CONFIDENTIAL TREATMENT REQUESTED
Exhibit 10.1
CONFIDENTIAL TREATMENT REQUESTED
CONFIDENTIAL PORTIONS OF THIS DOCUMENT HAVE BEEN REDACTED AND HAVE BEEN SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION. INFORMATION THAT WAS OMITTED IN THE EDGAR VERSION HAS BEEN NOTED IN THIS DOCUMENT WITH A PLACEHOLDER IDENTIFIED BY THE MARK “[***]”.
| AMENDMENT OF SOLICITATION/MODIFICATION OF CONTRACT | 1. CONTRACT ID CODE | PAGE OF PAGES 1 | 2 | ||||||||||||||
| 2. AMENDMENT/MODIFICATION NO. 0002 | 3. EFFECTIVE DATE 02/17/2016 | 4. REQUISITION/PURCHASE REQ. NO.
| 5 PROJECT NO, (If applicable)
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| 6. ISSUED BY | CODE | ASPR-BARDA | 7. ADMINISTERED BY (If other than Item 6) | CODE | ASPR-BARDA01 | |||||||||||
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ASPR - BARDA 200 Independence Ave., S.W. Room 640-G Washington DC 20201
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ASPR—BARDA 330 Independence Ave, SW, Rm G644 Washington DC 20201 | |||||||||||||||
| 8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP code
PFENEX, INC 10790 ROSELLE ST SAN DIEGO CA 921211718 | (x) | 9A. AMENDMENT OF SOLICITATION NO. | ||||||||||||
| 9B. DATED (SEE ITEM 11)
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| x | 10A. MODIFICATION OF CONTRACT/ORDER NO. HHSO100201500011C
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| 10B. DATED (SEE ITEM 13) | ||||||||||||||
| CODE 1358378 | FACILITY CODE
| 08/14/2015
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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. | ||
| 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 Pfenex — RPA563 and Px563L Advanced Development LIST OF CHANGES: Reason for Modification: Other Administrative Action
1. Update key personnel in Article G.3 Key Personnel
2. ARTICLE 6.5. INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING Discount Terms: NET 30P Period of Performance: 08/14/2015 to 08/09/2020 | ||
| 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) PATRICK LUCY CBO | 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print) WENDELL CONYERS | |||||
| 15B. CONTRACTOR/OFFEROR | 15C. DATE SIGNED | 16B. UNITED STATES OF AMERICA
| 16C. DATE SIGNED | |||
| /s/ Patrick Lucy | 2/19/16 | /s/ Wendell Conyers | ||||
| (Signature of person authorized to sign) | (Signature of Contracting Officer) | 2-20-2016 | ||||
| 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. |
CONFIDENTIAL TREATMENT REQUESTED
CONFIDENTIAL PORTIONS OF THIS DOCUMENT HAVE BEEN REDACTED AND HAVE BEEN SEPARATELY FILED WITH THE SECURITIES AND EXCHANGE COMMISSION. INFORMATION THAT WAS OMITTED IN THE EDGAR VERSION HAS BEEN NOTED IN THIS DOCUMENT WITH A PLACEHOLDER IDENTIFIED BY THE MARK “[***]”.
| Contract No. HHS0100201500011C Modification #02 | Continuation Sheet Block 14 | Page 2 of 2 |
SUMMARY OF CHANGES
| 1. | Update key personnel in Article G.3 Key Personnel: |
Change PI:
From: [***]
To: [***]
ARTICLE G.3. KEY PERSONNEL
The key personnel specified in this contract are considered to be essential to work performance. At least 30 days prior to diverting any of the specified individuals to other programs or contracts (or as soon as possible, if an individual must be replaced, for example, as a result of leaving the employ of the Contractor), the Contractor shall notify the Contracting Officer and shall submit comprehensive justification for the diversion or replacement request (including proposed substitutions for key personnel) to permit evaluation by the USG of the impact on performance under this contract. The Contractor shall not divert or otherwise replace any key personnel without the written consent of the Contracting Officer. The USG may modify the contract to add or delete key personnel at the request of the Contractor or USG.
The following individuals are considered to be essential to the work being performed hereunder:
| Name | Title | |
| [***] | PI and Project Leader | |
| [***] | Chief Medical Officer | |
| [***] | Project Management |
| 2. | ARTICLE G.5. INVOICE/FINANCING REQUEST AND CONTRACT FINANCIAL REPORTING |
Include PSC in Receipt of Invoices:
Documents should be delivered electronically to the Contracting Officer (CO), the Contracting Officer’s Representative (COR), PSC, and e-Room electronically. Unless otherwise specified by the Contracting Officer all deliverables and reports furnished to the Government under the resultant contract (including invoices) shall be addressed as follows:
| Wendell Conyers Contracting Officer HHS/ASPR/AMCG 330 Independence Avenue, S.W., Room G640 Washington, DC 20201 Email: ***@*** | Daniel Wolfe Contracting Officer Representative HHS/ASPR/BARDA 330 Independence Avenue, S.W., Room G640 Washington, DC 20201 Email: ***@***
| Email invoices to:
***@***
e-Room (Invoice and supporting documentation) |
| [***] | 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. |
