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Journal of Clinical Oncology, Vol 22, No 14 (July 15), 2004: pp. 2800-2807 © 2004 American Society of Clinical Oncology. DOI: 10.1200/JCO.2004.10.197 Allogeneic Vaccination With a B7.1 HLA-A Gene-Modified Adenocarcinoma Cell Line in Patients With Advanced NonSmall-Cell Lung CancerFrom the Division of Hematology/Oncology, Department of Medicine, Department of Microbiology and Immunology, and Department of Epidemiology and Public Health, Sylvester Comprehensive Cancer Center, University of Miami School of Medicine, Miami, FL Address reprint requests to Luis E. Raez, MD, FACP, Division of Hematology/Oncology, Sylvester Comprehensive Cancer Center, University of Miami School of Medicine, 1475 NW 12 Ave # 3510, Miami, FL 33136; e-mail: lraez{at}med.miami.edu
PURPOSE: To determine the safety, immunogenicity, and clinical response to an allogeneic tumor vaccine for nonsmall-cell lung cancer, we conducted a phase I trial in patients with advanced metastatic disease. PATIENTS AND METHODS: We treated 19 patients with a vaccine based on an adenocarcinoma line (AD100) transfected with B7.1 (CD80) and HLA A1 or A2. Patients were vaccinated intradermally with 5 x 107 cells once every 2 weeks. Three vaccinations represented one course of treatment. If patients had complete response, partial response, or stable disease, they continued with the vaccinations for up to three courses (nine vaccinations). Immune response was assessed by a change between pre-study and postvaccination enzyme-linked immunospot frequency of purified CD8 T-cells secreting interferon-gamma in response to in vitro challenge with AD100. RESULTS: Four patients experienced serious adverse events that were unrelated to vaccine. Another four patients experienced only minimal skin erythema. All but one patient had a measurable CD8 response after three immunizations. The immune response of six surviving, clinically responding patients shows that CD8 titers continue to be elevated up to 150 weeks, even after cessation of vaccination. Overall, one patient had a partial response, and five had stable disease. Median survival for all patients is 18 months (90% CI, 7 to 23 months), with corresponding estimates of 1-year, 2-year, and 3-year survival of 52%, 30%, and 30%, respectively. HLA matching of vaccine, age, sex, race, and pathology did not bear a significant relation to response. CONCLUSION: Minimal toxicity and good survival in this small population suggest clinical benefit from vaccination.
Carcinoma of the lung is the leading cause of cancer death and the second most commonly occurring cancer in both men and women in the United States.1 Nonsmall-cell lung cancers (NSCLC) are considered to be minimally or nonimmunogenic, and may contain CD4 regulatory cells that suppress generation of cytotoxic lymphocytes (CTL).2 Although NSCLC has not been considered a good candidate for immunotherapy, we hypothesized that NSCLC is indeed suitable for successful vaccine therapy because the tumor cells have not been exposed to immune attack and have not developed resistance mechanisms. Immunotherapy trials for lung cancer have yielded no consistent benefit to date in humans.3-5 Vaccine trials with B7.1 (CD80) transfected allogeneic or autologous cells have not been reported in patients with NSCLC, although similar vaccines have shown good activity in other human studies.6-9 The objectives of this phase I study were to assess the safety, immunogenicity, and clinical response to an allogeneic whole cell tumor vaccine transfected with CD80 and HLA A1 or A2 administered to patients with advanced metastatic NSCLC. Here we report on vaccine safety, clinical response, and overall survival.
Patients In this University of Miami (Miami, FL) institutional review board-approved phase I clinical trial, which was also approved by the National Institutes of Health Recombinant DNA Advisory Committee and by the US Food and Drug Administration, we treated 19 patients who had relapsed metastatic NSCLC. Most had already been unsuccessfully treated with chemotherapy, radiotherapy, surgery, or a combination of all three. The eligibility criteria were as follows: age older than 18 years, histologically confirmed NSCLC (stage IIIB with malignant pleural effusion, stage IV, or recurrent), measurable disease, Eastern Cooperative Oncology Group performance status 0 to 2, and signed informed consent. Patients with brain metastases were included if these had been successfully treated. Patients were not eligible for study if they had received chemotherapy, radiation therapy or a biologic modifying agent during the preceding 4 weeks. Patients were also not eligible if they had symptomatic cardiac disease, materially reduced lung function, known HIV infection, or were on corticosteroids or other immunosuppressive therapy. All patients were treated at the University of Miami/Sylvester Comprehensive Cancer Center and gave signed informed consent. A complete history and physical exam were performed and the following tests made before enrollment: complete blood count; platelet count; chemistries (calcium, lacate dehydrogenase, blood urea nitrogen, creatinine, electrolytes, liver function tests); EKG; and HLA typing. Patients were followed twice monthly while being vaccinated, with tumor response assessed by computed tomography scans.
Vaccine Cell Line
Genetic Modification
Vaccination At each vaccination, patients received a dose of 5 x 107 irradiated cells. Patients who were HLA A1 or A2 received the corresponding HLA-matched vaccine, whereas patients who were neither HLA A1 nor HLA A2 received HLA A1-transfected vaccine (ie, HLA-unmatched vaccine). Vaccine cells were divided into two to five aliquots for intradermal injections in an extremity, and spaced at least 5 cm at needle entry from the nearest neighboring injection. The injection sites were rotated to different limbs in a clockwise manner. Three vaccinations, each of which was spaced 2 weeks apart, comprised one course of treatment. At the end of the first course, patients who had evidence of stable disease or responding NSCLC by computed tomography scans, and no toxicity to moderate toxicity (grade 2), were treated with a second course of vaccination. In the absence of tumor progression or severe toxicity (grade 3 or greater), a third course of vaccination was given. Thus, a maximum of nine vaccinations (4.5 x 108 cells total) were given over three courses of treatment (17 weeks). Clinical and toxicity evaluations were done before and after each vaccination, and immunologic assessment was made before and after each course.
Immunologic Testing
Statistical Analysis
Patient Characteristics The characteristics of the 19 study patients are outlined in Table 1. Eastern Cooperative Oncology Group performance status was 0 to 1 in 18 patients (95%). Thirteen patients received vaccine matched for HLA, either A1 (three patients) or A2 (10 patients), whereas the six patients who were non-A1 and non-A2 received unmatched vaccine (ie, HLA A1 vaccine). While HLA A matched patients may be able to mediate CD8 responses by direct antigen presentation by the vaccine cells, we reasoned that unmatched patients may, nonetheless, mount a CD8 response via indirect antigen presentation after vaccine cell death and antigen uptake by antigen presenting cells. Before being enrolled on study, all patients had been previously treated: nine (47%) with surgery, six (32%) with radiation therapy, and 17 (89%) with chemotherapy. Among the chemotherapy-treated patients, 10 (53%) had been unsuccessfully treated with more than one chemotherapy regimen.
Clinical Outcomes Eighteen patients received a total of 30 courses of vaccine, 90 vaccinations in total (Table 2). Five patients received three full courses and two patients had two full courses. With the exception of one patient taken off study because a serious adverse event (SAE) occurred after the first vaccination (zero courses completed), the remaining 11 patients had one full course, after which they were taken off study because of disease progression. Four patients experienced SAEs after vaccination, none of which was judged to be vaccine-related. During the first course of vaccination, a 58-year-old woman developed malignant pericardial effusion requiring a pericardial window; the patient was taken off study, discharged to hospice, and died 1 week later. She had previously been treated unsuccessfully with five lines of palliative chemotherapy before enrollment on study. A 76-year-old male patient also developed a pericardial effusion requiring a pericardial window, but review of prior scans revealed developing pericardial effusion before entry on study. This patient, who had received three courses of vaccine before the SAE developed, continues to have stable disease. He is currently alive and well after 31 months without any further therapy.
A 55-year-old male was found to have worsening of chemotherapy-induced renal dysfunction the day of his first vaccination after he had already signed consent 1 week earlier and underwent a preliminary skin test. His renal function continued deteriorating in the following days, and he died 3 months later. The fourth patient who experienced an SAE was a 56-year-old woman with brain metastasis. During her second course of vaccination, she developed respiratory failure, was then taken off study, and died within 30 days from progression of her disease. This patient had previously been unsuccessfully treated with four lines of palliative chemotherapy. Regarding other side effects, one patient complained of transient pain at the injection site. Four patients developed some erythema at the vaccination site that resolved within a week. One patient experienced moderate arthritic pain in several joints after the first course. We did not find any patients with significant alteration of their laboratory parameters, including: complete blood and platelet counts, creatinine/BUN, calcium, and liver function tests. One patient had a partial response lasting 13 months, and five showed stable disease ranging from 1.6 to 39+ months (Table 3). The clinical response rate was 32% (six of 19 patients). As of February 2004, these patients had survival times ranging from 23 to 40+ months, and five patients were still alive.
After the patient who had a partial response developed new malignant lesions, verified by positron emission tomography scan, she was put under observation for 2 months because her disease was judged clinically nonaggressive. Several lesions subsequently decreased in size or disappeared. This patient continues to have stable disease without need of palliative chemotherapy 36 months after completing vaccination. Only one of the six patients who had a response on treatment required subsequent palliative chemotherapy. The remaining five patients continue to have stable disease without need of further treatment. Among the other 13 patients who did not respond to therapy, only two were alive as of February 2004. One of these patients experienced disease stabilization with gefitinib, and the other is undergoing palliative chemotherapy.
Logistic regression analyses of age, sex, race, pathology, and HLA-matching of vaccine showed that none of these factors were statistically significantly related (P Figure 2 shows the Kaplan-Meier estimate of overall survival for the 19 study patients (vertical tick marks indicate censored follow-up). The estimated median survival time is 18 months (90% CI, 7 to 23 months). Estimates of 1-year, 2-year, and 3-year overall survival are 52% (90% CI, 32% to 71%), 30% (90% CI, 11% to 49%), and 30% (90% CI, 11% to 49%), respectively. As of February 2004, death had occurred in 12 patients from 1 to 23 months after entry on study (Table 2). For the seven patients who are still alive, follow-up from study entry currently ranges from 10 to 40 months, with a median follow-up time of 36 months.
Univariate proportional hazards regression analysis suggested a possibly higher mortality rate in patients receiving HLA-matched vaccine (hazard ratio = 4.5; 90% CI, 1.1 to 17.2), and a possibly lower mortality rate in patients with adenocarcinoma (hazard ratio = 0.3; 90% CI, 0.1 to 1.0). A multivariate analysis involving five covariates (HLA-matching, age, sex, race, pathology), however, discounted an adverse effect of HLA-matching of vaccine on overall mortality; the corresponding adjusted hazard ratio was 1.9 (P = .51). The adjusted hazard ratio for adenocarcinoma versus other pathologies was 0.2 (P = .11), which is within the realm of chance at conventional levels of significance.
Immune Response to Vaccination All but one patient had a measurable CD8 response after 6 weeks (three vaccinations) that tended to increase after 12 weeks and stabilize by 18 weeks (Table 4). In vitro challenge of patient CD8 cells with wild type A1 or A2 transfected AD100 did not reveal significant differences. Two patients (patient Nos. 1012 and 1019) could not be evaluated immunologically because there was no follow-up sample available for analysis due to early disease progression or adverse events. One patient had only a very modest response, while most other patients showed a strong, highly statistically significant response to vaccination (see pre- and postimmunization titers on challenge with vaccine cells, and lack of response to K562 control; Fig 3, top panels).
There was no statistically significant difference in the CD8 response depending on whether or not the patients were HLA-matched to the vaccine (Table 4). Most patients before vaccination had only low or absent immune response to vaccine cells, and equally low activity to challenge with K562. One patient (No. 1016) had strong prevaccination CD8 activity toward AD100 and only minimal activity toward K562 (Fig 3, last panel), suggesting preexisting immune activity toward the tumor. Another patient (No. 1002, data not shown) had high prevaccination K562 reactivity of his CD8 cells and low activity toward AD100. Vaccination increased reactivity toward AD100 and tended to decrease CD8 reactivity toward K562 when it was present.
The immune response of the six clinically-responding patients (Fig 3, lower panels) shows that CD8 titers to AD100 stimulation continue to be elevated up to 150 weeks after cessation of vaccination. Sometimes CD8 cells, after prolonged immunization, secrete IFN-
Current recommendations for NSCLC patients with locally-advanced inoperable disease (stage IIIB) include platinum-based chemotherapy plus radiation therapy, and chemotherapy alone for patients with metastases (stage IV).12 Results of these approaches are nevertheless poor, and the increase in survival is limited. The largest meta-analysis published to date concluded that chemotherapy increases the chance of 1-year survival by 10% and median survival by 6 weeks.13 A recent report from the Big Lung Trial group (BLT) reported similar results.14 In phase III clinical trials, patients with metastatic disease have a median survival of less than 1 year.15 Two-phase III trials showed that after failure of first-line chemotherapy, only 6% of patients receiving standard second-line chemotherapy could expect to respond, with median survival being approximately 6 months.16,17 Our group of patients had a very poor prognosis as a result of their relapsed or metastatic disease status, and most patients had been unsuccessfully treated with surgery, radiation, and/or palliative chemotherapy, resulting in a projected survival of less than 6 months. A vaccination approach such as used here may be an effective means of inducing immune response in patients with nonimmunogenic tumors. There is evidence that NSCLC tumors contain tumor antigens;10,18-20 however, it is thought that lung tumors are poor candidates for immunotherapy because they are poorly immunogenic and potentially immunosuppressive,2,21-24 thereby anergizing or tolerizing T-cells.25-26 Lung tumors, therefore, have not been subjected to immune attack, and hence have not been able to evolve evasive mechanisms to resist immune effector cells. Lung tumors, unlike immunogenic tumors that harbor tumor-infiltrating lymphocytes, thus may succumb to killer CTLs, especially in light of the involvement of CD8 CTLs in tumor rejection in a number of model systems.27 This led to considering that a potentially immunogenic tumor vaccine like ours could generate an appropriate immune response. We chose an allogeneic whole cell vaccine, because whole cell vaccines have given the best clinical results so far. For example, statistically significant survival benefit occurred when a whole cell melanoma vaccine was administered.28 In contrast, vaccine directed at a single epitope may have limited utility due to tumor escape mutants.29 The additional advantage of a whole cell vaccine approach is that it does not require a priori delineation of specific lung tumor antigens. If vaccination is successful and CTLs are generated, as seems likely from our experience, the responsible antigenic sites can be identified later. Allogeneic cell-based vaccines offer a good alternative to autologous vaccines under the assumption that lung tumor antigens are shared in lung tumors of different patients, and the antigens can be cross-presented by patients' antigen-presenting cells. Although there is only limited evidence for shared antigens in lung tumors,10,20 this has been shown in other tumors.30,31 To obtain direct evidence that the CD8 cells generated in response to allogeneic vaccination recognize autologous tumor cells, it is necessary to obtain tumor specimens at the time of surgery. Tumor specimens were not available in this trial of patients with advanced disease. However, the prolonged maintenance of a high frequency of patient CD8 cells reacting to AD100 in vitro, and their increase in some patients (No. 1004 and No. 1007; Fig 3) even after cessation of external vaccination, is consistent with the hypothesis of immune stimulation of patient CD8 cells by the autologous tumor and their cross-reaction with the allogeneic vaccine. Although only one patient had a partial response, five other patients had stable disease. Enhanced immune reactivity was demonstrated by a CD8-mediated tumor-specific immune response. The fact that six (32%) of 19 patients with very poor prognosis exhibited disease stabilization of a rapidly lethal condition, with median survival of the whole cohort reaching 18 months despite far-advanced disease, is encouraging. Our study suggests that tumor progression is slowed by vaccination, and that this effect occurs regardless of whether or not patients are allogeneic to the HLA A1 or A2 locus of the vaccine. The findings also suggest that indirect antigen presentation may be effective in promoting antitumor activity and that allogeneic major histocompatibility complex molecules enhance the effect. However, since this is a phase I study and the number of patients we treated is small, it is premature to draw firm conclusions from our data. The vaccine was well tolerated and the patients' quality of life was very good. Because this is an immunologic product, we assumed that some immune-mediated side effects would be anticipated. Probable examples of such phenomena were the local erythema at the vaccination site in five patients, and the episode of arthritic pain experienced by one patient. Given the advanced stage of disease in patients enrolled in this pilot phase I trial, we were surprised to find suggestive evidence of some clinical benefit. Moreover, since the B7-vaccine tested here induced CD8 CTL responses, it may be that the CD8 response is causally related to the clinical outcome seen here. We believe that the data shown here justify additional, larger studies to corroborate our results. We therefore intend to mount a phase II clinical trial in the setting of minimal disease. Patients with early stage NSCLC (stage I/II) will be vaccinated after surgery to decrease the chance of relapse and potentially prolong survival.
The authors indicated no potential conflicts of interest.
Supported by the Research Career Development Award given by the American Society of Clinical Oncology, University of Miami/WCA, RO1-CA39201-14, and the family of Iris Zeitler. Preliminary results were presented at the 92nd Annual Meeting of the American Association of Cancer Research (AACR), San Francisco, CA, April 610, 2002, and the 10th World Conference on Lung Cancer, Vancouver, Canada, August 1014, 2003. In memory of Dr Kasi Sridhar (19532001). Authors' disclosures of potential conflicts of interest are found at the end of this article.
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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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