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Journal of Clinical Oncology, Vol 22, No 4 (February 15), 2004: pp. 602-609 © 2004 American Society of Clinical Oncology. DOI: 10.1200/JCO.2004.12.034 Individualized Patient Dosing in Phase I Clinical Trials: The Role of Escalation With Overdose Control in PNU-214936From the Departments of Medical Oncology and Biostatistics, Fox Chase Cancer Center, Philadelphia, PA Address reprint requests to André Rogatko, PhD, Fox Chase Cancer Center, 7701 Burholme Ave, Philadelphia, PA 19111; e-mail: a_rogatko@fccc.edu
PURPOSE: A patient-specific dose-escalation scheme using a Bayesian model of Escalation with Overdose Control (EWOC) was conducted to establish the maximum tolerated dose (MTD) of PNU-214936 in advanced nonsmall-cell lung cancer (NSCLC). PNU-214936 is a murine Fab fragment of the monoclonal antibody 5T4 fused to a mutated superantigen staphylococcal enterotoxin A (SEA). PATIENTS AND METHODS: Seventy-eight patients with NSCLC were treated with an individualized dose of PNU-214936 calculated using EWOC, based on their anti-SEA antibody level, and given as a 3-hour infusion on 4 consecutive days.
RESULTS: Fever (82%; grade 3 to 4, 2.6%) and hypotension (57%; grade 3 to 4, 9%) were the most common toxicities. Eight dose-limiting toxicities occurred, as defined as any grade 4 toxicity occurring within the first 5 days. The MTD was defined as a function of pretreatment anti-SEA antibody level. MTD ranged from 103 ng/kg for patients with anti-SEA concentrations CONCLUSION: EWOC determined phase I doses of PNU-214936 that were adjusted for patient anti-SEA antibody level, while safeguarding against overdose. Furthermore, the method permitted the construction of a dosing algorithm that would allow patients in subsequent clinical investigations to be treated with a dose of PNU-214936 that is tailored to their specific tolerance for the agent, as reflected by their pretreatment anti-SEA.
The primary objectives of phase I clinical trials have customarily been to characterize the toxicity profile of a new treatment regimen and to determine the appropriate dosing level for subsequent clinical evaluation of efficacy. While new advances in biologically targeted therapies may obviate the relevance of toxicity in cancer treatment, it is still the primary end point in phase I clinical trials, and a major concern throughout all phases of therapy development. Since it is generally assumed that the activity of a cytotoxic agent increases with dose and that toxicity is a prerequisite for optimal antitumor activity [1], the maximum tolerated dose (MTD) typically corresponds to the highest dose associated with a tolerable level of toxicity. The MTD is defined as the dose expected to produce some degree of medically unacceptable, dose-limiting toxicity (DLT) in a specified proportion of (theta) patients. The phase I target dose (MTD) is, therefore, the same for every member of the patient population, as no allowances are made for individual patients differences in susceptibility to treatment [2]. However, recent improvements in our understanding of drug metabolism have led to the development of anticancer therapies that accommodate intrinsic patient differences in drug tolerance. Analyses of pharmacokinetics and the genetics of drug metabolism have led to the development of new treatment paradigms that accommodate individual patient needs [3-6]. Such methods adjust the dose level according to measurable patient characteristics to obtain an individualized target drug exposure. This article describes the utilization of a patient-specific dosing scheme in the statistical design of a phase I clinical trial of the superantigen-based immunotherapy PNU-214936 involving patients with advanced nonsmall-lung cancer (NSCLC). PNU-214936 consists of the murine Fab fragment of the monoclonal antibody 5T4 [7,8] genetically fused to a mutated superantigen (SAg) staphylococcal enterotoxin A (SEA). SAgs bind to major histocompatibility complex (MHC) class II molecules [9-11] and subsequently activate a high number of cytotoxic and helper T lymphocytes by interacting with the constant part of the T cell receptor Vß (TcR Vß) chain [12,13]. PNU-214936 localizes the bacterial SAg to tumor sites by the adenocarcinoma specific antibody 5T4, to target activated cytotoxic T lymphocytes [14,15]. PNU-214936 and other similar Fab-SAg fusion proteins have successfully been used to reduce and eliminate metastatic tumor burden in mice with established experimental tumors [16]. This therapeutic effect has been accompanied by a massive infiltration throughout the tumor, of cytotoxic T lymphocytes that actively produce tumoricidal cytokines such as tumor necrosis factor-alpha and interferon-gamma [17]. PNU-214936 has been mutated in position 227 of the SEA moiety by replacing an aspartate with alanine to reduce its affinity toward MHC class II molecules. This mutation results in 100-fold less MHC class II binding as compared to PNU-214565, the predecessor molecule containing wild-type SEA [18]. This mutation was postulated to confine the SEA-induced inflammatory response to tumor sites and limit the toxicity associated with systemic immune activation. Previous clinical and preclinical studies have demonstrated that the action of PNU-214936 is moderated by the neutralizing capacity of anti-SEA antibodies [19]. Therefore the MTD was dependent on the level of such neutralizing antibodies in each patient. Accordingly, it was necessary to define the MTD as a function of each patient's plasma concentration of anti-SEA antibodies. This consideration required a continual adjustment of the Bayesian model used to tailor the dose to each patient individually. The dose escalation in this phase I trial was designed according to a novel method referred to as Escalation with Overdose Control (EWOC) [20]. This method selects dose levels for use in the trial so that the predicted proportion of patients receiving a dose level above the MTD is no greater than a specified threshold. Prior observations demonstrated toxicity to be inversely correlated with pretreatment plasma anti-SEA Ab levels; therefore, a dosing model incorporating the anti-SEA Ab concentration for dose selection was used. Thus, in this phase I trial, dose levels were specifically tailored to a pretreatment assessment of a patient's susceptibility to the biologic effects of the agent being tested.
Patient Population Eligibility stipulated histologically or cytologically confirmed NSCLC age older than 18 years with an Eastern Cooperative Oncology Group (ECOG) performance status of 0 or 1. All patients had adequate bone marrow function (WBC 3000/mm3; absolute neutrophil count 1500/mm3; platelets 100,000/mm3; and hemoglobin < 10g/dL), renal function (creatinine < 1.5x the upper limit of normal), and hepatic function (bilirubin < 2x the upper limit of normal; AST/ALT < 3x the upper limit of normal), and had not received chemotherapy, radiotherapy, or immunotherapy within 4 weeks of the start of treatment. Exclusions included exertional hypoxemia or pulse oxymetry less than 89%; uncorrected hypercalcemia; poorly controlled hypertension; ongoing treatment with beta blockers, anticoagulants, or corticosteroids; pregnancy or breast feeding; intercurent malignancy or brain metastasis; active infection; symptomatic cardiac disease or arrhythmia; history of cerebrovascular accident or seizure disorder; autoimmune disease or seropositivity for HIV; previous exposure to murine monoclonal antibody; or positive human antimouse antibody (HAMA) titer. Written informed consent was obtained in accordance with federal, state, and institutional review board guidelines.
Treatment Plan According to the formal definition of DLT, the assessment of each patient's response to treatment required that the patient be followed for up to 28 days after treatment onset. Consequently, patients were occasionally accrued to the trial before the responses of all previously treated patients could be definitively determined. This raised the issue of whether treatment of each newly accrued patient should be delayed until the data from all prior patients was available. Since this problem is common in cancer phase I clinical trials, it is important to note that the method (EWOC) used to design the trial does not require knowing the responses of all previously treated patients before the dose for a new patient can be ascertained. Instead, to reduce the time needed to complete the study, each patient can be treated at the dose determined on the basis of whatever data is currently available. In the present trial, it was left to the discretion of the principal investigator to determine if the treatment of any patient was to be initiated as soon as possible or postponed until resolution of one or more unknown treatment responses.
DLT
MTD
Dose-Toxicity Model
where
EWOC Modeled Dosing EWOC modeling was based on the same statistical principles developed in studies of PNU-214565 [18], but multiplied by a factor of 50 because of the 50-fold improvement in therapeutic ratio of PNU-214936 versus PNU-214565, as observed in preclinical toxicology studies. Based on previous experience, the minimum allowable dose for a patient with pretreatment anti-SEA equal to a pmol/mL was taken to be:
The maximum allowable dose for any patient was the minimum between 50,000 ng/kg and his or her pretreatment anti-SEA Ab concentration (pmol/mL) multiplied by a factor of 50.
Using the Bayesian approach, information available before the onset of the trial was incorporated through a prior probability distribution for the unknown parameters of the dose-toxicity model. To facilitate the elicitation of the prior, the dose-toxicity model was reformulated in terms of parameters the clinicians could readily interpret. Since estimation of the MTD was the primary statistical aim of the trial, and the clinicians could easily understand the probability of DLT associated with selected combinations of dose and anti-SEA, the model was re-expressed in terms of:
and
We note that
Dose escalation was based on the marginal posterior distribution function of the MTD for patients with pretreatment anti-SEA Ab concentration equal to a pmol/mL. This function, denoted
That is, At the time of each dose assignment, the method made use of all data available from the parallel trials of PNU-214936 in advanced NSCLC being conducted in the United States and Europe.
Patient Demographics and Other Baseline Characteristics Seventy-eight patients were enrolled onto the study and were treated with PNU-214936 between August 10, 1998, and November 22, 2000, at three sites in the United States (40 patients) and three sites in Europe (38 patients). Forty-five male patients and 33 female patients were treated. Patient ages ranged from 29 to 79 years, with a mean age of 56.5 years. Thirty-three patients had a baseline ECOG performance status of 0, and 45 patients had a performance status of 1. Seventy-four patients were white, three patients were black, and one patient was Malaysian. Fifty-three patients had adenocarcinoma, seven patients had squamous cell carcinoma, and 18 patients had other or not otherwise specified histology. Fifty-one patients had received chemotherapy, 22 patients had undergone prior surgery, and 33 patients had received radiotherapy either with or without chemotherapy.
Treatment With PNU-214936
Dosage Assignment
Table 2 provides examples of how the recommended dose as a function of anti-SEA is adjusted for 30, 34, and 35 patients. These time points were chosen to demonstrate how the dosing evolved over the course of the trial before and after the occurrence of DLTs. Specifically, Table 2 shows the recommended dose at each anti-SEA increased from the 30th to 34th patient as the result of four consecutive patients being treated without DLT. Subsequent to the 34th patient having experienced DLT, the recommended doses decreased accordingly.
Toxicities Eight DLTs as defined by the study protocol occurred. There were no deaths reported during the study. Virtually all patients (98.7%) experienced at least one treatment-related adverse event. The most frequent signs and symptoms (frequency 25%) were fever (64 patients [82.1%]; grade 3 to 4, two patients [2.6%]), hypotension (45 patients [57.7%]; grade 3 to 4, seven patients [9%]), nausea (28 patients [35.9%]; grade 3 to 4, two patients [2.6%]), rigors (28 patients [35.9%]; grade 3 to 4, three patients [3.9%]), fatigue (24 patients [30.8%]; grade 3 to 4, one patient [1.3%]). Interestingly, the incidences of hypotension, nausea, rigors, and grade 3 to 4 hypotension, were all lower in cycle 2 compared with cycle 1, suggesting a tachyphylaxis phenomenom. Grade 3 lymphocytopenia was seen in 10 patients (12.8%), and grade 4, in 35 patients (44.9%). No detectable levels of HAMA were seen in 30 patients following therapy. Mild elevations in HAMA levels (ie, < 200 ng/mL) following the first cycle of treatment were seen in 30 patients, though higher HAMA levels up to 7,087 ng/mL were observed with multiple cycles of treatment.
MTD
Tumor Response
Phase I clinical trials have conventionally used cohorts of 3 or 6 patients with doses escalated chronologically, typically according to a modified Fibonacci sequence in order to assess toxicity and define MTD. This methodology generally leads to the majority of patients undergoing treatment at subtherapeutic doses as well as an imprecise estimate of the MTD. The incorporation of covariates into the traditional design is accomplished by conducting separate trials and estimating separate MTDs for a limited number of patients subgroups defined in terms of the covariate. This piecewise approach does not permit a refined adjustment of dose according to the covariate, provides no definite guidelines for constructing the patient subgroups and, since there is no explicit functional relationship assumed between the MTD and covariate, provides only ad hoc methods for using all available information by linking the data from the separate trials. This historical definition of MTD quantifies the average response of a patient population to a particular treatment, but does not allow for individual differences in susceptibility to the treatment [3]. Recent developments in understanding the genetics of drug-metabolizing enzymes shed light on the importance of individual patient differences in pharmacokinetic as well as other relevant clinical parameters [3-6]. The observation that impaired renal function can result in reduced clearance of carboplatin led to the development of dosing formulas based on renal function that permit careful control over individual patient exposure [21]. Another example is accounting for the contribution of prior therapy by establishing separate phase II doses for heavily pretreated and minimally pretreated patients. To address these concerns, methods have been developed which permit the incorporation of patient-specific characteristics into the statistical design of phase I clinical trials. For example, the Quantitative Assessment design of Mick and Ratain [22] used a least squares fit to a pharmacodynamic model to adjust phase I doses according patient WBC count nadir. O'Quigley et al [23] described the application of the Continual Reassessment method applicable to the case where separate MTDs are determined for patients with and without prior treatment. Piantadosi and Liu [24] developed a Bayesian dose escalation scheme based on covariate information that could only be acquired from each patient after treatment onset. According to this design, covariate information was used to improve the efficiency with which the MTD was determined and but did not provide a foundation for a tailored dosing regimen. Among these methods, EWOC is unique in that it permits refined adjustment of dose according to a pretreatment assessment of covariate and directly incorporates patient safety into the dosing algorithm. Babb et al [20] conducted a simulation study to compare the performance of EWOC with four Fibonacci-based phase I trial designs [25]. These simulations showed EWOC to be effective in controlling the frequency of overdosing in a phase I trial. EWOC assigned fewer patients to either subtherapeutic or severely toxic dose levels, treated more patients at optimal dose levels, and estimated the MTD with smaller average bias and mean squared error.
EWOC is the first Bayesian statistical design method applied to a cancer phase I clinical trial that not only guides the dose escalation from patient to patient, but also permits a personalization of the dose level to each specific patient. This article provides a detailed account of the application of EWOC with covariate adjustment whereby the aim is to escalate as quickly as possible toward MTD while safeguarding against overdosing. We describe the utilization of covariate information in a phase I study of PNU-214936 involving patients with advanced NSCLC. Previous clinical and preclinical studies demonstrated that the action of PNU is moderated by the neutralizing capacity of anti-SEA antibodies. Based on this, the MTD was defined as a function of, and dose levels were adjusted according to, each patient's plasma concentration of anti-SEA antibodies. Thus, we describe a phase I trial wherein dose levels were specifically tailored to a pretreatment assessment of patient susceptibility to treatment. In this PNU-214936 trial of a mutated superantigen fused to monoclonal antibody 5T4, we used EWOC to individually select the dose for each patient based on his/her anti-SEA level as well as previous patient toxicity data. We set the probability of DLT or The total number of patients treated during the phase I trial is far in excess of the number of patients typically treated in a phase I trial. This was a consequence of the need to accurately assess the functional role of the covariate in the dose-toxicity relationship and is a reflection of a general need for larger samples whenever patient specific dosing is attempted in a phase I trial. However patient specific dosing allows for greater precision in determining the phase II dose, as EWOC allows one to rapidly attain potentially therapeutic doses, while minimizing the risk for DLT. This design may therefore allow one to have a more accurate preliminary gauge of the potential efficacy of a novel agent. Accrual to the trial was not stratified according to patient anti-SEA levels. As a result, relatively few patients with high anti-SEA concentrations were treated with PNU, yielding relatively imprecise estimates of the recommended doses for these patients. However, the data (highest posterior density credible intervals for the MTD) indicated that with 95% confidence the recommended dose for patients with high anti-SEA exceeds the amount of agent that is clinically practical. Consequently, PNU-214936 was not recommended for patients with high anti-SEA values in subsequent investigations. This article describes the first trial to evaluate PNU-214936 in nonsmall-cell lung cancer. The primary objective was to define the MTD of PNU-214936 as a function of pretreatment anti-SEA Ab antibody levels. The EWOC design allowed the definition of the MTD based on baseline plasma anti-SEA Ab levels. As a result, the trial permitted the construction of a dosing algorithm (Table 1) that would allow patients in subsequent clinical investigations to be treated with a dose of PNU-214936 that is tailored to their specific tolerance for the agent as reflected by their pretreatment anti-SEA. We have demonstrated the feasibility of individualizing patient dosing based on pretreatment covariate information. This methodology can be adapted to other investigational agents to more accurately and rapidly arrive at therapeutic doses in phase I clinical trials.
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. Acted as a consultant within the last 2 years: Joan Schiller, University of Wisconsin.
We are grateful for the helpful insight and suggestions provided by the reviewers.
Supported by grants CA06927 and CA-92769 from the National Cancer Institute, a Tobacco Formula Grant from the State of Pennsylvania, and an appropriation from the Commonwealth of Pennsylvania. 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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