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Journal of Clinical Oncology, Vol 22, No 10 (May 15), 2004: pp. 1916-1925 © 2004 American Society of Clinical Oncology. DOI: 10.1200/JCO.2004.09.005 Effect of Dose on Immune Response in Patients Vaccinated With an HER-2/neu Intracellular Domain ProteinBased VaccineFrom the Tumor Vaccine Group, Oncology, University of Washington; Fred Hutchinson Cancer Research Center; and Corixa Corporation, Seattle, WA. Address reprint requests to Mary L. Disis, MD, Tumor Vaccine Group, Oncology, Box 356527, University of Washington, Seattle, WA 98195-6527; e-mail: ndisis{at}u.washington.edu
PURPOSE: To evaluate the safety of an HER-2/neu intracellular domain (ICD) protein vaccine and to estimate whether vaccine dose impacts immunogenicity. PATIENTS AND METHODS: Twenty-nine patients with HER-2/neuoverexpressing breast or ovarian cancer and with no evidence of disease after standard therapy received a low- (25 µg), intermediate- (150 µg), or high-dose (900 µg) HER-2/neu ICD protein vaccine. The vaccine was administered intradermally, monthly for 6 months, with granulocyte-macrophage colony-stimulating factor as an adjuvant. Toxicity and both cellular and humoral HER-2/neuspecific immunity was evaluated. RESULTS: The vaccine was well tolerated. The majority of patients (89%) developed HER-2/neu ICD-specific T-cell immunity. The dose of vaccine did not predict the magnitude of the T-cell response. The majority of patients (82%) also developed HER-2/neuspecific immunoglobulin G antibody immunity. Vaccine dose did not predict magnitude or avidity of the HER-2/neuspecific humoral immune response. Time to development of detectable HER-2/neuspecific immunity, however, was significantly earlier for the high- versus low-dose vaccine group (P = .003). Over half the patients retained HER-2/neuspecific T-cell immunity 9 to 12 months after immunizations had ended. CONCLUSION: The HER-2/neu ICD protein vaccine was well tolerated and effective in eliciting HER-2/neuspecific T-cell and antibody immunity in the majority of breast and ovarian cancer patients who completed the vaccine regimen. Although the dose of vaccine did not impact the magnitude of T-cell or antibody immunity elicited, patients receiving the highest dose developed HER-2/neuspecific immunity more rapidly than those who received the lowest dose.
The HER-2/neu oncogenic protein is a tumor antigen in patients with breast and ovarian cancer.1 Multiple investigations have shown that some cancer patients, whose tumors overexpress the HER-2/neu oncoprotein, have both detectable antibody and T-cell immunity directed against HER-2/neu.2-4 Furthermore, experiments in rodents suggest that the HER-2/neu protein, particularly the intracellular domain (ICD), is a tumor rejection antigen. The generation of an immune response specific for neu ICD will provide animals some protection from a tumor challenge,5 and T cells specific for the ICD will mediate an antitumor response when infused into animals bearing neu-overexpressing tumors.6 For these reasons, several vaccine strategies have been developed to target the HER-2/neu oncogene and are being evaluated for safety and immunogenicity in phase I clinical trials. One of the most common methods of immunizing cancer patients against weakly immunogenic proteins expressed in their tumors is via peptide vaccination. Peptide vaccines are composed of fragments of the tumor antigen specifically designed to elicit HLA class I (cytotoxic T cell) and/or HLA class II (T helper) antigen-specific T-cell responses. Peptide vaccines targeting the HER-2/neu oncogenic protein have been studied extensively in phase I studies and have been found to be both safe and immunogenic.7-9 However, there are disadvantages to the use of peptides as vaccine antigens. Development of peptide vaccines necessitates some preclinical assessment as to the most useful immune response desired, and the choice of epitope must be made before clinical studies.10 Furthermore, peptides are designed for exogenous binding in major histocompatability antigen molecules; therefore, HLA restrictions are of utmost importance in predicting vaccine efficacy. Finally, HLA class Ispecific epitope vaccines, in particular, may require a concomitant T helper response to promote a durable cytotoxic T-cell response.11 Whole protein vaccines are composed of both HLA class I and class II epitopes and are not subject to specific HLA restrictions to predict efficacy. However, little is known about the use of protein-based vaccines to elicit immunity to self tumor antigens, and unlike the case of peptide-based vaccines,12 appropriate immunogenic doses of tumor protein vaccines have not been defined. The study described here is the first clinical trial of a recombinant HER-2/neu ICD proteinbased vaccine designed to stimulate HER-2/neuspecific immunity in patients with HER-2/neuoverexpressing breast and ovarian cancers. The goal of the study was to determine the safety of the approach as well as assess the immunogenicity of the vaccine. Patients were vaccinated in the adjuvant setting after optimal cytoreductive therapy. Recently, the clinical application of cancer vaccines is being focused on patients with minimal disease. Extrapolating from application of active immunization in infectious diseases, vaccines, such as those targeting chicken pox or influenza, are given in the absence of infection and have only limited efficacy if administered after exposure to the pathogen. The goal of vaccination against cancer may be to elicit significant immunologic memory capable of rapidly expanding an antigen-specific T-cell population in the presence of low levels of antigen encountered during cancer onset or early relapse. Indeed, vaccination against cancer may likely only be effective when disease is either absent or below the limit of detection.13 Investigation of recombinant protein vaccines in infectious disease models suggests that the dose of protein administered affects the antigen-specific immune response elicited. Studies were undertaken to evaluate the effect of dose of a recombinant HER-2/neu ICD protein vaccine on the incidence and magnitude of HER-2/neuspecific cellular and antibody immunity generated with active immunization.
Vaccine Formulation and Administration The HER-2/neu ICD construct consisted of amino acids 676 to 1255 of the full-length HER-2/neu. The first 20 amino acids were unrelated to the ICD including an 8x histidine tag followed by a Ser-Ser-Gly linker and an enterokinase site. For this reason, proteins derived from Leishmania major and Mycobacterium tuberculosis were constructed in the same fashion and purified in a similar manner as the HER-2/neu ICD vaccine to be used as negative controls in evaluating immunogenicity. The HER-2/neu ICD protein was produced in Escherichia coli (pet 28 vector; Novagen, Madison, WI; BLRplyS strain) as inclusion bodies by the Alberta Research Council (Edmonton, Canada). The inclusion body pellets were purified, and the final product was frozen at 20°C until formulated (Corixa Corp, Seattle, WA). Disulfide bond formation was minimized by first reducing with 10 mmol/L dithiothreitol before purification followed by a second reduction before dialysis in the final buffer. The material was then stored at 20°C to prevent further oxidation. The material was not chemically modified. The molecular weight of the final product was approximately 80 kd. Sodium dodecyl sulfate-polyacrylamide gel electrophoresis analysis of the final product showed only one band at 80 kd. The final formulation consisted of 500 µg HER-2/neu ICD in 1 mL of 20 mmol/L Tris (pH 9.0), with 5% mannitol and 0.05% Tween-80. Patients were enrolled sequentially to receive intradermal vaccinations monthly for 6 months with 25 µg (low dose), 150 µg (intermediate dose), or 900 µg (high dose) of HER-2/neu ICD protein admixed with 100 µg of granulocyte-macrophage colony-stimulating factor (supplied by Immunex Corp, Seattle, WA) as an adjuvant. The vaccines were administered to the same draining lymph node site for each patient. All subjects received a tetanus toxoid (tt) booster vaccination, as a positive control, within 2 weeks before beginning immunization with the HER-2/neu vaccine. Blood was obtained for assessment of immunologic responses and toxicity evaluations at baseline, 1 month after the first, third, fifth, and sixth vaccinations, 2 to 3 months after completion of the sixth vaccination, and then, if possible, every 3 months for 1 year.
Patient Population
Evaluation of T-Cell Immunity After Vaccination Antigen-specific T-cell proliferation was measured using a modified limiting dilution assay that has been previously described.12 Results are reported as a stimulation index (SI), defined as the mean of 24 experimental wells divided by the mean of 24 control wells. Phytohemagglutinin incubated with patient T cells at a concentration of 5 µg/mL was used as a positive control to assess the ability of T cells to respond to mitogen and resulted in an SI greater than 2 in all cases (data not shown). Patients' peripheral-blood mononuclear cells were evaluated for immunologic response against the following antigens; recombinant HER-2/neu domain proteins, extracellular domain (ECD) and ICD (1 µg/mL),9 tt (5 µg/mL) evaluated as a vaccinated control antigen, and proteins derived from L major and M tuberculosis (1 µg/mL) served as negative control protein antigens for an E coli and vector-related response, having been produced under identical manufacturing methods as the HER-2/neu ICD protein. In addition, because the negative control proteins were manufactured in an identical vector as the HER-2/neu construct, it is likely any immunogenicity elicited by the components involved in purification, such as histidine, would also be detected to these constructs. A reference population of 30 age-matched volunteer donors was used to establish baseline response to the HER-2/neu antigens.9 The mean and standard deviation (SD) of this population was 1.2 ± 0.3 µg/mL for HER-2 ICD and 0.9 ± 0.4 µg/mL for HER-2 ECD. A subset of 10 volunteer donors was assessed for the control proteins, and the mean and SD of this population was 1.0 ± 0.2 µg/mL for L major and 0.8 ± 0.2 µg/mL for M tuberculosis. An SI of more than 2 to antigen defined a positive response (mean and two SDs greater than the reference population). If subjects had an SI of greater than 2 to the HER-2/neu ICD before vaccination, a postvaccination T-cell response was defined as positive if the value was twice the prevaccine value. Patients with a pre-existent immune response to the HER-2/neu protein had to meet this requirement to be included as responders in the analysis.
Evaluation of Antibody Immunity After Vaccination
Evaluation of Antibody Avidity After Vaccination
Statistical Analysis
The HER-2/neu ICD ProteinBased Vaccine Was Well Tolerated at All Doses Twenty-nine subjects were enrolled onto the trial; 10 were enrolled at the lowest vaccine dose (25 µg), 10 were enrolled at the intermediate vaccine dose (150 µg), and nine were enrolled at the highest vaccine dose (900 µg) of HER-2/neu ICD protein. Twenty-seven of the 29 subjects enrolled completed all six vaccinations; two subjects who were enrolled at the lowest dose withdrew from study because of progressive disease after receiving only the first vaccination. The ages of patients, stages of disease, and time from completing prior chemotherapy were similar for the subjects in each group (Table 1). Adverse events are reported on all 29 subjects, and immune responses are reported on the 27 subjects who completed six vaccinations (eight for the low-dose, 10 for the intermediate-dose, and nine for the high-dose group). The vaccine was well tolerated at all doses. There were no grade 2, 3, or 4 adverse events. Three subjects, one at each dose level, reported grade 1 fatigue; three subjects, two in the low-dose group and one in the high-dose group, reported grade 1 myalgia; and 24 subjects, seven in the low-dose group, eight in the intermediate-dose group, and nine in the high-dose group, experienced grade 1 local injection site erythema.
Majority of Patients Immunized With an HER-2/neu ICD ProteinBased Vaccine Developed HER-2/neuSpecific T-Cell Immunity
Dose of Protein in the Vaccine Does Not Predict the Magnitude of HER-2/neuSpecific T-Cell Immunity Elicited With Active Immunization The magnitude of the T-cell response to HER-2/neu ICD after immunization was similar at all doses (Fig 3). The median SI for patients receiving the low-dose vaccine was 3.4 (range, 2.2 to 9.2), the median SI for patients receiving the intermediate-dose vaccine was 4.4 (range, 1.4 to 15.8), and the median SI for patients receiving the high-dose vaccine was 5.7 (range, 1.6 to 15.7). There was no statistical difference in the median responses of each group (low v intermediate, P = .41; intermediate v high, P = .79; and low v high, P = .32).
Higher Dose of a HER-2/neu ICD ProteinBased Vaccine Was Associated With Earlier Development of Detectable HER-2/neuSpecific T-Cell Immunity Although the dose of HER-2/neu ICD proteinbased vaccine was not associated with a difference in the magnitude of HER-2/neuspecific T-cell or antibody immunity, the higher dose vaccine was associated with a more rapid development of detectable immunity (Fig 4). The percentage of patients achieving a HER-2/neu ICDspecific T-cell response, as defined by an SI of more than 2.0, is shown over the time of active immunization as a cumulative incidence curve for each of the dose groups (Fig 4). The time to the development of a detectable T-cell immune response was significantly earlier for the group receiving the higher dose vaccine compared with the lowest dose vaccine (P = .003).
HER-2/neuSpecific T-Cell Immunity Persists After Active Immunizations Have Ended The majority of the patients were able to be observed for persistent immunity after their vaccine regimen was completed. There was no difference in the persistence of immunity between any of the dose groups. Figure 5 shows HER-2/neu ICD T-cell immunity persisting as long as 1 year from the end of active immunization. At 1 month after the vaccinations were finished, 18 (72%) of 25 assessable patients had detectable HER-2/neu ICD T-cell immunity (median SI, 2.6; range, 1.0 to 7.6). Six months after the end of immunizations, 12 (55%) of 22 assessable patients had detectable HER-2/neu ICD T-cell immunity (median SI, 1.9; range, 0.5 to 15.7). Finally, between 9 months and 1 year after the end of the vaccine regimen, eight (53%) of 16 assessable patients still had detectable HER-2/neu ICD T-cell immunity (median SI, 2.6; range, 0.4 to 14.0).
Majority of Patients Immunized With an HER-2/neu ICD ProteinBased Vaccine Develop HER-2/neuSpecific Antibody Immunity The majority of patients (22 of 27 patients, 82%) who completed all six immunizations developed HER-2/neuspecific IgG antibody immunity. Results are shown as the HER-2/neu antibody level determined 1 month after the last vaccine. Figure 6A demonstrates that five (63%) of eight patients in the low-dose group developed HER-2/neu antibody immunity. One patient had a pre-existent HER-2/neuspecific antibody response (3.0 µg/mL, which boosted to 6.0 µg/mL after vaccination). Ten (100%) of 10 intermediate-dose patients developed new HER-2/neuspecific IgG antibody immunity (Fig 6B). Finally, seven (78%) of nine patients developed HER-2/neuspecific antibody immunity after receiving the highest dose of vaccine (Fig 6C). One patient had a significant HER-2/neu antibody response of 6.0 µg/mL before receiving any immunizations, which decreased over the course of immunization to 0.9 µg/mL (a negative response). No patient had boosted antibody immunity to E coli lysate during the course of the immunizations. The mean E coli antibody response ( OD at 450 nm) at a 1:5000 sera dilution before immunization was 0.264. The mean E coli antibody response ( OD at 450 nm) after the end of active immunizations at a sera dilution of 1:5000 was 0.379 (P = .111). HER-2/neuspecific antibody responses were documented by Western blot analysis, and examples are shown in Figure 7. Figure 7A shows antibodies directed against HER-2/neu, which were immunoprecipitated from SKBR3, a human breast cancer cell line that overexpresses HER-2/neu, in a breast cancer patient who developed HER-2/neu antibodies detected by enzyme-linked immunosorbent assay.15 Figure 7B is a similar immunoblot from a patient who did not develop detectable antibodies after active immunization.
The dose of protein in the vaccine did not predict the magnitude or avidity of HER-2/neuspecific antibody immunity elicited with active immunization. In the low-dose group, the median antibody response was 1.6 µg/mL (range, 0 to 9.3 µg/mL); in the intermediate-dose group, it was 2.5 µg/mL (range, 1.5 to 7.6 µg/mL); and in the high-dose group, it was 2.3 µg/mL (range, 0.58 to 5.42 µg/mL). There was no statistical difference in the median response between any group (low v intermediate, P = .41; intermediate v high, P = .29; or low v high, P = .96). Of the 22 patients who developed HER-2/neuspecific antibody immunity, 17 (77%) of 22 demonstrated low-avidity antibody immunity (range, 0% to 29%; Fig 3D), three (14%) of 22 demonstrated intermediate-avidity antibody immunity (range, 38% to 43%), and two (9%) of 22 demonstrated high-avidity antibody immunity (64% and 65%). The intermediate- and high-avidity responses were detected in patients at all dose levels (Fig 6D). All patients who completed the study had high-affinity tt antibodies (data not shown). The patients with intermediate- and high-avidity HER-2/neuspecific antibodies were able to be observed for persistence of T-cell immunity over time, and all five patients had persistent HER-2/neuspecific T-cell immunity at 12 months after vaccination.
The study described here is the first report of a clinical trial evaluating an HER-2/neu proteinbased vaccine and is also one of the first evaluations of the effect of the dose of a tumor protein antigen vaccine on the immune response elicited in cancer patients. The data presented demonstrate the following: the majority of patients who were immunized developed HER-2/neu proteinspecific T-cell immunity, and the dose of the vaccine did not impact the magnitude of the antigen-specific T-cell response; the majority of patients who were immunized developed HER-2/neu proteinspecific antibody immunity, and the dose of the vaccine did not impact the magnitude or avidity of the antigen-specific antibody response; the highest dose of vaccine was associated with earlier development of detectable HER-2/neuspecific T-cell immunity; and tumor antigenspecific immunity persisted after active immunization had ended. The HER-2/neu ICD proteinbased vaccine elicited both cellular and humoral immunity in the majority of patients. Preclinical development of HER-2/neu proteinbased vaccines indicates that the ICD may be a better immunogen for the generation of HER-2/neuspecific immunity than the ECD. The HER-2/neu oncogenic protein is a self protein, and in animal models, vaccination using the whole protein or the ECD portion of neu to stimulate immunity was found to be ineffective secondary to immunologic tolerance.18,19 Rodents immunized with the ICD, however, can develop significant neu-specific T-cell responses.5 Inability to immunize to the ECD may be a result of the extracellular nature of this portion of the HER-2/neu protein, and thus, previous exposure to the immune system results in tolerance. Because the ICD is sequestered from the immune system by its intracellular location, it is potentially more immunogenic. Furthermore, T-cell immunity directed against the HER-2/neu ICD has been shown to mediate an antitumor effect in animal models of neu-overexpressing breast cancer.5,8 Of note, although the T-cell immunity detected was specific for HER-2/neu ICD, because of the amount of clinical material available for analysis, it is unknown what component of that response is CD8+ versus CD4+ HER-2/neuspecific T cells. Peptide-based vaccines are specifically designed to elicit cellular immunity.10 Vaccines formulated from protein, however, are successful in eliciting both humoral and cellular immunity.20 Studies in animals have demonstrated that rejection of HER-2/neuoverexpressing tumors after vaccination may require both tumor-specific T cells and antibodies.21 Although antibodies to the ICD protein may not have the direct antitumor effects associated with antibodies specific for the ECD, such as trastuzumab, antibodies binding to ICD protein present in a tumor bed or shed by dying cells may serve to amplify the cellular immune response via induction of antibody-dependent cell-mediated cytotoxicity. Thus, immunizing cancer patients, whose tumors overexpress HER-2/neu, with an HER-2/neu proteinbased vaccine may be an effective method to elicit both tumor-specific T-cell and antibody immunity in the majority of vaccinated individuals. Potentially, the dose of a protein-based vaccine can impact the development of an antigen-specific immune response in many ways. First, some studies in infectious disease systems have suggested that higher doses of recombinant protein vaccines are associated with more robust antigen-specific T-cell responses.22 A trial performed in animals, immunizing against a herpesvirus, demonstrated higher herpes-specific T-cell proliferative responses in those animals receiving the 40-µg versus the 20-µg dose of recombinant protein-based vaccine. In the study reported here, the magnitude of the T-cell response was not dependent on the dose. Second, several trials of infectious disease vaccines have suggested that higher doses of protein result in more subjects developing antigen-specific immunity. An evaluation of a recombinant human papillomavirus protein vaccine in volunteers suggested that a 533-µg dose was superior to a 128-µg or 26-µg dose in generating interferon gammaproducing human papillomavirusspecific T cells in the greatest number of vaccinated subjects.23 Similarly, higher doses of a modified tick-borne encephalitis vaccine resulted in a greater number of seroconversions in volunteers.24 Unlike these foreign antigen vaccines, the dose of the HER-2/neu ICD proteinbased vaccine did not influence the number of patients developing detectable immunity. The lowest dose and highest dose were equally effective in stimulating HER-2/neuspecific antibody and T-cell responses. Finally, key to the development of any vaccine is the ability of immunization to elicit immunologic memory. Memory responses are particularly important for cancer vaccines that may have the greatest clinical utility in preventing disease relapse months to years after primary therapy has been completed. The development of T-cell memory responses after active immunization has been associated with higher antigen doses in vaccines.25 Similarly, high-avidity antigen-specific antibody immunity, a potential predictor of immunologic memory, has been associated with high-dose vaccines. In the current study, there was no difference in the persistence of T-cell immunity after active immunizations had ended in the low-, intermediate-, or high-dose groups receiving the HER-2/neu ICD vaccine. Furthermore, intermediate- and high-avidity HER-2/neuspecific antibody responses were found in all dose groups. The dose of HER-2/neu ICD proteinbased vaccine did impact the length of time needed to develop a detectable HER-2/neuspecific T-cell response. HER-2/neuspecific T-cell immunity could be detected within 2 months of starting the vaccine regimen in the majority of patients receiving the highest dose of vaccine compared with 6 months in the majority of patients receiving the lowest dose vaccine. The more rapid induction of measurable immunity with the highest dose of protein may have importance in the clinical application of cancer vaccines. For example, if a vaccine was being developed for a cancer that was associated with rapid time to relapse after primary therapy, a higher dose of a protein vaccine may allow a more rapid induction of potentially protective immunity. Furthermore, for vaccine strategies applied in the neoadjuvant setting where definitive therapy cannot be delayed for the extended period of time needed for multiple immunizations, higher dose protein-based vaccines may allow induction of tumor antigenspecific immunity in a shorter period of time. Recombinant protein-based vaccines are much more expensive to formulate than peptide- or plasmid-based vaccines. Therefore, it is important to choose clinical situations where the higher, more expensive dose would be preferred to the lower, less expensive dose. HER-2/neu, particularly the ICD portion of the protein, is a biologically relevant tumor antigen that has become a model for testing a variety of vaccination strategies from peptides,7,9 to dendritic cells,26 to plasmid-based vaccines.27 Immunizing cancer patients with recombinant HER-2/neu protein has several advantages when compared with other vaccine formulations; the vaccine is immunogenic across all HLA types, can elicit immunity in the majority of patients vaccinated, can stimulate both tumor-specific cellular and humoral immunity, and will result in the development of immunologic memory. Detailed evaluations of the immunogenicity of cancer vaccines in the setting of phase I trials will better define the clinical utility and application of tumor-specific immunization.
The following authors or their immediate family members have indicated a financial interest. No conflict exists for drugs or devices used in a study if they are not being evaluated as part of the investigation. Owns stock (not including shares held through a public mutual fund): Martin A. Cheever, Corixa. Served as an officer or member of the Board of a company: Martin A. Cheever, Corixa.
We are grateful for the nursing care of Donna Davis, BSN, and the assistance in manuscript and data preparation by Chalie Livingston and Robert Schroeder. We also thank all the patients who agreed to participate in this study.
Supported by grants from the Cancer Research Treatment Foundation and the National Institutes of Health (NIH), National Cancer Institute grant No. U54-CA090818 (M.L.D), by NIH training grant No. T32 (HL07093; L.G.S.), and by a fellowship from the Department of Defense Breast Cancer Program (DAMD 17-00-1-0492; K.L.K.). Patient care was conducted through the Clinical Research Center Facility at the University of Washington, which is supported through NIH grant No. MO1-RR-00037. Authors' disclosures of potential conflicts of interest are found at the end of this article.
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2. Scardino A, Gross DA, Alves P, et al: HER-2/neu and hTERT cryptic epitopes as novel targets for broad spectrum tumor immunotherapy. J Immunol 168:5900-5906, 2002 3. Bremers AJ, Andreola S, Leo E, et al: T cell responses in colorectal cancer patients: Evidence for class II HLA-restricted recognition of shared tumor-associated antigens. Int J Cancer 88:956-961, 2000[CrossRef][Medline]
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Copyright © 2004 by the American Society of Clinical Oncology, Online ISSN: 1527-7755. Print ISSN: 0732-183X
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