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Originally published as JCO Early Release 10.1200/JCO.2005.03.047 on September 12 2005

Journal of Clinical Oncology, Vol 23, No 30 (October 20), 2005: pp. 7536-7545
© 2005 American Society of Clinical Oncology.

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Clinical Trial Results of a HER2/neu (E75) Vaccine to Prevent Recurrence in High-Risk Breast Cancer Patients

George E. Peoples, Jennifer M. Gurney, Matthew T. Hueman, Mike M. Woll, Gayle B. Ryan, Catherine E. Storrer, Christine Fisher, Craig D. Shriver, Constantin G. Ioannides, Sathibalan Ponniah

From the Clinical Breast Care Project, Walter Reed Army Medical Center, Washington, DC; Uniformed Services, University of the Health Sciences, Bethesda, MD; and the University of Texas M.D. Anderson Cancer Center, Houston, TX

Address reprint requests to George E. Peoples, MD, Department of Surgery, Walter Reed Army Medical Center, 6900 Georgia Ave, NW, Washington, DC 20307-5001; e-mail: george.peoples{at}na.amedd.army.mil


    ABSTRACT
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
PURPOSE: E75 is an immunogenic peptide from the HER2/neu protein that is highly expressed in breast cancer. We are conducting a clinical trial of an E75 + granulocyte-macrophage colony-stimulating factor vaccine to assess safety, immunologic response, and the prevention of clinical recurrences in patients with disease-free, node-positive breast cancer (NPBC).

PATIENTS AND METHODS: Fifty-three patients with NPBC were enrolled and HLA typed. HLA-A2+ patients (n = 24) were vaccinated, and HLA-A2 patients (n = 29) are observed prospectively as clinical controls. Local/systemic toxicities, immunologic responses, and time to recurrence are being measured.

RESULTS: Only minor toxicities have occurred (one grade 3 [4%]). All patients have demonstrated clonal expansion of E75-specific CD8+T cells that lysed HER2/neu-expressing tumor cells. An optimal dosage and schedule have been established. Patients have developed delayed-type hypersensitivity reactions to E75 postvaccination compared with controls (33 v 7 mm; P < .01). HLA-A2+ patients have been found to have larger, more poorly differentiated, and more hormonally insensitive tumors compared to HLA-A2 patients. Despite this, the only two deaths have occurred in the control group. The disease-free survival in the vaccinated group is 85.7% compared to 59.8% in the controls at 22 months' median follow-up with a recurrence rate of 8% compared to 21%, respectively (P < .19). Median time to recurrence in the vaccinated patients was prolonged (11 v 8 months), and recurrence correlated with a weak delayed-type hypersensitivity response.

CONCLUSION: This HER2/neu (E75) vaccine is safe and effective in eliciting a peptide-specific immune response in vivo. Induced HER2/neu immunity seems to reduce the recurrence rate in patients with NPBC.


    INTRODUCTION
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
HER2/neu is a proto-oncogene, and its protein product is highly expressed in many epithelial-derived cancers.1 The HER2/neu protein has been found to be an immune-recognized tumor-associated antigen by several investigators.2-4 Once identified as a tumor-associated antigen, several immunogenic peptides recognized by cytotoxic T lymphocytes (CTLs) were quickly described from the HER2/neu sequence.5,6 E75 (KIFGSLAFL, HER2/neu, 369-377) was originally described by Fisk et al6 and has become the most studied HER2/neu-derived peptide both in vitro and in vivo.7-11

The E75 peptide has been found in both in vitro and animal studies to be capable of inducing a peptide-specific, CTL-mediated immune response.7,8 Preclinical studies led to three previous clinical trials of this peptide as an anticancer vaccine.9-11 In these trials, the E75 peptide was used in combination with an immunoadjuvant (incomplete Freund's adjuvant [IFA], granulocyte-macrophage colony-stimulating factor [GM-CSF]) and injected as a simple vaccine without a delivery system. The trials were small (four, six, and 14 patients), targeted patients with metastatic cancer, and used many different immunologic monitoring assays. However, all three trials demonstrated that the E75 peptide is safe and capable of inducing a peptide-specific immune response in vivo. Unfortunately, little has been reported regarding the clinical impact of HER2/neu immunity, perhaps because of the late-stage disease of most of these patients.

Other trials have reinfused the E75 peptide (loaded autologous dendritic cells) and reinfused these cells back into the patient,12,13 successfully inducing a peptide-specific CTL response in metastatic patients. Disis et al14,15 have tested other HER2/neu-related vaccines consisting of combinations of longer peptides that are capable of binding HLA class II molecules including some with sequestered CTL epitopes (ie, E75). Although this strategy offers the potential benefit of stimulating CD4 helper T cells, it requires the host to process a longer peptide fragment to generate the E75 peptide for CTL stimulation. Neither approach produced better E75-specific responses than the E75 peptide alone mixed with an immunoadjuvant. Additionally, GM-CSF seems better than IFA as an immunoadjuvant for peptide vaccines.16

Therefore, our clinical trials are investigating E75 mixed with GM-CSF as a simple vaccine strategy that could be exported easily to the community. We are monitoring the safety while assessing the optimal dosing of this vaccine, which is required to produce a peptide-specific immunologic response. Most importantly, we are vaccinating immunocompetent patients with node-positive breast cancer (NPBC) who are disease-free after standard conventional therapies but at high risk for recurrence. We are also conducting a similar E75 vaccine trial in patients with prostate cancer who, after prostatectomy, are determined to be at high risk for recurrence based on the Centers for Prostate Disease Research risk-assessment score.17,18 By studying these groups of patients, we are determining if induced E75-specific immunity conveys clinical benefit by preventing recurrence.


    PATIENTS AND METHODS
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
Patient Characteristics and Clinical Protocols
The Walter Reed Army Medical Center Department of Clinical Investigation approved the clinical protocol. This clinical trial is being conducted under an investigational new drug application (IND No. 9187) approved by the Food and Drug Administration. All patients had histologically confirmed NPBC that expressed HER2/neu by standard immunohistochemistry. All patients with NPBC had completed a standard course of surgery, chemotherapy, and radiation therapy (as required) before enrollment, and those patients on chemoprevention were continued on their specific regimen. After screening for eligibility criteria and proper counseling and consenting, patients with NPBC were enrolled into the studies and then HLA typed to determine their HLA-A2 status, because E75 binds this specific HLA allele found in approximately 40% to 50% of the general population.19 HLA-A2+ patients were vaccinated, and HLA-A2 patients were observed prospectively as matched controls for clinical recurrence. Before vaccination, patients were skin tested with a panel of recall antigens (Mantoux test: mumps, tetanus, and Candida). Patients were considered immunocompetent if they reacted (>5 mm) to ≥ 2 antigens.

Vaccine
The E75 peptide was commercially produced in good manufacturing practices grade by Multiple Peptide Systems (San Diego, CA). Peptide purity was verified by high-performance liquid chromatography and mass spectrometry, and the amino acid content was determined by amino acid analysis. The peptide was purified to more than 95%. Sterility and general safety testing was carried out by the manufacturer. Lyophilized peptide was reconstituted in sterile saline at the following concentrations: 100 µg in 0.5 mL; 500 µg in 0.5 mL; and 1 mg in 0.5 mL. The peptide was mixed with GM-CSF (Berlex, Seattle, WA) at 250 µg in 0.5 mL, and the 1.0-mL inoculation was split and given intradermally at two sites within 5 cm of each other. All inoculations were given in the same extremity.

Vaccination Series
The study was performed as a two-stage safety trial (Table 1). In the first stage, three patients were assigned to each dose/schedule group receiving six monthly inoculations: 100 µg (100.6), 500 µg (500.6), or 1,000 µg (1,000.6) of E75 peptide + GM-CSF. A fourth group received 500 µg of peptide + GM-CSF but only four inoculations (500.4), omitting the fourth and fifth vaccination (Fig 1). In the second stage, four additional groups were vaccinated: 500.4, 500.6, 1,000.6, and 1,000.4.


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Table 1. Two-Stage Safety Trial Design With Dose Escalation and Schedule Reduction for the E75 Peptide and GM-CSF Vaccine

 


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Fig 1. Vaccination, phlebotomy, and clinical-visit schedule for patients with node-positive breast cancer. (A) Six-dose vaccination schedule; (B) Four-dose vaccination schedule. Blood samples were withdrawn prior to each vaccination and 1 and 6 months after series completion. LR, local reaction at 48 hours; DTH, delayed-type hypersensitivity.

 
Toxicity
The National Institutes of Health Common Toxicity Criteria (version 2, March 23, 1998) definitions of adverse events were applied. Both local toxicity at the injection sites as well as systemic toxicity were evaluated in all patients for all inoculations. By design, progression to the second stage occurred only if no significant toxicity occurred in the first stage.

Peripheral Blood Mononuclear Cell Isolation and Cultures
Blood was drawn from patients before receiving each inoculation and at 1 (postvaccination) and 6 months (long-term) after completing the series (Fig 1). Forty milliliters of peripheral blood was drawn into Vacutainer CPT tubes (Becton Dickinson, Franklin Lakes, NJ) and centrifuged for the isolation of peripheral blood mononuclear cell (PBMC) populations. PBMCs were washed in Hanks' balanced salt solution and resuspended in culture medium consisting of Iscove's modified Dulbecco's medium containing 10% human AB serum (Gemini Bio-Products, Woodland, CA) supplemented with 1x penicillin/L-glutamine/streptomycin, 1x sodium pyruvate, 1x nonessential amino acids, and 50 µmol/L of 2-mercaptoethanol (Life Technologies, Gaithersburg, MD). The PBMCs were used as a source of lymphocytes and for the preparation of dendritic cells (DCs). DCs were prepared by incubating the PBMCs in six-well plates for 1 hour followed by removal of the nonadherent cell population. Nonadherent PBMCs were grown in culture medium supplemented with 10 U of interleukin-2 per mL (R&D Systems, Minneapolis, MN) in a 48-well plate at 2 x 106 cells per mL. Parallel cultures were stimulated with 25 µg/mL E75. Adherent cells were cultured in AIM-V and 5% human serum AB with 100 µg/mL of GM-CSF and 50 µg/mL of interleukin-4 per mL (R&D Systems) to obtain monocyte-derived DC populations. Recombinant human tumor necrosis factor alpha (R&D Systems) was added at 30 ng/mL on day 3 to induce maturation. DCs were then harvested at 6 days, incubated with E75 for 2 hours, and then used to restimulate the PBMC cultures that had previously been stimulated with E75 peptide. All cultures were maintained in a humidified incubator at 37°C in 5% CO2. These peptide-stimulated PBMCs were used in cytotoxicity assays after 7 to 10 days in culture from DC stimulation.

HLA-A2:Immunoglobulin Dimer Assay
The presence of CD8+E75-specific cells in freshly isolated PBMCs from patients was directly assessed by using the dimer assay as previously described.20 Briefly, the HLA-A2:immunoglobulin (Ig) dimer (Pharmingen, San Diego, CA) was loaded with the E75 or control peptide (E37) by incubating 1 µg of dimer with an excess (5 µg) of peptide and 0.5 µg of ß2-microglobulin (Sigma Chemical Co, St Louis, MO) at 37°C overnight then stored at 4°C until used. Staining of freshly isolated PBMCs with the dimer preparations was carried out identically, and all incubations were performed at 4°C. Cells were plated at 5 x 105 cells per well in round-bottom 96-well plates (Becton Dickinson, Mountain View, CA) and washed twice with stain buffer (Pharmingen). Human gamma-globulin (Sigma Chemical Co) was added, and the samples were incubated for 5 minutes before adding the dimer preparations. The cells were incubated with the peptide-loaded dimer (at 1 µg of dimer per well) for 45 minutes and washed once in phosphate-buffered saline. Cells were then stained with rat antimouse IgG1-phycoerythrin (clone A85-1), CD8-fluorescein isothiocyanate, and CD3-allophycocyanin (Pharmingen). Two-color fluorometric analysis was carried out on a Becton Dickinson FACScalibur analyzer (Becton Dickinson). The lymphocyte population was gated on forward and side scatter, and gated events were analyzed by using CellQuest software. The data are displayed as a dual-parameter density plot correlating CD8-fluorescein isothiocyanate and IgG1-phycoerythrin fluorescence. Quadrants were set on the basis of staining obtained by using irrelevant peptide (E37)-loaded dimers as a negative control. Results are expressed as the percent of E75-specific CTLs (control E37 dimer results subtracted) of the total CD8+ population.

Cytotoxicity Assays
E75-specific cytotoxicity in peptide-stimulated PBMC cultures was determined by standard 4-hour chromium-release assay. Briefly, targets were labeled with 100 to 150 µCi of sodium chromate (Perkin Elmer, Boston, MA) for 1.5 hours at 37°C and then washed twice and plated at 2,500 cells per well in 100 µL of media in 96-well U-bottom plates (Becton Dickinson). Effectors were added at an effector/target (E/T) ratio of 10:1 to 20:1 in 100 µL per well. After 4 hours of incubation, 100 µL of culture supernatant was collected, and radionuclide release was measured on a Microbeta Trilux counter (Perkin Elmer). All determinants were performed in triplicate. Results are expressed as percent-specific lysis as determined by: (experimental mean counts per minute [cpm] – spontaneous mean cpm)/(maximum mean cpm – spontaneous mean cpm) x 100. The target cells used in the cytotoxicity assays consisted of HER2/neu+, HLA-A2+ cell lines (SKOV3-A2, MCF-7, LNCaP) and HER2/neu+, HLA-A2 cell lines (SKOV3, AU465, BT474, MB468). Not all tumors were used in every assay, but a minimum of two HLA-A2+ and two HLA-A2 controls were used in each experiment. In some assays, the HER2/neu-transfected, HLA-A2+ B lymphoblastoid cell line J2R/H2N was used with its corresponding negative control, J2R (kindly provided by Keith Knutson, PhD, University of Washington, Seattle, WA).

Delayed-Type Hypersensitivity
One month after completion of the vaccination regimen, a delayed-type hypersensitivity (DTH) reaction was assessed with 100 µg of E75 (without GM-CSF), which was injected intradermally with a parallel control (sterile saline, same volume) at a site on the back or extremity (opposite side from the vaccination site). The DTH reaction was measured in two dimensions at 48 to 72 hours by using the sensitive ballpoint-pen method21,22 and compared with control.

Clinical Recurrences
Both vaccinated and control NPBC patients were observed for clinical recurrence through standard cancer screening including physical exam, laboratory, and radiographic studies. All recurrences were confirmed by biopsy.

Statistical Analysis
Recurrence rates were compared between the vaccinated and control groups by using survival analysis by the Kaplan-Meier method, and the proportion of subjects who had recurrences were compared by using log-ranked analysis. P values for the demographic factors were calculated by using an independent sample t (not assuming equal variance), Mann-Whitney, or the {chi}2 test with Yates' correction as necessary. P values for comparisons of prevaccination and postvaccination DTH reactions, dimer assays, and cytotoxicity assays were calculated by using a paired two-sample t test.


    RESULTS
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
Patients
To investigate the E75 vaccine (specific for HLA-A2) in a preventive setting, we enrolled 53 patients with NPBC who were disease-free after standard therapies but at high risk for recurrence. Enrolled patients were HLA typed, and 24 HLA-A2+ patients were vaccinated, whereas 29 HLA-A2 patients were observed prospectively as controls. Because HLA-A2 status was not known at enrollment, we anticipated that these groups would be clinically similar. However, Table 2 demonstrates that the patients with NPBC who were vaccinated compared to controls had tumors that were larger, more poorly differentiated, and less hormonally sensitive. Because of the latter, fewer vaccinated patients were on chemoprevention, which is known to reduce risk of recurrence.23,24 In addition, fewer vaccinated patients received radiation therapy, which is known to reduce local recurrence and improve overall survival in both premenopausal and postmenopausal patients with NPBC.25,26 Interestingly, a similar difference has been seen in the patients with prostate cancer who were enrolled in our trial.27


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Table 2. Prognostic Factors in Node-Positive Breast Cancer-Vaccinated Versus Control Groups

 
Vaccine and Vaccination Series
The E75 peptide was mixed with GM-CSF (250 µg) and injected intradermally in the same extremity on a monthly basis. Table 1 provides the two-stage safety design and dose-escalation/schedule-reduction scheme. Patients were enrolled sequentially; however, if a patient failed to complete the series, a replacement patient was given the same dose and schedule until each group was complete.

Toxicity
After each vaccination, the patients were observed for 1 hour for signs of a hypersensitivity reaction; they then returned 48 to 72 hours later to be questioned regarding local and systemic reactions and have their injection sites checked. Both toxicities were graded per the National Institutes of Health Common Toxicity Criteria and reported on a scale of zero to five (Table 3). The trial was designed as a two-stage safety study with progression to the second stage only if the first stage was completed without dose-limiting toxicity (DLT; any hypersensitivity reaction or two patients developing ≥ grade 3 toxicity). No DLT was encountered. Overall, the vaccinated group reported no grade 4 or 5 systemic or local toxicities. One grade 3 (severe bone pain) (4%) and three grade 2 (12.5%) systemic toxicities were reported, and all patients had either a grade 1 or 2 local reaction (a desired effect). Because no DLT was encountered, no maximum-tolerated dose was achieved. Overall, 92% of the patients completed the vaccination series, and two patients withdrew by choice.


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Table 3. Vaccine-Related Toxicity in the Patients With Node-Positive Breast Cancer

 
Immunologic Response
Blood was drawn from all patients before each vaccination and 1 (postvaccination) and 6 months (long-term) after completion of the series (Fig 1). Phenotypic and functional assays were performed on these samples, and they have been shown to correlate previously.20,27-29 E75-specific CTLs were assessed in fresh ex vivo PBMCs by the dimer assay, which has been shown to be more sensitive than the tetramer assay.30 A recurring pattern of clonal expansion has been observed among most patients with a growing percentage of CD8+E75-specific cells with successive vaccinations that peak during the series and then contract and plateau by the completion of the series.20 The peak clonal expansion most commonly occurs after the third inoculation, but this has varied among individual patients; therefore, we have reported the prevaccination, maximum, and postvaccination (1 month after completion) levels of CD8+E75-specific cells (Fig 2).



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Fig 2. Clonal expansion of CD8+ E75-specific T cells over the vaccination series. E75-specific cytotoxic T lymphocytes in fresh unstimulated peripheral blood mononuclear cells were detected by using an HLA-A2:immunoglobulin dimer loaded with E75 or negative control peptide (E37) and anti-CD8 monoclonal antibody and analyzed by two-color flow cytometry. Results are presented as prevaccination (PRE), maximum (MAX), and postvaccination (POST; 1 month after series completion) response. FITC, fluorescein isothiocyanate; PE, phycoerythrin.

 
Figure 3 demonstrates the E75 dimer responses for the escalating doses of the vaccine from the first stage of the trial. There seems to be a correlation between dose and the induction of maximum E75-specific CTLs with the exception of the two patients receiving 100 µg, who had higher maximum responses than expected, which could be in part related to their high levels of pre-existing immunity (defined as > 0.3% CD8+E75-specific cells). The persistence of E75-specific CTLs seems to be related to the prevaccination levels of these cells. In the dose/schedule-reduction group (500.4), comparable E75-specific CTL induction was seen despite the reduced number of inoculations (Fig 3). Similarly, the persistence of peptide-specific CTLs were mostly seen in those patients with pre-existing levels.



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Fig 3. Individual E75-specific dimer responses to vaccination series in the first stage of the trial. Prevaccination (PRE), maximum (MAX), and postvaccination (POST; 1 month after series completion) levels of E75-specific cytotoxic T lymphocytes (control E37 dimer results subtracted) are shown as percentage of CD8+ cells. Responses are given for escalating-dose groups (100.6, 500.6, and 1,000.6) and schedule-reduction group (500.4).

 
To assess further the optimal vaccination schedule, the second-stage patients were vaccinated. Cumulative dimer responses from all doses are shown in Figure 4. When taken collectively, there was a statistically significant increase in CD8+E75-specific cells during (maximum, 2.20% ± 0.22%; P < .001) and after (postvaccination, 1.24% ± 0.29%; P < .02) vaccination compared to prevaccination levels (0.65% ± 0.15%). There was a strikingly similar clonal expansion response pattern between the six-inoculation group (Fig 4A) and the four-inoculation group (Fig 4B). The statistical difference persisted in these subset groups for the maximum levels of E75-specific CTLs (P < .002 and P < .001, respectively) but not for the postvaccination levels (P < .096 and P < .083, respectively) compared to the prevaccination levels. This finding suggests that the peaking and contracting pattern is not a result of overvaccination (clonal exhaustion), because the pattern remained the same even for the reduced schedule as well as among all dose groups. The number of E75-specific CTLs declines at 6 months but remains easily detectable, especially among patients without prevaccination levels of E75-specific cells (Figs 4C and 4D) (0.67% ± 0.21% [long-term] to 0.10% ± 0.04% [prevaccination]; P < .04) while returning to baseline levels for those patients with pre-existing E75 immunity (Figs 4E and 4F) in both the six-inoculation (Figs 4C and 4E) and four-inoculation (Figs 4D and 4F) groups. Paradoxically, the four-inoculation series seems to be better for those patients without pre-existing E75 immunity, whereas the six-inoculation series seems to be better for those patients with pre-existing immunity, suggesting an element of tolerance in these patients.



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Fig 4. Cumulative E75-specific dimer responses from both trial stages. CD8+E75-specific cytotoxic T lymphocytes (CTLs) in fresh unstimulated peripheral blood mononuclear cells from prevaccination (PRE), maximum (MAX), postvaccination (POST), and long-term (6 months postvaccination) time points. Results are means ± SE for all patients receiving six (A) or four (B) inoculations. Patients were categorized further as no pre-existing E75-specific CTLs receiving six (C) or four (D) inoculations or with pre-existing E75-specific CTLs receiving six (E) or four (F) inoculations.

 
Overall, pre-existing E75 immunity (> 0.3% E75-specific CD8+ T cells) has been found in 45% of the patients. Long-term postvaccination persistence of E75-specific CTLs has been seen in 52% of the patients at 6 months, suggesting the potential need for periodic booster inoculations. There has been no correlation observed between the level of HER2/neu expression on the patients' tumors and their prevaccination, maximum, postvaccination, or long-term dimer response (data not shown).

Although the dimer assay provides phenotypic evidence of clonal expansion, it does not demonstrate the functional capacity of these cells. To address both aspects, dimer and cytotoxicity assays from all patients who have completed the vaccination series and 6 months of follow-up are presented in Figure 5. As mentioned previously, all patients responded to the vaccination series with clonal expansion of E75-specific CTLs in these experiments (0.56% ± 0.15% [prevaccination] to 1.66% ± 0.27% [maximum] E75-specific CD8+ T cells; P < .001) (Fig 5A). To assess the functional capability of these cells, we cocultured fresh bulk PBMCs with E75 peptide and stimulated them once with autologous DCs loaded with E75. We tested the ability of these peptide-stimulated PBMCs at 2 weeks to recognize and lyse HER2/neu-expressing tumors in chromium-release assays. The pattern of specific lysis of HER2/neu-expressing cancers varied over the course of the vaccination series and among different patients; however, similar to the dimer assays, the level of specific lysis tended to peak after the third inoculation. Figure 5B demonstrates the enhanced HER2/neu-specific cytotoxicity induced by the vaccination series (7.3% ± 1.4% [prevaccination] to 21.7% ± 2.2% [maximum] specific lysis at an E/T of 20:1; P < .001). Although the patterns of phenotypic and functional responses are similar, no direct correlation could be made between peak E75-specific dimer responses and levels of tumor-specific lysis.



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Fig 5. Phenotypic (dimer) and functional (cytotoxicity) immunologic responses in each vaccination-complete patient. Prevaccination (PRE-VAC) and maximum (MAX) responses are given for clonal expansion of E75-specific cytotoxic T lymphocytes (A) and functional assessment (B) of short-term cultured, peptide-stimulated peripheral blood mononuclear cells in standard chromium-release assays against a panel of HLA-A2+, HER2/neu+ tumor targets with nonspecific lysis of HLA-A2, HER2/neu+ tumor targets subtracted.

 
DTH Response
A more direct measure of the vaccine's effectiveness in vivo is the DTH reaction. One month after series completion, 100 µg of E75 without GM-CSF was injected at a distant site with a saline control. The mean diameter of induration in the vaccinated NPBC patients was 33 mm (range, 17 to 53 mm) to E75 as compared to the saline controls of 7 mm (range, 0 to 17 mm) (P < .01) (Fig 6). DTH reactions did not significantly correlate with the dose-escalation/reduction scheme; however, there was a trend toward correlation between the postvaccination dimer response and the DTH reaction (data not shown).



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Fig 6. Delayed-type hypersensitivity reactions in vaccinated patients. After completion of the vaccination series, 100 µg of the E75 peptide without granulocyte-macrophage colony-stimulating factor and a saline control was placed intradermally at a site remote from the vaccination site. Induration was measured in two dimensions at 48 hours using the sensitive ballpoint-pen method and compared to control. Abbreviations: mm, millimeters; NS, normal saline.

 
Clinical Response
Despite the greater preponderance of poor prognostic factors in the group of patients with NPBC who were vaccinated compared to their controls (Table 2), the only two deaths have occurred in the control group. Therefore, the overall survival is 100% for the vaccinated group compared to 93% for the control group. More importantly, only two of the 24 vaccinated NPBC patients (8%) have had recurrences, whereas six of the 29 HLA-A2 control patients (21%) have had recurrences to date at a median follow-up of 22 months (P < .19). The disease-free survival (DFS) rates in the vaccinated and control groups are 85.7% and 59.5%, respectively (Table 4).


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Table 4. Survival and Recurrence Rates for the Vaccinated and Prospectively Observed Control Groups of Patients With Node-Positive Breast Cancer

 
The two patients with NPBC who were vaccinated and recurrences had the smallest DTH reactions, suggesting that they did not respond as well to the vaccine as other members of the vaccinated group. However, despite the weaker response, their median time to recurrence was substantially prolonged at 11 months, compared with 8 months for the patients in the control group who had recurrences.

In addition, the patients who did not complete the vaccination series were included in the analysis discussed above on the basis of intention to treat. Furthermore, it must be kept in mind that because this trial was of a dose-escalation design, not all patients were optimally dosed with the vaccine. For example, one of the two vaccinated patients who had recurrences received the lowest dose of the vaccine (100 µg).


    DISCUSSION
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
Our study uses a simple vaccine strategy consisting of the E75 HER2/neu peptide that was mixed with GM-CSF and administered intradermally to patients with NPBC who had no evidence of disease but are at high risk for recurrence. Results demonstrate that this vaccination strategy is safe and effective at raising E75-specific immunity, and this HER2/neu-specific immunity seems to reduce the clinical recurrence rate and improve DFS in vaccinated patients with NPBC compared to prospectively observed HLA-A2 patients with NPBC.

Other studies have investigated the E75 peptide as a vaccine. Zaks and Rosenberg9 vaccinated four metastatic breast, ovarian, and colorectal cancer patients with E75 and IFA and found that three of four patients developed E75-specific CTLs; however, these CTLs could not recognize HER2/neu-expressing tumors in in vitro assays. Knutson et al10 vaccinated six stage III or IV breast or ovarian cancer patients with E75 mixed with GM-CSF; peptide-specific CTLs were demonstrated in two of four evaluable patients. Murray et al11 vaccinated 14 metastatic breast and ovarian cancer patients with escalating doses of the E75 peptide mixed with GM-CSF, and in eight evaluable patients, seven developed a DTH response to the peptide, and four demonstrated E75-specific CTLs that could recognize HER2/neu-expressing tumors. These small trials demonstrate that the E75 vaccine is safe and that, when mixed with an immunoadjuvant, can be used to induce an in vivo peptide-specific immune response. Furthermore, they illustrate that a variety of HER2/neu-expressing cancers can be targeted by this vaccine. However, these studies did not address the question of whether E75-specific HER2/neu immunity provides a clinical benefit, most likely because they were performed in patients with metastatic disease, as have been the majority of cancer-vaccine trials to date.

One of the surprising findings of our study was the variability in the patient populations based on HLA-A2 status alone. Our study was specifically designed to enroll patients without knowing the HLA type initially. In the patients with breast cancer, the usual prognostic factors of tumor size, grade, and hormone receptor status were all worse in the HLA-A2+ group. Likewise, in a separate study with prostate cancer patients, the known prognostic factors of tumor size, postoperative Gleason score, margin status, and Centers for Prostate Disease Research risk score were all worse in the HLA-A2+ group. The link between HLA type and prognosis has been well established in melanoma and suggested in some other forms of cancer.31,32 However, to determine if HLA-A2 status is an independent prognostic marker will require larger studies to be performed in these specific tumor types. For this study, the HLA-A2+ patients with NPBC should have had a higher recurrence rate based on all proven prognostic variables, yet after 2 years, the vaccinated HLA-A2+ patients have a 60% lower recurrence rate and a substantially better DFS.

In our study, toxicity seemed to be primarily associated with the GM-CSF, because the minor adverse effects follow the known profile for this cytokine drug. We chose this immunoadjuvant because it has been shown in preclinical studies to be an effective in vitro33 and in vivo adjuvant.10,11 In addition, in a study of a peptide-based melanoma vaccine, patients were randomly assigned to different immunoadjuvants, and GM-CSF was found to be superior to IFA,16 which may partially explain the results of Zaks and Rosenberg,9 who used IFA.

Our research provides additional evidence that the E75/GM-CSF vaccine is effective in producing both in vivo and in vitro peptide-specific immunity. Our primary in vitro monitoring assay has become the dimer assay, which is similar to the tetramer assay, because it allows for direct detection of peptide-specific clonal expansion but seems to be more sensitive and versatile.20,27-30 The pattern of response demonstrated in these patients does not seem to be the result of clonal exhaustion but may be typical of a CTL response to a single CTL epitope seen repeatedly. The level of clonal expansion as well as the duration of E75-specific CTLs does seem to depend on pre-existing levels of peptide-specific CTLs, which suggests prior antigen exposure that may result in the alteration of T cell antigen receptor avidities and in levels of sensitization/tolerization of these CTLs. Vaccination dosages and/or schedules may need to be altered based on pre-existing levels of antigen-specific immunity. Furthermore, periodic booster inoculations may be required to maintain peptide-specific CTLs, or the addition of helper peptides may be required to maintain long-term immunologic memory. We are currently investigating the latter approach.

With our vaccine program, we are primarily interested in pursuing simple vaccination strategies that are exported easily to the community setting, targeting common antigens expressed on many different cancers, and testing these vaccines in well-designed trials that evaluate their clinical benefit to prevent, not treat, disease. We are pursuing the peptide strategy because it is straightforward, safe, inexpensive, and easily disseminated. Although the peptide approach is restricted by HLA type, peptides are now being routinely reported that bind other common non-HLA-A2 alleles. Although HER2/neu is overexpressed in only 30% of breast cancer,1 it is also overexpressed in many other adenocarcinomas. Although not the ultimate target antigen, we pursued HER2/neu because it represents the "proof of principle" for the concept of a "universal" cancer vaccine for epithelial-derived cancers.

Finally, most cancer vaccines to date have been tested in patients with metastatic cancer. Although therapeutic vaccines are an admirable goal, we have pursued the avenue of prevention. Just as in countless animal studies, human clinical trials have shown that the immune system can be stimulated to prevent cancer. Specifically, in a large, well-designed, randomized trial, Vermoken et al34 showed that an autologous tumor cell vaccine given after surgical extirpation of colon cancer prevented recurrence, and Doehn et al35 demonstrated similar results for an autologous tumor cell lysate vaccine in resected, nonmetastatic renal cell carcinoma. Although not truly analogous, the prevention of primary cervical cancer has also been shown through a vaccination strategy.36,37 Preventative cancer vaccine studies are finally becoming more common and are being conducted in a variety of tumor types but are probably most advanced in melanoma, as reviewed by Sabel and Sondak.38

In conclusion, our study demonstrates that this simple HER2/neu (E75) vaccine is safe and effective in eliciting a peptide-specific immune response in HER2/neu-expressing patients with breast cancer. Induced HER2/neu immunity seems to reduce clinical recurrence rates and may improve DFS in patients with NPBC; however, the true clinical benefit of this vaccination strategy must be determined in a prospective phase III clinical trial in HLA-A2+ patients.


    Authors' Disclosures of Potential Conflicts of Interest
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
The authors indicated no potential conflicts of interest.


    NOTES
 
Supported by the Clinical Breast Care Project, a Congressionally funded program of the Henry M. Jackson Foundation for the Advancement of Military Medicine (Rockville, MD). Supported by the United States Army Medical Research and Materiel Command and the Department of Clinical Investigation at the Walter Reed Army Medical Center.

The opinions or assertions contained herein are the private views of the authors and are not to be construed as official or reflecting the views of the Department of the Army or the Department of Defense.

Authors' disclosures of potential conflicts of interest are found at the end of this article.


    REFERENCES
 TOP
 ABSTRACT
 INTRODUCTION
 PATIENTS AND METHODS
 RESULTS
 DISCUSSION
 Authors' Disclosures of...
 REFERENCES
 
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29. Gurney JM, Woll MM, Storrer CE, et al: In vivo monitoring of the immune response in breast cancer patients receiving a HER2/neu peptide vaccine. J Am Coll Surg 187:S81-S82, 2003

30. Storrer CE, Hueman MT, Gurney JM, et al: Comparison of HLA-A2 dimer and tetramer molecules for the immunological monitoring of breast and prostate cancer vaccine clinical trials. Clin Invest Med 27:211D, 2004 (abstr 53.315)

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Submitted March 4, 2004; accepted June 1, 2005.


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