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© 2001 American Society for Clinical Oncology Cationic Liposome-Mediated E1A Gene Transfer to Human Breast and Ovarian Cancer Cells and Its Biologic Effects: A Phase I Clinical TrialByFrom the Departments of Breast Medical Oncology, Molecular and Cellular Oncology, Blood and Marrow Transplantation, Gynecological Oncology, Thoracic Surgery, Pathology, and Bioimmunotherapy, and Section of Immunobiology and Drug Carriers, The University of Texas M.D. Anderson Cancer Center, Houston; RGene Therapeutics, Inc, Woodlands, TX; Department of Internal Medicine, Medical Oncology, Rush-Presbyterian St Lukes Medical Center, Chicago, IL; Department of Pharmacology, University of Pittsburgh School of Medicine, Pittsburgh, PA; and Section of Hematology/Oncology, Virginia Mason Medical Center, and Targeted Genetics Corp, Seattle, WA. Address reprint requests to Gabriel N. Hortobagyi, MD, Department of Breast Medical Oncology, The University of Texas M.D. Anderson Cancer Center, 1515 Holcombe Blvd, Box 56, Houston, TX 77030; email: ghorto{at}notes.mdacc.tmc.edu
PURPOSE: Preclinical studies have demonstrated that the adenovirus type 5 E1A gene is associated with antitumor activities by transcriptional repression of HER-2/neu and induction of apoptosis. Indeed, E1A gene therapy is known to induce regression of HER-2/neuoverexpressing breast and ovarian cancers in nude mice. Therefore, we evaluated the feasibility of intracavitary injection of E1A gene complexed with DC-Chol cationic liposome (DCC-E1A) in patients with both HER-2/neuoverexpressing and low HER-2/neuexpressing breast and ovarian cancers in a phase I clinical trial. PATIENTS AND METHODS: An E1A gene complexed with DCC-E1A cationic liposome was injected once a week into the thoracic or peritoneal cavity of 18 patients with advanced cancer of the breast (n = 6) or ovary (n = 12). RESULTS: E1A gene expression in tumor cells was detected by immunohistochemical staining and reverse transcriptasepolymerase chain reaction. This E1A gene expression was accompanied by HER-2/neu downregulation, increased apoptosis, and reduced proliferation. The most common treatment-related toxicities were fever, nausea, vomiting, and/or discomfort at the injection sites. CONCLUSION: These results argue for the feasibility of intracavitary DCC-E1A administration, provide a clear proof of preclinical concept, and warrant phase II trials to determine the antitumor activity of the E1A gene.
LABORATORY STUDIES have shown that overexpression of HER-2/neu, also known as c-erbB2 (which encodes a 185-kd protein with tyrosine kinase activity), enhances tumorigenicity, metastasis, and resistance to chemotherapeutic agents,1-4 and clinical data indicate that patients with HER-2/neuoverexpressing breast and ovarian cancers have a poor prognosis.5,6 The adenovirus type 5 E1A gene encodes a phosphonuclear protein (transcriptional factor) that is the first viral gene product expressed in host cells after adenoviral infection. This factor in turn activates viral gene transcription and reprograms the hosts cellular gene expression to allow efficient propagation of adenovirus in the host cells.7,8 E1A has also been found to inhibit HER-2/neu expression in both rodent and human cancer cells through transcriptional repression of the HER-2/neu promoter.9-11 In this light, we previously investigated whether E1A might function as a tumor suppressor gene by repressing HER-2/neu overexpression in HER-2/neuoverexpressing cancer cells. In brief, we found that transfecting the E1A gene into genomic HER-2/neu oncogene-transformed mouse embryo fibroblast cell lines or HER-2/neuoverexpressing human ovarian cancer cell lines repressed HER-2/neu overexpression and virtually abolished the tumorigenic and metastatic potential of these cell lines.12-14 In addition, we found that the E1A gene delivered via a novel cationic liposome suppressed tumor growth and prolonged the disease-free survival of tumor-bearing mice in orthotopic models of ovarian and breast cancer.15,16 The novel cationic liposome was prepared by combining a cationic derivative of cholesterol, 3-beta-[N-(N',N'-dimethylaminoethane)-carbamoyl] cholesterol (DC-Chol), with 1,2-dioleoyl-sn-glycero-3-phosphoethanolamine.17,18 Furthermore, E1A is associated with many functions that can contribute to antitumor activities, including induction of apoptosis, suppression of metastasis-related enzymes, and activation of the host immune system independent of HER-2/neu downregulation.19,20 On the basis of these results, we initiated a phase I trial of E1A gene therapy, in which the adenovirus type 5 E1A complexed with DC-Chol cationic liposome (DCC-E1A) was injected into the thoracic or peritoneal cavity of patients with breast or ovarian cancer. The goals were (1) to determine the maximum-tolerated dose (MTD) of the complex, (2) to determine if the E1A gene could be delivered into tumor cells by the DC-Chol cationic liposome gene delivery system, and (3) to evaluate the level of HER-2/neu repression as a possible marker of E1A-specific biologic activity. In addition, we evaluated tumor cells for apoptosis and cytokine expression levels that might contribute to the antitumor activity of the E1A gene.
Patients and Work-Up Eighteen patients with metastatic breast cancer (n = 6) or recurrent or metastatic ovarian cancer (n = 12) underwent E1A gene therapy between August 1996 and January 1998. This protocol was approved by the institutional review board of each institution involved in this trial, the National Institutes of Health Recombinant DNA Advisory Committee, and the United States Food and Drug Administration. All patients provided written, informed consent. Eligibility criteria included histologically confirmed recurrent or metastatic carcinoma of the breast or the ovary that had not experienced improvement on either conventional chemotherapy or hormonal therapy. Patients had to be at least 18 years of age, have a Zubrod performance status of less than 4, and have adequate organ function (serum creatinine < 1.5 mg/dL; total bilirubin, AST, and ALT < three times the upper limit of normal). Patients should not have received any anticancer therapy for at least 3 weeks before initiating the E1A gene therapy. Patients with breast cancer were required to have a tumor that overexpressed HER-2/neu (ie, a tumor in which more than 10% of the cells exhibited the HER-2/neu signal and in which the signal intensity was stronger than 1+).21
DCC-E1A Administration
Toxicity and Response Criteria Disease progression was evaluated in terms of partial remission, stable disease (SD), or progression of disease (PD). Partial remission was defined as a more than 50% reduction in the sum of the products of the two greatest perpendicular diameters of each measurable lesion. SD was defined as a less than 25% increase or less than 50% reduction in the sum. PD was defined as the appearance of new lesions or a more than 25% increase in the sum. Patients were taken off the study if PD was confirmed or if they had severe grade 4 or irreversible grade 3 toxicities. All data were updated through January 22, 1998.
Immunohistochemical Staining
Reverse TranscriptasePolymerase Chain Reaction
Counting Tumor Clumps
Terminal Deoxynucleotidyl TransferaseMediated Deoxyuridine Triphosphate-Biotin Nick End-Labeling Assay
Cytokine Assay
Patient and Treatment Characteristics A total of 18 heavily pretreated women who had either breast cancer (n = 6) or ovarian cancer (n = 12) were included in this trial (Table 1). The median patient age was 55 years (range, 34 to 73 years) and the median Zubrod performance status was 2 (range, 0 to 3). All 18 patients had either metastatic or recurrent disease that had progressed after multiple treatments (surgery, chemotherapy, and/or hormonal therapy) before DCC-E1A administration. The median number of previous chemotherapy regimens per patient was three (range, one to six); in five patients, their treatment had included high-dose chemotherapy with autologous transplantation. In 12 patients (six with breast tumors and six with ovarian tumors), the tumor overexpressed HER-2/neu. To allow for biologic assays before and after administration of DCC-E1A complex, patients consented to undergo multiple samplings of ascites or pleural effusions.
Patients were continuously monitored for the appearance of toxicities and evaluated for disease response every two cycles or as clinically indicated. The treatment was continued until the appearance of either severe toxicities or disease progression in the manner defined in the Patients and Methods section. The E1A plasmid was given at three doses to consecutive cohorts of patients: 1.8 mg/m2 (n = 6 patients), 3.6 mg/m2 (n = 7 patients), and 7.2 mg/m2 (n = 5 patients). A median of six total injections (range, one to eight) were given over two cycles, and the median cumulative dose of E1A plasmid was 10.8 mg/m2 (range, 5.4 to 32.4 mg/m2).
Toxicity and Clinical Outcome
Even though clinical response was not an end point in this trial, SD at the injection sites and improved performance status were noted in three patients (nos. 2, 3, and 6) after two cycles of E1A gene therapy. However, none of the three patients could proceed to a third cycle: two experienced disease progression beyond the injection sites (nos. 2 and 6) and the other patient experienced a catheter-induced infection (no. 3). Furthermore, transient decreases in levels of tumor markers (CEA, CA 27-29, or CA-125) were noted in five patients (nos. 3, 4, 10, 11, and 12). Patient no. 3 was a 39-year-old white woman who experienced recurrent metastatic breast cancer after high-dose chemotherapy and autologous transplantation. The recurrence of disease in her right thoracic cavity with accompanying pleural effusion was manifested by the presence of a nonproductive cough accompanied by pleuritic chest pain and elevated serum CEA and CA 27.29 levels. After receiving two cycles of E1A gene therapy, she showed a significant improvement in breathing, accompanied by the disappearance of the pleuritic chest pain. In addition, her elevated CEA and CA 27.29 levels in serum and CEA level in the pleural fluid returned to normal over the two cycles. However, she could not continue her treatment because her site of injection became infected 1 week before she was to begin her third treatment cycle.
Expression of E1A and Repression of HER-2/neu
After injection of DCC-E1A complex, adjoining sections of the tumor cells were immunohistochemically stained to reveal HER-2/neu and E1A and then analyzed for the distribution of E1A gene expression in those HER-2/neuoverexpressing tumor cells. While HER-2/neu downregulation was seen in tumor cells that expressed E1A (Fig 2A), E1A gene expression was detected in both the cytoplasm and nucleus of tumor cells after just a single injection of the DCC-E1A complex. Further, the E1A signal was detected in tumor cells as well as nontumor cells, such as mesothelial cells, macrophages, and lymphocytes.
In addition, the distribution of E1A gene expression was analyzed by using the RT-PCR with two different sets of primers (second set of primer data not shown). The RNA used for RT-PCR was extracted from autopsied multiple organ sites 2 weeks after the last injection of the DCC-E1A complex into the right thoracic cavity of patient no. 1 (the cumulative dose was 5.4 mg/m2). E1A mRNA was detected in multiple organs (ie, lung, liver, and kidney) and in metastatic tumors, but not in brain, ovary, or primary breast tumors (Fig 2D). The absence of mRNA in the ovary was consistent with the results of our previous preclinical experiments in nude mice.24
Enhanced Apoptosis and Reduced DNA Replication
To further address whether an immunologic mechanism might have contributed to decreased cell proliferation or increased percentage of apoptotic cells, we measured different immunologic markers. These markers included lymphocyte subsets (CD3, CD4, CD8, and CD56) and the levels of IFN- and TNF- in the supernatants of the intracavitary fluids over time. These supernatants originated from the same samples that were analyzed for HER-2/neu expression, apoptosis, and Ki-67 analysis. IFN- was examined because it is known to inhibit the proliferation of tumor cells and undergo increased expression in response to injection of DNA/DC-Chol complexes; TNF- was examined because it is known to sensitize E1A-transfected cells to apoptotic signals.25-28 Analysis revealed some increase in the levels of IFN- after delivery of the DCC-E1A complex but no correlation between this increase and suppression of proliferation (data not shown). There was no change in the subsets of lymphocytes in the intracavitary fluid (data not shown). In contrast, the TNF- level was significantly elevated in patients no. 2, 3, and 7 (Fig 4). Interestingly, patients no. 2 to 4 and 7 had the most significant increases in percentage of apoptotic cells and in levels of TNF- after delivery of the DCC-E1A complex. Furthermore, patients no. 2 and 3 had clinical SD at the actual site of DCC-E1A complex injection (Table 3, Fig 4C).
In a phase I trial of DCC-E1A administration, we defined the MTD as 3.6 mg/m2 of E1A plasmid complexed with DC-Chol cationic liposome and showed that the E1A gene can be delivered via this system to both tumor and nontumor cells. Furthermore, we showed that HER-2/neu overexpression can be downregulated in HER-2/neuoverexpressing tumor cells after the transfected E1A gene is expressed.
Because preclinical toxicity studies had shown no major or minor toxicity after the delivery of a cumulative dose 40 times higher than the equivalent dose given in our trial,22 we classified any toxicity observed in our trial as either related, probably related, possibly related, or unrelated to the DCC-E1A administration at the time the toxicity developed. In many cases, it was difficult to distinguish between symptoms caused by toxicities related to DCC-E1A administration and those from underlying disease progression. Consequently, to ensure the safety of our future studies, we included all toxicities in determining our final MTD except those toxicities that we firmly considered to be unrelated to E1A gene therapy. Within 3 hours after the initial injection, severe nausea, vomiting, and pain at the injection site occurred at the 7.2-mg/m2 dose level, and fever occurred at all dose levels; therefore, we speculate that these toxicities were due to the DCC-E1A complex rather than to E1A gene expression because the transcription and translation of the E1A gene may take more than 3 hours. Further study is required to determine if the DNA/cationic liposome complex is immunogenic or releases inflammatory cytokines such as interleukin-1, TNF- A preclinical E1A gene expression study showed systemic gene expression in an animal model.14 We confirmed this finding by detecting E1A mRNA systemically after injecting the DCC-E1A complex locally (Fig 2b). In fact, this is the first documented evidence that a DNA/cationic liposome complex can survive the in vivo environment to deliver a gene to distant organs. In turn, this suggests that systemic gene delivery via intravenous injection may be feasible in nonviral cationic liposome delivery system.
As shown in preclinical models, E1A exerts its antitumor effects through a variety of mechanisms, including downregulation of HER-2/neu, induction of apoptosis, inhibition of metastasis-related enzymes, and activation of the host immunosurveillance system.19,20,28,29 For the present study, we chose to monitor the HER-2/neuexpression level as a possible marker of E1A-specific biologic activity. Consequently, we observed downregulation of HER-2/neu expression after delivery of the DCC-E1A complex at doses of 1.8 mg/m2 and 3.6 mg/m2. In addition, we wanted to determine to what extent other antitumor mechanisms (eg, apoptosis and immune activation) contributed to the antitumor activity of E1A in primary human tumor cells, and, if they did, what dose of the DCC-E1A complex was required. Consequently, we found that apoptotic cell percentages increased and that proliferation was suppressed after DCC-E1A complex administration. Moreover, TNF- The next immediate step is to determine the antitumor activity of E1A in a phase II trial, the design of which will benefit from what we learned in the phase I trial. Furthermore, E1A is known to sensitize chemotherapeutic agents like paclitaxel30-32; therefore, we are currently conducting a phase I trial which combines E1A and chemotherapeutic agents. The phase I trial was difficult to conduct and complete because (1) the patients enrolled onto it had been heavily pretreated before E1A gene therapy and had bulky disease, and (2) HER-2/neu overexpression probably contributed to more rapid disease progression; it is known to be a poor prognostic marker. These factors may have contributed to the adverse events that we observed in this trial and could affect the MTD and biologic effect of the DCC-E1A complex. Therefore, in the phase II trial, we are considering including only those patients who are left with minimum residual disease after appropriate cytoreductive measures have been taken. In this way, we will more likely obtain the high E1A-transfection efficiency that is needed to induce antitumor activity.
Partially supported by Targeted Genetic Corporation, the Nellie B. Connally Breast Cancer Research Foundation, National Institutes of Health grant nos. CA58880 and CA60856, and U.S. Army Research grant no. 17-94-J-4315. We thank Jude Richard for his editorial review of the manuscript, Stacey Templin for assisting us with the cytokine assays, Andrew P. Kudelka, MD, and Ralph S. Freedman, MD, for their advice for this clinical trial, David Aboulafia, MD, for clinical care of patients, and Deb Cain for data management at Virginia Mason Medical Center. More importantly, we thank all the patients for their courage, support, and cooperation.
M.C.H. is a paid consultant of and owns stock in Targeted Genetic Corporation.
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Copyright © 2001 by the American Society of Clinical Oncology, Online ISSN: 1527-7755. Print ISSN: 0732-183X
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