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Originally published as JCO Early Release 10.1200/JCO.2005.05.5335 on September 11 2006 © 2006 American Society of Clinical Oncology. Phase II Study of Belagenpumatucel-L, a Transforming Growth Factor Beta-2 Antisense Gene-Modified Allogeneic Tumor Cell Vaccine in NonSmall-Cell Lung Cancer
From the Mary Crowley Medical Research Center/Texas Oncology Professional Association; Baylor Sammons Cancer Center, Baylor University Medical Center; Murex Pharmaceutical Inc; Institute for Health Care Research and Improvement, Baylor Health Care System, Dallas, TX; Hoag Cancer Center, Newport Beach; NovaRx Corporation, San Diego, CA; and Louisiana State University, New Orleans, LA Address reprint requests to John Nemunaitis, MD, 1717 Main St, 60th Floor, Dallas, TX 75201; e-mail: jnemunaitis{at}mcmrc.com
PURPOSE: Belagenpumatucel-L is a nonviral gene-based allogeneic tumor cell vaccine that demonstrates enhancement of tumor antigen recognition as a result of transforming growth factor beta-2 inhibition. PATIENTS AND METHODS: We performed a randomized, dose-variable, phase II trial involving stages II, IIIA, IIIB, and IV nonsmall-cell lung cancer patients. Each patient received one of three doses (1.25, 2.5, or 5.0 x 107 cells/injection) of belagenpumatucel-L on a monthly or every other month schedule to a maximum of 16 injections. Immune function, safety, and anticancer activity were monitored.
RESULTS: Seventy-five patients (two stage II, 12 stage IIIA, 15 stage IIIB, and 46 stage IV patients) received a total of 550 vaccinations. No significant adverse events were observed. A dose-related survival difference was demonstrated in patients who received CONCLUSION: Belagenpumatucel-L is well tolerated, and the survival advantage justifies further phase III evaluation.
Nonsmall-cell lung cancer (NSCLC) is the most common and one of the most debilitating cancers affecting society.1 The majority of patients present at an advanced stage2 for which chemotherapy, despite its limited efficacy, is usually the only therapeutic option.3-5 Expected survival of patients who experience progression after initial chemotherapy is 8 months or less, and generally, less than 30% of patients survive 1 year.6-11 Recently, we demonstrated evidence of antitumor activity in advanced-stage NSCLC patients with an adenoviral gene-based autologous tumor vaccine (GVAX; Cell Genesys, San Francisco, CA)12,13 designed to enhance tumor antigen recognition by immune effector cells. Although encouraging, the requirement for harvest of autologous tumor necessarily imposed limits on this approach. Therefore, to further explore anticancer immune therapy through enhancement of effective immunogenic tumor antigen recognition, we studied the use of a nonviral gene-based allogeneic vaccine belagenpumatucel-L (Lucanix; NovaRx Corporation, San Diego, CA) incorporating transforming growth factor beta-2 (TGF-ß2) antisense gene modification of tumor cells. Transforming growth factor beta (TGF-ß) is one of a family of multifunctional proteins that regulate growth and function of normal and neoplastic cells.14-17 Elevated levels of TGF-ß2, in particular, are linked to immunosuppression in cancer patients,15-20 and the level of TGF-ß2 is inversely correlated with prognosis in patients with NSCLC.21 TGF-ß2 has antagonistic effects on natural killer cells, lymphokine activated killer cells, and dendritic cells.22-27 Using an antisense gene to inhibit TGF-ß2, we and others have demonstrated inhibition of cellular TGF-ß2 expression with resultant increased immunogenicity of gene-modified cancer cells.28-36 The results of this work led us to conduct a phase II trial of vaccination with belagenpumatucel-L in NSCLC patients.
Study Design This was an open-label, three-arm, phase II study designed to evaluate the safety and efficacy of intradermal immunization with three dose levels of an allogeneic tumor cell vaccine administered once a month or once every other month. Patients were randomly assigned to one of the three dose cohorts (1.25, 2.5, or 5 x 107 cells/injection) and were treated after a minimum workout of 30 days from prior cytotoxic therapy. Tumor staging was performed at baseline, at weeks 8 and 16, and quarterly thereafter. Patients were serially monitored for immune response every 4 weeks up to week 28 and quarterly thereafter. Toxicity was monitored throughout the study. Patients demonstrating benefit from treatment at 16 weeks could be given up to 12 additional vaccinations. All patients signed local institutional review boardapproved informed consent. Two patients received concurrent radiation therapy.
Study Population
Humoral Immune Response Assessment Multiplex flow cytometric analysis was used to determine both the presence and HLA specificity of lymphocytotoxic antibodies in sera. Reactivity was determined with microbeads coated with purified class I or class II HLA antigens (LABScreen; One Lambda Inc, Canoga Park, CA). Antibody (Ab) reactivity in each test serum was determined with the use of the Lambda Array Beads Multianalyte System and LABScan 100 flow analyzer (One Lambda Inc) for data acquisition and analysis.
Enzyme-Linked Immunospot Assay for Interferon Gamma Release
Detection of Intracellular Cytokines in Pre- and Post-Treatment PBMCs Cytokine levels in pre- and post-treatment PBMCs were analyzed by immunofluorescent staining of intracellular cytokines by flow cytometric analysis. Fresh, unstimulated PBMCs in whole blood were incubated with protein transport blocking reagent (Brefeldin A; eBiosciences, San Diego, CA) for 4 hours, followed by RBC lysis using PhamLyse solution (BD Biosciences). The PBMCs were fixed and permiabilized using the Cytofix/Cytofirm solution (BD Biosciences), followed by incubation with fluorochrome-conjugated Ab to the cytokine. The stained cells were analyzed by flow cytometry (BD FACScan, BD Biosciences) with the CELLQUEST software (BD Biosciences).
Vaccine Production
Antisense Plasmid The plasmid used for transfection was pCHEK/HBA-2. It contains an EBV origin of replication and EBNA-1 genes, a hygromycin resistance gene under the control of SV-40 promoter, and a 929base pair fragment of the human TGF-ß2 molecule in antisense orientation under the control of the CMV immediate-early promoter and enhancer. The SV-40 promoter/intron unit was incorporated to increase expression of the hygromycin resistance gene used to facilitate selection of gene-modified cells in culture. The pCHEK/HBA-2 vector was electroporated into each cell line ex vivo.
Investigational Product
Statistical Methods
In analyzing adverse events, a severity analysis approach was pursued. Homogeneity in the rate of serious adverse events across dose cohorts was tested using a Pearson
A Pearson
Statistical analysis of the effect of tumor vaccination on intracellular cytokine expression was performed to compare pretreatment value with post-treatment samples for advanced-stage patients or by cohort or clinical response. The nonparametric Kruskal-Wallis test was used for cohort analyses. The Fishers exact test was used in the contingency table analysis of HLA-Ab expression or ELISPOT response with clinical responsiveness. A Pearson
Seventy-five patients were entered onto the trial between May 30, 2002 and March 26, 2004. Demographics of advanced-stage (20 in cohort 1, 20 in cohort 2, and 21 in cohort 3) and early-stage patients are listed separately in Table 1. Toxicity and survival were assessable in all patients. One patient was not assessable for time to progression. Immune function samples were not assessable from site 004 as a result of handling complications. Five hundred fifty vaccinations were administered. Demographic comparison of sex, age, stage (IIIB and IV), tumor volume (< 12 or 12 cm3), prior chemotherapy, and date of diagnosis found no statistical difference among cohorts.
Safety Analysis of severity of adverse events demonstrated no detectable difference in the rate of serious adverse events across dose cohorts (P = .5698). All toxic events occurring at a 5% frequency are listed in Table 2. Separation of toxic events between late-stage and early-stage patients and between cohorts suggests no difference. All grade 3 and 4 events were attributed to disease progression except two events (Table 2).
Response The analysis of patient response in the advanced-stage patients (using Response Evaluation Criteria in Solid Tumors criteria) revealed a partial response rate of 15% at week 16. Cohort-specific response of patients with measurable disease (n = 40) was one of 16, three of 11, and two of 13 patients in cohorts 1, 2, and 3, respectively (Fig 1). The median tumor shrinkage at 16 weeks was 63% (maximum shrinkage, 80%). Fifty-nine percent of all patients showed no evidence of progression at week 16. Progression-free survival across dose cohorts was not different (P = .3816). The median age of the five responding patients was 70 years (range, 54 to 81 years); all five were females; two had stage IIIB disease, and three had stage IV disease; and two patients had adenocarcinoma, two had squamous cell carcinoma, and one had large-cell carcinoma. Two of the responding patients had received combination chemotherapy and radiation therapy, and all two of these patients had achieved an initial response to the combination. A fourth patient received radiation therapy without chemotherapy and demonstrated progressive disease, along with two other patients who demonstrated progressive disease after attempt at surgical resection without follow-up adjuvant therapy. The median number of measurable lesions per patient was two (range, one to five lesions). Disease was limited to multiple lung sites in two of five patients. Prior treatment was discontinued a median of 2 months (range, 2 to 4 months) before random assignment of vaccination in all five responding patients. Median volume of measurable disease was 5.63 cm3 (range, 0.27 to 51 cm3).
Survival Range of follow-up time for surviving patients was 351 to 967 days. Median overall survival time of all three cohorts was 441 days (Fig 2). Dose-related survival differences were found between cohorts (P = .0155; Fig 3). The analysis suggested that, at doses 2.5 x 107 cells/injection (cohorts 2 and 3), there was a significant difference in survival compared with cohort 1 (P = .0069). This difference is less than the required P value .05/2 = .0250 cutoff specified by the Bonferroni adjustment. The estimated 1- and 2-year survival probabilities were 68% (95% CI, 55% to 80%) and 52% (95% CI, 35% to 68%), respectively, for the two higher dose groups combined and 39% (95% CI, 22% to 56%) and 20% (95% CI, 4% to 36%), respectively, for the low-dose group. There was no significant difference in survival between cohorts 1 and 2 versus 3 (P = .9198).
An estimated 64% (95% CI, 50% to 78%) and 47% (95% CI, 30% to 65%) of the advanced-stage patients in combined cohorts 2 and 3 survived 1 and 2 years, respectively, compared with 37% (95% CI, 18% to 55%) and 18% (95% CI, 2% to 35%) of advanced-stage patients in cohort 1. The overall difference in survival across dose cohorts for advanced-stage patients was only marginally significant (P = .0605). The estimated median survival time of 581 days in dose cohorts 2 and 3 was significantly higher than the median survival time for dose cohort 1 (252 days; P = .0186; Fig 2). Median survival time of all stage IIIB and IV patients was 441 days; 1- and 2-year survival rates were 54% (95% CI, 42% to 67%) and 35% (95% CI, 20% to 51%), respectively. The difference in survival between dose cohorts 1 and 2 versus 3 in advanced-stage patients was not significant (P = .5148).
Activation of Immune Responses
Before vaccination, nine of 36 patients lacked a significant ELISPOT response when stimulated with PMA+I (Table 3). However, seven of these nine patients generated a positive ELISPOT polyclonal response (PMA+I) at week 12 after belagenpumatucel-L vaccination. Furthermore, a majority of advanced-stage patients with stable disease or better produced a markedly elevated IFN- response (ELISPOT activity) when challenged with belagenpumatucel-L (Table 3). Twelve of 20 patients with clinical response (partial response or stable disease) displayed a two-fold response. By comparison, five of 16 patients with progressive disease (P = .086, Pearsons 2; n = 36) produced an elevated ELISPOT response (Table 3).
Ab-Mediated Immune Response
Abs reactive with belagenpumatucel-L were determined. Seven of 57 patients showed an increase in an IgM titer
Historically, NSCLC has generally been regarded as a nonimmunogenic cancer.37 Immunotherapy for lung cancer has yielded little benefit in humans,38-40 although preliminary results of more recent vaccine studies designed to enhance tumor antigen recognition have demonstrated beneficial outcome in subsets of patients.12,13,41-43 In the current study, we defined a clear dose-related effect of belagenpumatucel-L involving both early- and late-stage patients. We also found an impressive survival advantage at dose levels 2.5 x 107 cells/injection, with an estimated 2-year survival rate of 47% in response to belagenpumatucel-L in advanced-stage patients. This compares favorably to the historical 2-year survival rate of less than 20% in stage IIIB and IV NSCLC patients. Furthermore, a correlation of positive clinical outcome with induction of immune enhancement of tumor antigen was observed. Hypotheses as to why previous immune approaches to NSCLC have yielded disappointing results include ineffective priming of tumor-specific T cells, lack of high-avidity tumor-specific T cells, and physical or functional disabling of primed tumor-specific T cells by primary host and/or tumor-related mechanisms. For example, a high proportion of the tumor-infiltrating lymphocytes in NSCLC tissue are immunosuppressive regulatory T cells (CD4+CD25+) with spontaneous TGF-ß secretion and constitutive high-level expression of cytotoxic T-cell lymphocyte-4.44,45 These have been shown to specifically prevent effective immune activation44,46-52 and, thus, could lead to tolerance (or cross tolerance) of T cells rather than cross priming.44,45,53-57 In support of this hypothesis, elevated levels of IL-10 and TGF-ß are found in patients with NSCLC.
Indeed, evidence suggests that TGF-ß is a key immunosuppressive factor in NSCLC.15-21 TGF-ß is able to convert CD4+CD25naïve T cells to CD4+CD25+ regulatory T cells by induction of transcription factor Foxp3.58,59 The process of cancer recruitment and subsequent recognition by immune-processing cells (eg, natural killer T cells, There is evidence for shared antigens in lung cancers46-52 (Nemunaitis et al, submitted for publication), as is seen in other tumor types.79,80 Dendritic cells, as opposed to tumor cells, may be responsible for the induction of antitumor immunity in tumor-bearing hosts by a process of antigenic cross presentation.81,82 One of the critical factors in dendritic cellbased immunization is the activation status of dendritic cells. Immature dendritic cells are able to process antigen but are not able to stimulate potent immune responses. The secretion of TGF-ß2 by cancer cells may contribute to immunosuppression by blocking maturation of dendritic cells83 and reversibly regulating dendritic cell chemotaxis by modifying chemokine receptor expression.84 TGF-ß2 has been shown to immobilize dendritic cells within the tumor and reduce the number of dendritic cells migrating to drainage lymph nodes.85 Those dendritic cells reaching the drainage nodes are less likely to be completely activated, thereby favoring the induction of cross tolerance rather than cross priming.86 Our findings suggest that overall immune activation may contribute to a favorable clinical outcome. The current vaccination protocol used whole tumor cells, and the immunodominant antigens have not been characterized. Hence, immune response evaluations have been limited to the use of unfractionated belagenpumatucel-L preparations to encompass allogeneic as well as potential tumor-specific activational events. The selected immune assays represented attempts to document collateral immune activation events in the cellular (ELISPOT analyses) and humoral components (overall Ab production and HLA-directed Ab responses) that accompany belagenpumatucel-L vaccination. Vaccination-induced alloreactivity indicates that belagenpumatucel-L is effective across allogeneic barriers and is likely to translate into clinical effectiveness among immunocompetent patients who have the capacity to mount antigen-presentation/activation events against novel allo- and/or tumor-associated antigens. Our findings of upregulated immune responses that correlated with clinical responsiveness support the possibility that enhanced tumor antigen sensitization may be achieved through multiple treatments with the TGF-ß2 antisense-modified cancer vaccine. In conclusion, in view of the acceptable safety profile and suggested survival advantage, further investigation is recommended. Data presented support the hypothesis that inhibition of TGF-ß2 in an allogeneic cell vaccine results in sufficient repression of inhibiting factors to allow for immune recognition and effector cell activation in patients with advanced NSCLC.
Although all authors completed the disclosure declaration, the following authors or their immediate family members 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. For a detailed description of the disclosure categories, or for more information about ASCOs conflict of interest policy, please refer to the Author Disclosure Declaration and the Disclosures of Potential Conflicts of Interest section in Information for Contributors.
Dollar Amount Codes (A) < $10,000 (B) $10,000$99,999 (C)
We thank Brenda Marr and Jennifer Hartley for manuscript preparation; Linda Jennings, PhD, for statistical analysis; Douglas Smith, MD, for HLA-related analyses; and Steven Dubinett, MD, for the cell line RH-2 analysis.
published online ahead of print at www.jco.org on September 11, 2006. Supported in part by Small Business Innovative Research Grant No. 1 R44 CA96025 (H.F.). Terms in blue are defined in the glossary, found at the end of this article and online at www.jco.org. Authors disclosures of potential conflicts of interest and author contributions are found at the end of this article.
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