE  	 	 N/A

	 National Institutes of Health

National Institute of Allergy and Infectious Diseases

DEA, Office of Acquisitions

Room 3214, MSC 7612
 6700-B
Rockledge Drive
 Bethesda, MD 20892-7612
	 	  
 MID
RCB-B
	 	 	 	 	 	 	 	 
	8. NAME AND ADDRESS OF CONTRACTOR (No. Street, County, State and ZIP: Code)	 	( ̈)  	 	 9A.    AMENDMENT OF SOLICITATION NO.

		 		 		 		 	 	 	 	 	 	 	 
	 Pfenex, Inc.

10790 Roselle Street
 San
Diego, CA 92121
	 	 	 	 9B.    DATED (SEE ITEM
11)
  

	 	X  	 	 10A. MODIFICATION OF CONTRACT/ORDER
NO.
 HHSN272201200033C

		 		 		 		 	 	 	 10B.  DATED (SEE ITEM 13)

	CODE	 	FACILITY CODE	 	 	 	 09/27/2012

 11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS 

 
  ̈ The
above numbered solicitation is amended as set forth in Item 14. The hour and date specified for receipt of Offers         ̈ is
extended,         ̈ is not extended. 
 Offers must acknowledge receipt
of this amendment prior to the hour and date specified in the solicitation or as amended, by one of the following methods: 
 (a) By completing Items 8 and
15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment
numbers. FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATA SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already
submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation and this amendment, and is received prior to the opening hour and data specified. 

 
 12. ACCOUNTING AND APPROPRIATION DATA (If
required) 
  
  

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS, 

IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14. 

 

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

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

	X	 	 C.    THIS SUPPLEMENTAL AGREEMENT IS
ENTERED INTO PURSUANT TO AUTHORITY OF:
 Mutual Agreement of the Parties

	 	 	 D.    OTHER (Specify type of
modification and authority)
  

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

 
 14. DESCRIPTION OF AMENDMENT/MODIFICATION (Organized
by UCF section headings, including solicitation/contract subject matter where feasible.) 
 PURPOSE: The purpose of this modification is to extend
the Period of Performance through December 31, 2015 and update various articles. 
  

			
	 TOTAL FUNDS CURRENTLY ALLOTTED: $2,180,144 (Unchanged)

TOTAL ESTIMATED COST: $2,180,144 (Unchanged)
	  	 FUNDED THROUGH DATE: December 31, 2015 (Changed)

COMPLETION DATE: December 31, 2015 (Changed)

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

							
	15A. NAME AND TITLE OF SIGNER (Type or print)	  	16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
	Patrick Lucy, Chief Business Officer	  	 Michael P. Welsh

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

	15B. CONTRACTOR/OFFEROR	 	15C. DATE SIGNED  	  	16B. UNITED STATES OF AMERICA	 	16C. DATE SIGNED
		 	 	 
	     /s/ Patrick
Lucy                                         
   
 (Signature of person authorized to sign)
	 	10-31-14	  	 BY     /s/ Aileene
Mitchellford                        

(Signature of Contracting Officer)
  
	 	10-31-14

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

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

Prescribed by GSA

  

					
	 Contract No: HHSN272201200033C
	 	Modification No: 03	 	Page 2 of 4

 The period of performance listed on the face page of the contract (SF-26) in Block 15A is changed as follows:
“09/27/2012 – 12/31/2015” 
 ARTICLE B.2. ESTIMATED COST – OPTION, paragraph e., is hereby modified as follows: 

 

	 	e.	Payments shall be made from the PRISM / NBS Line Item Numbers as follows: 

  

							
	 PRISM /NBS Line Item

No.
	  	 Option / Increment

Description
	  	 PRISM / NBS Line

Item Period of
 Performance
	  	Funded Amount
	 Line 1
	  	Base Period – Vaccine Technologies to Advance Next Generation Anthrax Vaccines	  	09/27/2012 – 12/31/2015	  	$2,180,144

 ARTICLE F.2. DELIVERIES, paragraph c., is hereby modified as follows: 

 

	 	c.	Copies of the Reports shall be sent to the following addresses: 

  

			
	 Recipient
	  	 Address

	 NIAID Contract Officer Representative
	  	 Patrick Sanz, Ph.D.
 Vaccines and
other Biological Products Development
 Section Office of Biodefense Research Affairs (OBRA)

DMID/NIAID/NIH
 5601 Fishers Lane, Room 8G49,
9825
 Rockville, MD 20892-9825

	 NIAID Contracting Officer
	  	 National Institutes of Health, DHHS

National Institute of Allergy and Infectious Diseases

Division of Extramural Activities, OA
 5601 Fishers
Lane, Room 3B49, 9821
 Rockville, MD 20892-9821

	 NIAID Office of Policy for Extramural Research Administration (OPERA)
	  	 National Institutes of Health
 Office of
Policy for Extramural Research Administration (OPERA)
 Extramural Inventions and Technology Resource Branch

6705 Rockledge Drive, Room 1040-A, MSC 7980
 Bethesda, MD
20892-7980

 ARTICLE I.1 General Clauses For A Cost-Reimbursement Research and Development Contract, paragraph a., is modified to
update the following clause(s): 
  

					
	52.202-1	  	Nov 2013	  	Definitions (Over the Simplified Acquisition Threshold)
	52.203-5	  	May 2014	  	Covenant Against Contingent Fees (Over the Simplified Acquisition Threshold)
	52.203-7	  	May 2014	  	Anti-Kickback Procedures (Over the Simplified Acquisition Threshold)
	52.203-8	  	May 2014	  	Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity (Over the Simplified Acquisition Threshold)
	52.203-10	  	May 2014	  	Price or Fee Adjustment for Illegal or Improper Activity (Over the Simplified Acquisition Threshold)
	52.204-10	  	Jul 2013	  	Reporting Executive Compensation and First-Tier Subcontract Awards ($25,000 or more)
	52.209.6	  	Aug 2013	  	Protecting the Government’s Interest When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment (Over $30,000)

  
  

HHS-556 

					
	 Contract No: HHSN272201200033C
		Modification No: 03		Page 3 of 4

  

					
	52.216-7		Jun 2013		Allowable Cost and Payment
	52.219-8		May 2014		Utilization of Small Business Concerns (Over the Simplified Acquisition Threshold)
	52.219-9		Jul 2013		Small Business Subcontracting Plan (Over $650,000)
	52.225-1		May 2014		Buy American - Supplies
	52.232-23		May 2014		Assignment of Claims
	52.233-1		May 2014		Disputes
	52.222-35		Jul 2014		Equal Opportunity for Veterans ($100,000 or more)
	52.222-36		Jul 2014		Equal Opportunity for Workers with Disabilities
	52.222-37		Jul 2014		Employment Reports on Veterans ($100,000 or more)
	52.222-54		Aug 2013		Employee Eligibility Verification (Over the Simplified Acquisition Threshold)
	52.227-11		May 2014		Patent Rights – Ownership by the Contractor
	52.232-17		May 2014		Interest (Over the Simplified Acquisition Threshold
	52.232-23		May 2014		Assignment of Claims
	52.232-33		Jul 2013		Payment by Electronic Funds Transfer--System for Award Management
	52.233-1		May 2014		Disputes
	52.225-1		May 2014		Buy American - Supplies
	52.227-14		May 2014		Rights in Data - General
	52.244-6		Jul 2014		Subcontracts for Commercial Items

 ARTICLE I.3 Additional Contract Clauses, paragraphs a. and b., are hereby modified to update the following
clause(s): 
  

	 	a.	FEDERAL ACQUISITION REGULATION (FAR) (48 CFR CHAPTER1) CLAUSES: 

  

	 	13.	FAR Clause 52.230-2, Cost Accounting Standards (May 2014). 

  

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

  

	 	3.	HHSAR Clause 352.231-70, Salary Rate Limitation (August 2012). 

	 	    	Note: P.L. 113-76 sets forth the Salary Rate Limitation at the Executive Level II Rate, effective January 17, 2014 

 

	 	    	See the following website for Executive Schedule rates of pay: http://www.opm.gov/oca/ .  

(For current year rates, click on Salaries and Wages/Executive Schedule/Rates of Pay for the Executive Schedule. For prior year rates,
click on Salaries and Wages/select Another Year at the top of the page/Executive Schedule/Rates of Pay for the Executive Schedule. Rates are effective January 1 of each calendar year unless otherwise noted.) 

FAR (48 CFR) 53.243 
  

 
 HHS-556EX-10.33

 Exhibit 10.33 

CONFIDENTIAL TREATMENT REQUESTED 
  

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

N/A
	 	
PAGE OF PAGES

1        |        2

	 2. AMENDMENT/MODIFICATION NO.

0004
	 	 3. EFFECTIVE DATE

January 5, 2015
	 	 4. REQUISITION/PURCHASE REQ. NO

3639014
	 	 5. PROJECT NO.
(If applicable)
 N/A

	
6. ISSUED BY                       
           CODE  
  
	 	 	 	 	 	7. ADMINISTERED BY (IF OTHER THAN ITEM 6)	 	CODE  	 	N/A
	 National Institutes of Health

National Institute of Allergy and Infectious Diseases
 DEA, Office
of Acquisitions
 Room 3214, MSC 7612
 6700-B Rockledge Drive

Bethesda, MD 20892-7612
	 	MID RCB-B	 	 	 	 
	  

8. NAME AND ADDRESS OF CONTRACTOR (No., Street, County, State, and Zip Code)

Pfenex, Inc.
 10790 Roselle Street

San Diego, CA 92121
	 	   ̈  	 	  

9A. AMENDMENT OF SOLICITATION NO.
  

	 	 	 	  

9B. DATED (SEE ITEM 11)
  

	 	  x  	 	  

10A. MODIFICATION OF CONTRACT/ORDER NO.

HHSN272201200033C

	  

CODE:
	 	  

FACILITY CODE:
	 	 	 	  

10B. DATED (SEE ITEM 11)

	 	 	 	 	 	 	 09/27/2012

 

	
11. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

 

  ̈ The above numbered, solicitation is amended as set forth in item 14. The hour
and date specified for receipt of Offers  ̈ is extended  ̈ is not extended. 

Offers must acknowledge receipt of this amendment prior to the hour and date specified in the solicitation or as amended by one of the following methods: 

(e) By completing Items 8 and 15, and returning one (1) copy of the amendment; (b) By acknowledging receipt of this amendment on each copy of the
offer submitted; or (c) By separate letter or telegram which includes a reference to the solicitation and amendment numbers, FAILURE OF YOUR ACKNOWLEDGMENT TO BE RECEIVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND
DATA SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amendment you desire to change an offer already submitted, such change may be made by telegram or letter, provided each telegram or letter makes reference to the solicitation
and this amendment, and is received prior to the opening hour and data specified, 
  

															
	 12. ACCOUNTING AND APPROPRIATION DATA (If
Required)
  

	
13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS/ORDERS,

IT MODIFIES THE CONTRACT/ORDER NO., AS DESCRIBED IN ITEM 14

	 ̈  	 	A. THIS CHANGE ORDER IS ISSUED PURSUANT TO: (Specify Authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN THE CONTRACT
ORDER NO. IN ITEM 10A.
	 ̈  	 	B. THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office,
appropriation date, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43,103 (b).
	x  	 	 C. THIS SUPPLEMENTAL AGREEMENT IS
ENTERED INTO PURSUANT TO AUTHORITY OF:
 Mutual Agreement of the Parties

	 ̈  	 	D. OTHER (Specify type of modification and authority)
	  

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

	 14. DESCRIPTION OF
AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.
  

PURPOSE: The purpose of this modification is to exercise quantity Option 1, [***], raise the contract ceiling, revise the SOW, and update various
articles.

													
	  	 	Total Funds Currently Obligated	 	Total Estimated Amount of Contract
	  	 	Cost	 	Fee	 	Total	 	Cost	 	Fee	 	Total
	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]
	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]	 	[***]
	Revised Total	 	[***]	 	[***]	 	$3,031,414	 	[***]	 	[***]	 	$3,031,414
	FUNDED THROUGH DATE: December 31. 2015 (Unchanged)	 	COMPLETION DATE: December 31. 2015 (Unchanged)

											
	  

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

	 15A. NAME
AND TITLE OF SIGNER
 Bertrand C. Liang, MD

Chief Executive Officer
	 	 16A. NAME
AND TITLE OF CONTRACTING OFFICER
 Michael P. Welsh

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

	 15B. CONTRACTOR/OFFEROR

 
 /s/ Bertrand C. Liang, MD

 
	 		 	 15C. DATE SIGNED

12-22-2014
	 	 16B. UNITED STATES OF AMERICA
 /s/
michael.finn@nih.gov
	 		 	 16C. DATE SIGNED

12-22-2014

  
 [***] Certain information in this
document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 
  

											
	(Signature of person authorized to sign)	 	 	 	12/20/14	 	(Signature of Contracting Officer)	 	 	 	12/22/2014

					
	NSN 7540-01-152-8070	 		  	STANDARD FORM 30 (REV. 10-83)
	Previous Edition Unusable	 		  	Prescribed by GSA FAR (48 CFR) 53.243

  
 [***] Certain information in this
document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. 
  

					
	Contract No: HHSN272201200033C	 	Modification No: 04	 	Page 2 of 2

 ARTICLE B.2. ESTIMATED COST is modified to read as follows: 

a. The estimated cost of this contract is [***]. 

b. The fixed fee of this contract is [***]. The fixed fee shall be subject to the withholding provisions of the clauses ALLOWABLE COST
AND PAYMENT and FIXED FEE referenced in the General Clauses Listing in Part II, ARTICLE I.1. of this contract. 
 c. The total estimated
amount of the contract, represented by the sum of the estimated cost plus the fixed fee for the Base Period and Option 1 is $3,031,414. 

d. If the Government exercises its option pursuant to the OPTION PROVISIONS Article in SECTION H of this contract, the Government’s
total estimated contract amount represented by the sum of the estimated cost plus the fixed fee will be increased as follows: 
  

													
	 	  	Estimated Cost	 	  	Fixed Fee	 	  	Estimated Cost
Plus Fixed Fee	 
	 Base Period (exercised)
	  	 	[***	] 	  	 	[***	] 	  	$	2,180,144	  
	 Option 1 (exercised)
	  	 	[***	] 	  	 	[***	] 	  	$	851,270	  
	 Option 2
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 3
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 4
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 5
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 6
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 7
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 8
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 9
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 10
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 11
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 12
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
	 Option 13
	  	 	[***	] 	  	 	[***	] 	  	 	[***	] 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 
	 Total
		 	[***	] 		 	[***	] 		 	[***	] 
		  	  
	  
	 	  	  
	  
	 	  	  
	  
	 

 e. Payments shall be made from the PRISM / NBS Line Item Numbers as follows: 

 

									
	 PRISM /NBS Line Item No.
	  	 Option / Increment

Description
	  	 PRISM / NBS Line Item

Period of Performance
	  	Funded
Amount	 
	 Line 1
	  	Base Period	  	09/27/2012 – 12/31/2015	  	$	2,180,144	  
	 Line 2
	  	Option 1	  	01/05/2015 – 04/05/2015	  	$	851,270	  

 SECTION J, LIST OF ATTACHMENTS is modified to incorporate a revised Statement of Work as follows: 

1. Statement of Work, revised December 16, 2014. (See Attached) 

  
  

[***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been
requested with respect to the omitted portions. 
 HHS-556 

 STATEMENT OF WORK 

Base Period 
 [***] 

  
 [***] Certain information in this
document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions.

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