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a Department of Surgery, University of Minnesota, Minneapolis, Minnesota
b Department of Medicine, University of Minnesota, Minneapolis, Minnesota
c Department of Surgery, Minneapolis Veterans Affairs Medical Center, Minneapolis, Minnesota
d Division of Biostatistics, University of Minnesota School of Public Health, Minneapolis, Minnesota
Accepted for publication July 2, 2008.
* Address correspondence to Dr Maddaus, University of Minnesota, Department of Surgery, MMC 207, 420 Delaware St SE, Minneapolis, MN 55455 (Email: madda001{at}umn.edu).
| Abstract |
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Methods: We performed a prospective cohort study of lobectomy patients undergoing either VATS or thoracotomy. We isolated PBMCs from perioperative blood samples, and performed cytokine analysis on plasma fractions. Using flow cytometry, we analyzed PBMC phenotype (CD3, CD16/56, CD4, CD8) and T-cell activation markers (CD25, CD69, HLA-DR). Using a chromium release assay, we quantified cellular cytotoxicity. To assess gene expression differences, we used Affymetrix messenger ribonucleic acid microarray and polymerase chain reaction analysis.
Results: A total of 13 patients enrolled in our study: 6, VATS; 7, thoracotomy. On postoperative day 1, interleukin-6 and matrix metalloproteinase-9 were significantly different between the two groups. On day 2, cellular cytotoxicity (0.34) was significantly greater (p < 0.05) after VATS, as compared with thoracotomy (0.18). In both groups, cytotoxicity returned to baseline and was equivalent at first follow-up (VATS, 29.4 days versus thoracotomy, 29.3 days; p > 0.05). We noted minimal yet significant differences in PBMC phenotype, but no differences in T-cell activation makers. A 9-gene polymerase chain reaction–validated subset clustered the two groups with complete concordance.
Conclusions: Video-assisted thoracoscopic surgery lobectomy for non–small-cell lung cancer is associated with less impairment of cellular cytotoxicity, as compared with thoracotomy. We found that this difference was not accounted for by PBMC phenotypic changes. Instead, PBMC gene expression changes likely represent the molecular basis of this differential immune response.
| Introduction |
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For patients with early-stage non–small-cell lung cancer (NSCLC) who undergo resection with curative intent, typically a thoracotomy lobectomy, the survival rate is poor and tumor recurrence rates vary [7, 8]. Recent reports have suggested that the video-assisted thoracoscopic surgery (VATS) approach to lobectomy for NSCLC patients may have potential survival advantages, as compared with the traditional thoracotomy [9, 10]. These two approaches to lobectomy have been touted as being oncologically equivalent; however, the underlying mechanism(s) for the potential differences in survival have not been elucidated. Studies on these two approaches to lobectomy have focused on the postoperative cytokine stress response [3, 11, 12].
The perioperative cytokine response is relatively well characterized, but the effect on the peripheral blood mononuclear cells (PBMCs), or immune effector cells, is not. The cytokine response may be a reflection of changes in PBMCs, some of which may be functional and at the level of gene expression. Investigations into mechanisms of immunologic benefits associated with thoracoscopic surgery must begin with PBMCs. If PBMCs are differently affected by surgical approach, elucidating these functional changes may begin to explain the observed differences in morbidity and survival. We theorize that, in patients undergoing lobectomy for NSCLC, surgical stress may inhibit their baseline immune function, leaving them susceptible to infectious complications or to lessened tumor surveillance, thus potentially diminishing survival. In this study, we focus on the PBMC leukocyte fraction, which consists of natural killer cells and T-cell lymphocytes. The hypothesis of our study is that the VATS approach to lobectomy for early-stage NSCLC has a less detrimental effect on PBMC function, as compared with thoracotomy, and this difference is driven by differential gene expression.
| Material and Methods |
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We performed a prospective, observational study in consecutive patients who underwent lobectomy for early-stage NSCLC. The choice of the surgical approach to lobectomy was not influenced by study design. We collected blood samples from patients at four predetermined time intervals: the morning of surgery (postoperative day [POD] 0), POD 1, POD 2, and at the first follow-up clinic visit.
The VATS and thoracotomy were performed as previously described. In brief, the VATS is a non–rib-spreading approach using three or four 1-cm incisions for trocars and a 4- to 6-cm access incision. The thoracotomy approach used a traditional posterolateral thoracotomy incision at the fifth intercostal space [13].
Sample Collection
Patients underwent a peripheral venipuncture collection of a 30-mL blood sample in acid citrate dextrose vacuum containers. Within 2 hours of collection the blood was centrifuged; the plasma fraction was isolated and frozen (–80°C) for batch cytokine analysis processing. Peripheral blood mononuclear cells were isolated by Ficoll density gradient separation [6]. Viability was determined by standard 0.4% trypan dye exclusion with a hemacytometer [6]. Subsequently, PBMCs were divided into aliquots for phenotypic analysis, cellular cytotoxicity analysis, and gene expression analysis.
Cytokine Analysis
To quantify cytokine levels, we used a Bio-Plex suspension array system (Bio-Rad Laboratories, Inc, Hercules, CA) incorporating Luminex microsphere technology (Luminex Corp, Austin, TX) [6]. Interleukin (IL) 6, IL-8, matrix metalloproteinase-9 (MMP9), and insulin-like growth factor binding protein-3 (IGFBP3) levels were measured for each sample.
Phenotypic Analysis
The PBMC aliquot slated for phenotypic analysis was stained with antibody or the appropriate isotype control (Becton, Dickinson and Company, San Jose, CA, or eBioscience, Inc, San Diego, CA) and washed, as previously described [6]. Next, PBMCs underwent four-color immunophenotypic fluorescent-activated cell sorting analysis on a FACSCaliber flow cytometer with CellQuest (Becton, Dickinson and Company) [6]. Cell surface markers CD3+/CD4+ denoted T-helper cells, CD3+/CD8+ denoted cytotoxic T cells, and CD3–/CD16+CD56 denoted natural killer cells. The CD3+/CD4+ fraction was analyzed for T-cell activation markers (CD25, CD69, and HLA-DR).
Cellular Cytotoxicity Analysis
We used a standard chromium 51 (51Cr) release assay [6] to analyze cellular cytotoxicity. K562 target cells, a lymphoblastic cell line derived from a patient with chronic myelogenous leukemia, which predominantly evaluates unstimulated natural killer cell cytotoxicity, were incubated with 51Cr for 1 hour and rinsed. Then 100,000 effector cells were pipetted into 96-well microtiter plates and mixed with K562 target cells at a 20:1 concentration. Each sample was run in triplicate. With each analysis, we obtained target cell background and total gamma radiation release values in sextuplets. Cells were incubated at 37°C and 5% CO2 for 4 hours. The supernatant was collected and percent specific lysis (PSL) was calculated using:
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Gene Expression Analysis
The aliquot for gene expression analysis underwent total messenger ribonucleic acid (mRNA) extraction using a combined Trizol and silica gel column method (RNEasy, Qiagen, Valencia, CA) [6]. Isolated total mRNA was frozen (–80°C) until either biotin labeling for microarray analysis or gene expression analysis. For complementary ribonucleic acid (cRNA) microarray analysis, we used mRNA samples from POD 2 for the first 5 patients in both groups (n = 10 arrays total). The POD 2 time was chosen because of significant observed differences in cytotoxic function. Biotin-labeled cRNA was made, purified, quantified, fragmented, and hybridized to Affymetrix human U133 plus 2.0 microarray chips (Affymetrix, Santa Clara, CA) [6].
Gene Signature Validation
To validate the reliability of our Affymetrix microarray data, we selected nine genes (all underexpressed in VATS patients relative to thoracotomy patients) to determine the relative expression differences in all of the patients' POD 2 mRNA samples through quantitative real-time reverse-transcriptase polymerase chain reaction analysis (QRT-PCR) [14]. Two-step QRT-PCR was performed with complementary deoxyribonucleic acid and the QuantiTect SYBR Green PCR Kit (Qiagen, Inc) on the ABI Prism 7300 Real-Time PCR System (Applied Biosystems, Foster City, CA) following the manufacturers' specifications. Each gene and sample was run in triplicate.
To determine the relative quantitation of gene transcripts, we used the comparative threshold cycle method (
Ct) [15, 16] with the following formulas:
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Statistical Analysis
Within both groups, we performed statistical analysis to determine any postoperative variance from baseline; between groups at each time to determine differences between the two surgical approaches (
= 0.05). We used the Student's t test for analysis between groups; within groups, a one-way analysis of variance was used in addition to the Student's t test. For nominal and ordinal variables, we used the Chi-square test. Results are reported as mean ± standard errors of the mean. We obtained the normalized microarray gene expression data using the robust multiarray average expression measure [17]. To detect differentially expressed genes between groups, we performed significance analysis of microarray [18]. To control the proportion of false positives, we calculated the false discovery rate [19].
| Results |
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Phenotypic Changes
The perioperative PBMC phenotype was very similar between the VATS and thoracotomy groups. We saw no significant differences in concentrations of CD3–CD16+CD56 natural killer cells or of CD3+ T cells postoperatively. Similarly, we saw no differences postoperatively in the CD3+/CD4+ lymphocyte subset. However, in the CD3+/CD8+ subset, the differences were statistically significant between groups, but only preoperatively (POD 0; Fig 1A). In terms of the CD4/CD8 ratio, the differences between groups were significantly different on POD 0 and at first follow-up (Fig 1B). We found no differences between groups' T-lymphocyte activation markers for CD25, CD69, or HLA-DR. Within both groups, we saw postoperative differences only in HLA-DR.
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We cross-referenced this 99-gene set with the Affymetrix probe set database (www.affymetrix.com), the National Institutes of Health's National Center for Biotechnology Information Entrez Gene (http://www.ncbi.nlm.nih.gov/sites/entrez?db=gene), and the Weizmann Institute of Science's GeneAnnot (http://bioinfo2.weizmann.ac.il/geneannot/) and GeneCards (http://www.genecards.org). Pathway associations were evaluated though Ingenuity Pathway Analysis (Ingenuity Systems, Redwood City, CA). We identified a highly selective nine-gene subset (Table 3) that were all downregulated in the mRNA of our VATS patients. We used this nine-gene subset for QRT-PCR validation of our microarray analysis in all POD 2 mRNA samples.
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This highly selective subset of genes showed a high degree of concordance between the relative QRT-PCR fold expression changes and the microarray fold expression changes, with a regression coefficient of 0.84 (Fig 3). In this analysis we did not collect cytosolic samples for protein quantification associated with the gene expression. Collection for this type of analysis in future studies would be of value. We measured the levels of plasma IGFBP3 and MMP9 in our samples (Fig 4). Both IGFBP3 and MMP9 have been associated with the differential postoperative immune response [12] and found in our gene expression analysis. For IGFBP3 levels, we found no significant differences within or between groups. We observed elevated IGFBP3 levels in the VATS group on POD 1 and POD 2. On POD 1, the MMP9 level in the VATS group was significantly greater, as compared with the thoracotomy group. Within the VATS group, MMP9 levels significantly increased postoperatively and then returned to baseline levels at first follow-up.
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| Comment |
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In patients undergoing resection for gastric and colon cancers, Ogawa and coworkers [22] demonstrated through cytokine and cytometric analysis that surgery caused a decrease in PBMC function for up to 2 weeks postoperatively. Until now, human data on the immunosuppressive effect of surgery for NSCLC have been limited to cytokine and cytometric analysis [3, 11, 12]. In a rat model of surgical stress that used laparotomy and thoracotomy to modulate the extent and duration of the trauma, Hirai and associates [23] correlated increased surgical stress with an increased number of lung cancer metastases and with a decrease in survival. They termed this surgical facilitation of metastasis "surgical oncotaxis."
Cytokines and Surgical Stress Model
The observed postoperative cytokine response experienced by our patients was similar to that described in the literature, in terms of its character and duration [3, 11]. Immediately postoperatively, inflammation surges, then subsides with time. Evidence in the literature increasingly shows that minimally invasive surgical approaches are less immunosuppressive than their traditional open counterparts [2, 3, 11], and this observation has been ascribed to the cytokine response [2, 3]. The response they have observed is similar to that which we observed in our study: a quick postoperative rise, muted in the minimally invasive approaches, then a relatively rapid return to baseline.
Peripheral Blood Mononuclear Cell Response
Characterizing the cytokine response postoperatively is important, but the deep-seated question we intended to answer was whether or not there are functional differences in PBMCs. By measuring the cytotoxic function of our PBMC fraction with the 51Cr release assay, we demonstrated that surgical stress (lobectomy for NSCLC) caused a decrease in the function of the innate arm of the immune system. Furthermore, we observed that thoracotomy has a more deleterious effect than VATS. The differential effect is greatest on POD 2. The time of the effect lags the cytokine response by about a day. Video-assisted thoracoscopic surgery patients rebounded toward baseline more quickly than thoracotomy patients (whose nadir did not occur until at least POD 2). In both groups, changes in innate immune function were not accounted for by PBMC phenotype differences. We saw preoperative differences in T lymphocytes, but no postoperative differences. Similarly, between groups, T-lymphocyte activation markers did not differ.
Three potential explanations for the lack of demonstrable differences in T-lymphocyte activation markers relate to the time course of the samples, the nonpurified nature of the samples, and the possible absence of activated T-lymphocyte fractions in peripheral blood at the time of phlebotomy. Expression of CD69, CD25, and HLA-DR has been associated with the very early, early, and late activation of T lymphocytes [24]. We assumed that differential changes in activation would be apparent at the times we chose; all seemed clinically relevant and convenient, yet our assumption may be incorrect. Activated T lymphocytes might not circulate in peripheral blood postoperatively. They might be sequestered at the site of injury (eg, incision, dissection, resection), or at a nidus of inflammation or chemotaxis.
Many investigators have used enriched or purified, sorted, or stimulated samples to measure responses. Given the volume of blood needed for such measurements, we were not able to do so in our study. Future endeavors to further elucidate the lymphocyte response could consist of proliferation or stimulation assays and measurement of antibody production.
Differential Gene Expression
Using the high-density Affymetrix chip for our differential gene expression analysis, we were able to identify a 99-gene signature that helped us stratify data relatively well. Our QRT-PCR validation of the nine-gene subset on the entire POD 2 sample set allowed us to demonstrate that our microarray data were accurate. Our study combines phenotype analysis with functional data and differential gene expression in a human model of cancer.
The genes in our subset are associated with immune activation and cellular regulation. The BMX nonreceptor tyrosine kinase regulates eukaryotic initiation factor 4E, a requisite component for cap-dependent translation. Overexpression of eukaryotic initiation factor 4E has been implicated in oncogenesis [25]. Additionally, BMX nonreceptor tyrosine kinase is part of IL-6 induced differentiation. Leukocyte immunoglobulin-like receptor, subfamily B, member 3 modulates cellular immunoreceptor responses. Carcinoembryonic antigen-related cell adhesion molecule 1 is relevant to carcinogenesis and cellular signaling. Histone cluster 1, H3h expression increases during the S-phase and enhances access to deoxyribonucleic acid through histones that facilitate deoxyribonucleic acid wrapping and regulate transcription. Complement component 3a receptor 1 is a chemotactic factor for the complement component C3a. Signal-regulatory protein alpha is associated with an immunoglobulin-like cell surface receptor as well as intracellular signaling and cell cycle control.
Matrix metalloproteinase 9 is an inflammatory mediator. Insulin-like growth factor binding protein 7 is elevated in senescent and nonactivated cells. Matrix metalloproteinase 9, along with IGFBP3, has been associated with differential expression in thoracotomy and VATS patients. Ng and colleagues [12] reported that thoracotomy was associated with higher levels of MMP9 and IGFBP3. In our study, we observed similar findings with our plasma concentrations of IGFBP3. However, we observed that VATS patients had a higher level of MMP9, as compared with thoracotomy patients. In contrast, Ng and coworkers [12] used serum (instead of plasma) to measure MMP9 and IGFBP3. The type of container used was not reported in their study, and the tumor sizes differed. Why we observed the plasma values that we did for MMP9 is unclear, but collection and preservation differences might have played a role. However, in the mRNA of the PBMCs, we observed, by microarray analysis and then QRT-PCR validation, downregulation in MMP9 and insulin-like growth factor binding protein 7 expression. Our gene expression findings could be consistent with the findings reported by Ng and colleagues [12]. The recurrence of insulin-like growth factor pathway components (insulin receptor substrate 2, IGFBP3 and insulin-like growth factor binding protein 7, eukaryotic initiation factor 4E) underscores the importance of its contribution to cellular signaling and translational control.
Potential Limitations
Two potential limitations to our study were its nonrandomized nature and the small sample size. Given the nature of the surgical practices at our institutions and of our patients' disease presentations, we were not able to randomly assign patients. However, as a prospective study, consecutive patients were enrolled in both arms, without preselection. Both groups were well matched in terms of disease and comorbidities. The small sample size may lead to bias and enhance the potential for type II error. Nevertheless, we were able to observe functional differences on POD 2.
Conclusion
Our study showed that lobectomy for early-stage NSCLC was associated with transient inflammation, as demonstrated by cytokine changes consistent with the literature. The PBMC phenotype of thoracotomy and VATS patients was not significantly altered postoperatively. However, even though the PBMC phenotype did not change, thoracotomy had a greater decrease in innate immunity, as compared with VATS. Gene expression changes may represent the molecular basis of this differential immune response. Our study combined phenotype analysis with functional data and differential gene expression in a human model of cancer. Our encouraging and preliminary data set lays the groundwork to correct previous limitations. A larger, prospective, randomized, multicenter study is needed to continue our focus on the immunologic effects of surgical approach used to treat patients with early-stage NSCLC.
| Acknowledgments |
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