Document:

10-K/A Exhibit 10.2(B)

Exhibit 10.2(B)
AMENDMENT NO. 1
TO
DEVELOPMENT SERVICES AGREEMENT
This Amendment No. 1 to Development Services Agreement (the “Amendment”) is dated as of April 1, 2014 (the “Effective Date”), is between ACHAOGEN, INC. (“Achaogen”) and ARK Diagnostics, Inc. (“Ark”) and is issued pursuant to the Development Services Agreement (the “Agreement”) dated August 19, 2013, by and between Achaogen and Ark who are sometimes hereinafter jointly referred to as the “Parties” to this Amendment.
WHEREAS, the Parties have entered into the Agreement;
WHEREAS, the Parties wish to amend the Agreement as specified herein;
NOW THEREFORE, the Parties agree as follows:
Section 8(b) Process for Entering Into Commercialization Agreement
		
	•
	The date of April 1, 2014 shall be extended through July 1, 2014

Other than as amended herein, the Agreement remains in full force and effect.
IN WITNESS WHEREOF, the Parties hereto have executed this Amendment on the date(s) set forth below and it will be effective as of the day and year first above written.

ACHAOGEN, INC.    ARK DIAGNOSTICS, INC.
By:  /s/ Derek Bertocci    By:  /s/ Johnny Valdez    
Name:  Derek Bertocci    Name:  Johnny Valdez    
Title:  Chief Financial Officer    Title:  President & CEO    
Date:  April 16, 2014    Date:  4/9/201410-K/A Exhibit 10.3(M)

Exhibit 10.3(M)
	
																		
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	1.  CONTRACT ID CODE
	PAGE OF PAGES

	1
	2

	2.  AMENDMENT/MODIFICATION NO.
0014
	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-BARDA

	ASPR-BARDA
200 Independence Ave., S.W.
Room 640‐G
Washington DC  20201
	ASPR-BARDA
200 Independence Ave., S.W.
Room 638‐G
Washington DC  20201

	8.  NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)
	(X)
	9A.  AMENDMENT OF SOLICITATION NO.

	ACHAOGEN, INC. 1361331
ACHAOGEN, INC.           7000 SHORELINE
7000 SHORELINE CT STE 371
SOUTH SAN FRANCISCO CA  940801957
	 

	9B.  DATED (SEE ITEM 11)

	X
	10A.  MODIFICATION OF CONTRACT/ORDER NO.
HHSO100201000046C

	CODE 1361331
	FACILITY CODE
	10B.  DATED (SEE ITEM 13)
09/01/2010

	11.  THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	o
	The above numbered solicitation is amended as set forth in Item 14.  The hour and date specified for receipt of Offers
	o is extended
	o 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)

Bilateral:  Mutual Agreement of the Parties.

	E.  IMPORTANT:
	Contractor
	o 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:  68‐0533693
DUNS Number:  167293153
A.The purpose of this no cost modification is to incorporate the following changes into the contract:
1.The Period of Performance for the Base Period/ CLIN 0001 of contract HHSO100201000046C is hereby changed from 19 September 2010 through 30 June 2014 to 19 September 2010 through 31 December 2014, at no additional cost to the Government.
2.The Period of Performance for Option 1/ CLIN 0002 of contract HHSO100201000046C is hereby changed from 21 September 2010 through 30 September 2014 to 21 September 2010 to 31
Continued...

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

	15A.  NAME AND TITLE OF SIGNER (Type or print)
Derek Bertocci, Chief Financial Officer
	16A.  NAME AND TITLE OF CONTRACTING OFFICER (Type or print)
THOMAS P. HASTINGS

	15B.  CONTRACTOR/OFFEROR
/s/ Derek Bertocci                        
(Signature of person authorized to sign)
	15C.  DATE SIGNED
April 11, 2014
	16B.  UNITED STATES OF AMERICA
/s/ Thomas P. Hastings             
(Signature of Contracting Officer)
	16C.  DATE SIGNED
4/14/14

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

	
									
	CONTINUATION SHEET
	REFERENCE NO. OF DOCUMENT BEING CONTINUED
HHSO100201000046C/0014
	PAGE      OF

	2
	2

	NAME OF OFFEROR OR CONTRACTOR
ACHAOGEN, INC. 1361331

	ITEM NO.
(A)
	SUPPLIES/SERVICES
(B)
	QUANTITY
(C)
	UNIT
(D)
	UNIT PRICE
(E)
	AMOUNT
(F)

	 
	December 2014, at no additional cost to the Government.
3.This is a no cost modification.  The total amount and all other terms and conditions of contract number HHSO100201000046C remain unchanged.
FOB:  Destination
Period of Performance:  09/19/2010 to 11/15/2017
Change Item 1 to read as follows (amount shown is the obligated amount):

	1
	Stage 1 Non-clinical PK/PD studies, Clinical 
PK/PD studies, PK/PD modeling, Manufacturing 
activities, Non-clinical and clinical safety
	0.00

	 
	Accounting Info:
2010.1990087.25106 Appr. Yr.:  2010 CAN:  1990087 Object Class:  25106
Funded:  $0.00
Change Item 2 to read as follows (amount shown is the obligated amount):

	2
	Option Period 1:  Stage 2 Non-clinical PK/PD
studies, Clinical PK/PD studies, PK/PD modeling,
Manufacturing activities, Non-clinical and
clinical safety, Non-clinical NHP studies, Process Validation
Accounting Info:
2012.1992002.25106 Appr. Yr.:  2012 CAN:  1992002 Object Class:  25106
Funded:  $0.00
	0.0010-K/A Exhibit 10.3(N)

Exhibit 10.3(N)
	
																		
	AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT
	1.  CONTRACT ID CODE
	PAGE OF PAGES

	1
	2

	2.  AMENDMENT/MODIFICATION NO.
0015
	3.  EFFECTIVE DATE
See Block 16C
	4.  REQUISITION/PURCHASE REQ. NO.
N/A.
	5.  PROJECT NO. (If applicable)

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

	ASPR-BARDA
200 Independence Ave., S.W.
Room 640-G
Washington DC  20201
	ASPR-BARDA
200 Independence Ave., S.W.
Room 638-G
Washington DC  20201

	8.  NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP Code)
	(X)
	9A.  AMENDMENT OF SOLICITATION NO.

	ACHAOGEN, INC. 1361331
ACHAOGEN, INC.            7000 SHORELINE
7000 SHORELINE CT STE 371
SOUTH SAN FRANCISCO CA  940801957
	 

	9B.  DATED (SEE ITEM 11)

	X
	10A.  MODIFICATION OF CONTRACT/ORDER NO.
HHSO100201000046C

	CODE 1361331
	FACILITY CODE
	10B.  DATED (SEE ITEM 13)
09/01/2010

	11.  THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS

	o 
	The above numbered solicitation is amended as set forth in Item 14.  The hour and date specified for receipt of Offers
	o is extended
	o 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)
N/A.

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

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

	 

	X
	B.THE ABOVE NUMBERED CONTRACT/ORDER IS MODIFIED TO REFLECT THE ADMINISTRATIVE CHANGES (such as changes in paying office, 
appropriation date. etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

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

	 
	D.OTHER (Specify type of modification and authority)

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

	14.  DESCRIPTION OF AMENDMENT/MODIFICATION (Organized by UCF section headings, including solicitation/contract subject matter where feasible.)
Tax ID Number:  68-0533693
DUNS Number:  167293153
A.The purpose of this modification is to incorporate the following changes into the contract:
1.All references in the contract to the Alternate Contracting Officer’s Representative (COR) are hereby deleted and replaced with the following:
Alternate COR:
Melissa Stundick, Ph.D.
Continued...

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

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

	15B.  CONTRACTOR/OFFEROR
                                           
(Signature of person authorized to sign)
	15C.  DATE SIGNED
	16B.  UNITED STATES OF AMERICA
/s/ Ethan J. Mueller               
(Signature of Contracting Officer)
	16C.  DATE SIGNED
5/12/14

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

	
									
	CONTINUATION SHEET
	REFERENCE NO. OF DOCUMENT BEING CONTINUED
HHSO100201000046C/0015
	PAGE      OF

	2
	2

	NAME OF OFFEROR OR CONTRACTOR
ACHAOGEN, INC. 1361331

	ITEM NO.
(A)
	SUPPLIES/SERVICES
(B)
	QUANTITY
(C)
	UNIT
(D)
	UNIT PRICE
(E)
	AMOUNT
(F)

Acting Branch Chief Broad Spectrum Antimicrobials
Division of CBRN Countermeasures
Biomedical Advanced Research & Development Authority (BARDA)
Office of Secretary for Preparedness & Response (ASPR)
Department of Health and Human Services
Mailing Address:
330 Independence Avenue, S.W. Room 640 G
Washington, D.C.  20201
Office:  202-205-7479
Email:  Melissa.Stundick@HHS.Gov
		
	B.
	This is a unilateral, administrative, no cost modification.  The total contract amount and all other terms and conditions remain unchanged.

Period of Performance:  09/19/2010 to 11/15/2017

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