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© 1999 American Society for Clinical Oncology Phase I Study in Cancer Patients of a Replication-Defective Avipox Recombinant Vaccine That Expresses Human Carcinoembryonic AntigenFrom the Georgetown University Medical Center, Vincent T. Lombardi Cancer Center, Washington, DC; and Laboratory of Tumor Immunology and Biology, Division of Basic Science, National Cancer Institute, National Institutes of Health, Bethesda, MD. Address reprint requests to John L. Marshall, MD, Lombardi Cancer Center, 3800 Reservoir Rd, NW, Washington, DC 20007.
PURPOSE: A phase I clinical trial in patients with advanced carcinoma was conducted, using a replication-defective avipox vaccine containing the gene for the human carcinoembryonic antigen (CEA). The canarypox vector, designated ALVAC, has the ability to infect human cells but cannot replicate. PATIENTS AND METHODS: The recombinant vaccine, designated ALVAC-CEA, was administered intramuscularly three times at 28-day intervals. Each cohort of six patients received three doses of either 2.5 x 105, 2.5 x 106, or 2.5 x 107 plaque-forming units of vaccine. RESULTS: The vaccine was well tolerated at all dose levels and no significant toxicity was attributed to the treatment. No objective antitumor response was observed during the trial in patients with measurable disease. Studies were conducted to assess whether ALVAC-CEA had the ability to induce cytolytic T-lymphocyte (CTL) responses in patients with advanced cancer. Peripheral blood mononuclear cells (PBMCs) from patients with the MHC class I A2 allele were obtained before vaccine administration and 1 month after the third vaccination. Peripheral blood mononuclear cells were incubated with the CEA immunodominant CTL epitope carcinoembryonic antigen peptide-1 and interleukin 2 and quantitated using CTL precursor frequency analysis. In seven of nine patients evaluated, statistically significant increases in CTL precursors specific for CEA were observed in PBMCs after vaccination, compared with before vaccination. CONCLUSION: These studies constitute the first phase I trial of an avipox recombinant in cancer patients. The recombinant vaccine ALVAC-CEA seems to be safe and has been demonstrated to elicit CEA-specific CTL responses. These studies thus form the basis for the further clinical exploration of the ALVAC-CEA recombinant vaccine in phase I/ II studies in protocols designed to enhance the generation of human T-cell responses to CEA.
CARCINOEMBRYONIC ANTIGEN (CEA) is a glycoprotein of 180,000 molecular weight found in normal fetal colon. In the human adult, CEA and other members of its family have been found in normal colonic mucosa, saliva, feces, serum, and colonic lavages.1 However, CEA is overexpressed in virtually all adenocarcinomas of the colon and rectum and is present on most adenocarcinomas of the breast, lung, pancreas, and other regions of the gastrointestinal tract.2-4 In many colorectal carcinomas and in carcinomas at other sites, CEA is produced in high quantities and is measurable in the serum.5 Because of this, CEA has become one of the most widely used serologic markers of malignancy, particularly in patients with colorectal cancer. Carcinoembryonic antigen is a member of the immunoglobulin superfamily and is theorized to be an intercellular recognition and adhesion molecule.6 These molecules are thought to determine the specificity of cell to cell or cell to substrate interactions and therefore may have a role in invasion and metastasis. However, CEA expression or upregulation has not been found to predict tumor behavior reliably or to correlate with cellular differentiation.7,8 Carcinoembryonic antigen and other related molecules (eg, nonspecific cross-reacting antigen) have been mapped to the short and the long arms of chromosome 19.9 Although CEA is overexpressed in most adenocarcinomas, it is a normal antigen that is expressed during fetal development as well as in low levels in the gut crypts and healing intestinal mucosa. Therefore, it is not surprising that there is little if any immune response to it when it is overexpressed on cells and/or when it is shed into the serum. Although the sera of some patients have been reported to contain CEA-immunoglobulin complexes, circulating levels of CEA in the thousands of nanograms per milliliter are tolerated in cancer patients without immune complex deposition syndromes or other evidence of immune-mediated activity.10 Carcinoembryonic antigen as an immunologic target has been the focus of many researchers.11-16 A recombinant vaccinia (rV) virus has been developed that contains in its genome and expresses in infected cells the CEA gene and gene product. In a preclinical model, the rV-CEA vaccine has been demonstrated to protect immunologically intact mice against the challenge of the CEA-transduced tumor cells and to reduce or eliminate the growth of established tumors.17 The safety of this agent in nonhuman primates has also been established.18 In a phase I clinical trial,11 the safety of this vaccine construct was demonstrated in cancer patients but no significant antineoplastic effect was shown. Possible reasons for the lack of clinical efficacy in this trial were the prior exposure to the vaccinia virus in all patients treated, which led to the development of antivaccinia immune responses on repeated dosings of the vaccine; the advanced state of tumors in patients; and potentially decreased immune status of patients due to prior chemotherapy regimens. The phase I clinical trial using rV-CEA did demonstrate, for the first time, that CEA-specific cytolytic T-lymphocyte (CTL) responses could be elicited in humans through administration of a vaccine.11,19 As a consequence of the studies, a CEA immunodominant CTL epitope has been identified. This 9-mer amino acid (YLSGANLNL) was shown to bind to HLA-A2 class I and has been designated carcinoembryonic antigen peptide-1 (CAP-1). Several subsequent studies have also demonstrated the ability of CAP-1 to elicit CEA-specific human CTL responses.16,19,20 Moreover, stable CTL lines derived by culture of peripheral blood mononuclear cells (PBMCs) from rV-CEAvaccinated patients with CAP-1 and interleukin (IL)-2 have recently been described.19 ALVAC, a member of the avianpox virus family, offers a potential alternative to the use of vaccinia as a vector or may be used in combination with vaccinia recombinants in diversified prime-and-boost immunization protocols.21 In contrast to vaccinia virus, which infects mammalian cells, replicates, and can then go on to infect other cells, ALVAC undergoes abortive replication in mammalian cells. It infects cells, expresses its transgene product(s) for 14 to 21 days, and then is unable to infect other cells.22 Therefore, systemic infections would not be possible as with vaccinia. Second, humans are unlikely to have had prior exposure to this virus. In a similar preclinical model, the protective and antitumor activity of the ALVAC-CEA vaccine has been demonstrated in immunologically competent mice.21 The safety of this vector has been documented in human trials against infectious diseases and in severely immunocompromised mice.23,24 The evidence given here thus justifies a clinical study of ALVAC-CEA in humans with incurable CEA-positive tumors.
Patient Eligibility To be eligible for this phase I trial, patients had to meet the following criteria: advanced, incurable malignancy (patients with stage IV malignancy but without radiographic evidence of disease were eligible); serum CEA level at least 10 ng/mL at some point in the past or tumor that stained positively for CEA by immunohistochemical techniques; age at least 18 years; anticipated survival of 6 months; ability to give informed consent; performance status (Eastern Cooperative Oncology Group) 0 or 1; WBC count at least 3,000/µL, absolute neutrophil count at least 1,500/µL, and platelet count at least 100,000/µL; prothrombin time and partial thromboplastin time within normal ranges; normal serum creatinine level or creatinine clearance at least 60 mL/min; adequate immunologic function, defined by normal delayed-type hypersensitivity, normal CD4:CD8 ratio (> 1), or normal immunoelectrophoresis; human immunodeficiency virus seronegativity; no other diagnoses of altered immune function; no prior radiation to more than 50% of all nodal groups; and no concurrent use of steroids. Contraindications to enrollment included history of another malignancy in the past 2 years, prior radiation to the pelvis, recent major surgery, pregnancy or lactation, serious intercurrent illness, and clinically evident brain metastasis.
Treatment
Vaccine Preparation
Immunologic Monitoring Methods: Precursor Frequency Analyses
Limiting dilution assays25 were used to determine the CTL precursor frequency to CAP-1 in the prevaccination and postvaccination PBMCs from HLA-A2positive patients. Various numbers of PBMCs were seeded into 96-well flat-bottom plates (Corning Costar, Cambridge, MA), with 104 autologous PBMCs irradiated with 4,000 rads and incubated with 50 µg/µL of CAP-1. At least 48 cultures were set up for each dilution of PBMCs. Cultures were incubated for 5 days with CAP-1 at 37°C in a humidified atmosphere containing 5% CO2. The cultures were then supplemented with recombinant IL-2 (10 Cetus units/mL) for 11 days, with IL-2 medium replenished every 3 days. The 5 days of incubation with peptide plus the 11 days with IL-2 constituted one in vitro stimulation cycle. After two in vitro stimulation cycles, the CTL activity was tested for each well against C1R-A2 target cells with and without incubation with CAP-1, using the procedure described earlier, with one exception: unlabeled K562 cells were added to each assay at a ratio of 10 unlabeled K562 cells to one target cell, to eliminate the natural killer cell activity. Precursor frequencies were calculated by
Twenty patients were accrued for this trial. Patient characteristics are listed in Table 1. Seven patients received ALVAC-CEA at doses of 2.5 x 105 pfu (dose level 1), seven at doses of 2.5 x 106 pfu (dose level 2), and six at doses of 2.5 x 107 pfu (dose level 3). One additional patient was accrued at dose levels 1 and 2, because two patients had to be taken out of the study after only a single vaccination for rapidly progressing disease. Patient no. 20 completed only two of the three injections secondary to disease progression and was not replaced, because sufficient toxicity data had been obtained from the other five patients treated in this cohort. All other patients received all three vaccine injections. Approximately 40 patients were screened for this trial but were ineligible, primarily because of being HLA-A2 negative.
Toxicity
Clinical Response
Immunologic Responses A statistically significant increase in CTL precursors (as measured by the Student's paired t test) after ALVAC-CEA immunization, compared with before immunization, was seen for PBMCs from two of three patients who were immunized at dose level 1. For example, the CTL precursor frequency of PBMCs obtained from patient no. 6 (who had pancreatic cancer) was one in 37,434 after immunization, compared with one in 126,110 before immunization. All three patients who received the vaccine at dose level 2, and two of three patients who were vaccinated at dose level 3, had statistically significant increases in CTL precursors after vaccination, compared with before vaccination. Two patients (patient no. 5, vaccinated at dose level 1; and patient no. 18, vaccinated at dose level 3) showed slight increases in precursor frequencies after immunization, but these increases were not statistically significant (P > .2) (Table 4).
This phase I study demonstrated the safety of ALVAC-CEA administration to patients with advanced carcinomas. The study also demonstrated the ability of ALVAC-CEA to induce CEA-specific CTL responses in patients with advanced, CEA-expressing carcinoma. No objective evidence for an anticancer response was seen, apart from the normalization of the CEA level in patient no. 16. Although seven of nine HLA-A2positive patients showed increases in CEA-specific CTL precursors, there was no obvious dose response (ie, patients receiving the higher dose of ALVAC recombinant did not seem to have higher levels of CTL precursors). The reason remains unclear at this time, but the following possible explanations exist: (a) 2.5 x 105 pfu (dose level 1) of ALVAC-CEA is sufficient to induce CTL responses and higher doses are superfluous; (b) there were not enough patients in each cohort (only three patients per group); (c) vaccine was administered to a heterogeneous population, which included patients with colorectal carcinoma, carcinoma of the pancreas, cervix, or stomach, or unknown primary tumor; and (d) some patients with advanced cancer may be unable to respond to such therapy because of pre-existing immune suppression. The last possibility is supported by the finding of low absolute CD4 and CD8 counts in patients no. 5 and no. 18, who also failed to show improvement in precursor frequencies (Table 2). These factors, as well as others, may have influenced the immune response in our patients. In the studies reported here, our intent was to assay for CTL responses. To do this, we used a 9-mer peptide that has previously been shown to bind to MHC class I (A2 allele).11 The CAP-1 epitope seems unrelated to determinants recognized by B cells. Carcinoembryonic antigen peptide-1 is at amino acid position 571579 at CEA, toward the 3' end, not at the N-terminal domain; it is in the B3 domain. Soluble CEA was not used because it processes through the MHC class II pathway and would monitor efficiently not for CTL responses but for lymphoproliferative responses. Other parts of the CEA molecule also contain CTL determinants. We and others have previously shown that HLA-A3 and HLA-A24 determinants also exist. In the future, mixtures of these peptides for different determinants could be used. Moreover, CAP-1 is not the only HLA-A2 determinant on CEA. We have shown that there are six others, but CAP-1 is the strongest binder to HLA-A2 and produced the best results in terms of CTL responses.11 Use of the ALVAC-CEA vaccine is not limited to the 50% of the population that is positive for HLA-A2. As discussed earlier in this article, other alleles are present, which in combination with HLA-A2 account for almost 90% of the population. A limitation of our study is that monitoring, using CAP-1, was done only for HLA-A2positive patients. This peptide was used to clearly define a proof of the concept that CTL responses to CEA could be induced with ALVAC-CEA. The fact that we were unable to monitor the degree of response in patients negative for HLA-A2 does not mean there was no clinical response in these patients. Efforts to expand the number of monitoring tools are ongoing. Carcinoembryonic antigen is an oncofetal antigen that is expressed during fetal development as well as in normal colonic mucosa. Thus, induction of an immune response to such a "self-antigen" was previously thought improbable. The studies reported here that used ALVAC-CEA recombinant add more evidence for the potential immunogenicity of CEA and more support for the use of CEA as a target for immunotherapy. A previous clinical study involving a vaccinia-CEA recombinant11 and an ongoing clinical trial using CAP-1pulsed dendritic cells (Deng et al, manuscript in preparation) have demonstrated the induction of CEA-specific CTL responses. Moreover, other immunogenssuch as an anti-idiotype monoclonal antibody to an anti-CEA monoclonal antibody12 and recombinant CEA protein13,14have shown induction of both CEA-specific antibody and proliferative T-cell responses. In vitro studies have also recently shown induction of human CTL responses to CEA.16,19,20
The level of precursors induced in this phase I study of ALVAC-CEA was relatively low. This could have been due to at least one of several factors. Because this was a phase I study, the low precursor frequency observed could have been caused by (a) the lowered immune status of the patients, which has been demonstrated both through a decrease in the Previous preclinical studies have shown that the combination of ALVAC-CEA as a boost, with rV-CEA as a primary immunization, was better at inducing T-cell responses than was the use of ALVAC-CEA or rV-CEA alone.22 Preclinical studies with rV-CEA also showed that local administration of granulocyte-macrophage colony-stimulating factor at the immunization site, or systemic administration of low-dose IL-2 after rV-CEA vaccination, also enhanced CEA-specific T-cell responses27 (Greiner et al, manuscript in preparation). Recently, we initiated a clinical trial to determine the validity of heterologous immunization (ie, rV-CEA followed by ALVAC-CEA immunization) as well as of the use of granulocyte-macrophage colony-stimulating factor and IL-2 as biologic adjuvants for recombinant vaccines. Furthermore, studies have recently been initiated on the use of a recombinant ALVAC dual-transgene vector expressing the genes for both CEA and the human T-cell costimulatory molecule B7.1. We have reported the first use of an ALVAC recombinant in an anticancer vaccine setting, and we believe our findings validate the use of this recombinant to induce immune responses in cancer patients more efficiently.
Supported by grant nos. U01 CA62500 and 2 P30 CA51008 from the National Cancer Institute
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Copyright © 1999 by the American Society of Clinical Oncology, Online ISSN: 1527-7755. Print ISSN: 0732-183X
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