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Circulating Tumor Cells, Disease Progression, and Survival in Metastatic Breast Cancer Massimo Cristofanilli Metastatic breast cancer (MBC) is considered incurable; therefore, palliative treatment is the only option. The biologic heterogeneity of the disease is reflected in its somewhat unpredictable clinical behavior. The presence of circulating tumor cells (CTCs) in patients with MBC about to start a new line of treatment has been shown to predict progression-free and overall survival. This prognostic value is independent of the line of therapy (eg, first or second line). Moreover, a multivariate analysis has shown the prognostic value of CTCs to be superior to that of site of metastasis, type of therapy, and length of time to recurrence after definitive primary surgery. These data suggest that the presence of CTCs may be used to modify the staging system for advanced disease. Larger studies are needed to confirm these data and evaluate the use of CTC detection in monitoring treatment and furthering our understanding of breast cancer biology when combined with other diagnostic technologies. Semin Oncol 33(suppl 9):S9-S14 © 2006 Elsevier Inc. All rights reserved. B reast cancer is one of the most frequently diagnosed types of cancer and a leading cause of cancer death in women.1 The vast majority of these deaths are caused by recurrent metastatic disease. Occult dissemination of tumor cells is the main cause of recurrent metastatic breast cancer (MBC) in patients who have undergone resection of their primary tumor.2 Approximately 5% of patients with breast cancer have clinically detectable metastases at the time of initial diagnosis. A further 30% to 40% of patients who appear clinically free of metastases harbor occult metastases.3,4 The formation of metastatic colonies is a continuous process, commencing early during the growth of the primary tumor. Metastasis occurs through a cascade of linked sequential steps involving multiple host-tumor interactions. To successfully create a metastatic deposit, a cell or group of cells must be able to leave the primary tumor, invade the local host tissue, and survive to proliferate. This complex process requires the cells to enter the circulation, arrest at the distant vascular bed, extravasate into the organ interstitium and parenchyma, and proliferate as a secondary colony. Several experimental studies suggest that during each stage of the process only the most fit tumor cells survive.2 A very small percentage (less than .01%) of circulating tumor cells (CTCs) ultimately initiate successful metastatic colonies. Thus, me- tastasis is a highly selective competition favoring the survival of a minor subpopulation of metastatic tumor cells. These findings suggest that the use of novel, sophisticated diagnostic technologies can allow early identification of micrometastatic foci, providing an opportunity for early intervention in patients at high risk, and a better risk stratification in patients with metastatic disease, leading to appropriate treatment development and patient selection. The detection of microscopic disease in breast cancer has been evaluated in lymph nodes, bone marrow (primary breast cancer), and peripheral blood (metastatic disease).3-6 Most of these studies have shown that the detection of microscopic disease in patients with breast cancer contributes prognostic information and, in selected cases, can predict the efficacy of treatments.6 In primary breast cancer, the detection of microscopic disease in lymph nodes and bone marrow has led to a better understanding of the role of minimal residual disease. The detection of tumor cells in the locoregional lymph nodes of women with early breast cancer using immunohistochemical analysis is technically feasible, and the presence of these cells has been shown to have a negative effect on long-term prognosis.7 In this review, we specifically discuss the detection of microscopic disease in the peripheral blood, and the prognostic implication and clinical use of determining the presence of CTCs. Department of Breast Medical Oncology, The University of Texas M. D. Anderson Cancer Center, Houston, TX. Address reprint requests to Massimo Cristofanilli, MD, FACP, Department of Breast Medical Oncology, Unit 1354, The University of Texas M. D. Anderson Cancer Center, 1515 Holcombe Blvd, Houston, TX 770304009. E-mail: [email protected] Detection of CTCs in MBC 0093-7754/06/$-see front matter © 2006 Elsevier Inc. All rights reserved. doi:10.1053/j.seminoncol.2006.03.016 The first report on tumor cells in the peripheral circulation was attributed to Ashworth in 1869.8 Since then, the existence, origin, and clinical significance of CTCs have been S9 M. Cristofanilli S10 debated. The introduction of more sensitive and specific immunohistochemical techniques in the late 1970s led to renewed interest in the detection of CTCs and their possible association with minimal residual disease in solid malignancies.9,10 But, despite evidence of the prognostic value of CTCs in some studies, the detection of micrometastases was never incorporated into cancer staging protocols or considered a valuable tool for clinical use. This may be the result of a combination of factors, such as variable antigen expression in poorly differentiated tumors and reports of cytokeratin and epithelial membrane antigen positivity in nonepithelial cells, which showed a need for more sensitive and specific methods of detection than were available at the time. This need was fulfilled to some degree by more sensitive polymerase chain reaction (PCR) techniques in the late 1980s, which greatly facilitated the detection of occult tumor cells through the use of nucleic acid analysis.11-13 In the past decade, a few studies have shown that the detection of occult disease by PCR has prognostic significance in some solid tumors.14 However, because these PCR-based assays for the detection of occult tumor cells have limitations, particularly contamination of samples, sensitivity and specificity of the assay, and inability to quantify tumor cells, they cannot be used to perform functional assays. These factors have precluded the widespread use of PCR in in vitro diagnostic applications. Over the past few years, immunomagnetic separation technology, with its higher level of sensitivity and specificity, has been used to improve the detection of CTCs.15-17 In this technique, the specimen is incubated with magnetic beads coated with antibodies directed against epithelial cells. The epithelial cells are then isolated using a powerful magnet. The magnetic fraction can be used for downstream reverse-transcriptase PCR, flow cytometry, or immunocytochemical analysis.18,19 Using this approach, Austrup et al reported the prognostic significance of genomic alterations (eg, c-erbB2 overexpression) present in circulating cells purified from the blood of patients with breast cancer.20 The authors investigated genomic imbalances such as mutation, amplification, and loss of heterozygosity of 13 tumor suppressor genes and two protooncogenes using DNA from isolated minimal residual cancer cells. The presence and number of genomic imbalances measured in disseminated tumor cells were significantly associated with worse prognosis.20 More recently, advances in technology have facilitated the detection of extremely rare CTCs. The CellSearch system (Veridex, LLC, Warren, NJ) was designed to detect circulating epithelial cells in whole blood. This system is based on the principle of immunomagnetic isolation of epithelial cells, with subsequent counting provided by immunofluorescent analysis of cytokeratin expression.21,22 Prognostic Role of CTCs The predictive and prognostic roles of CTCs were recently investigated in a prospective multicenter clinical trial led by researchers at The University of Texas M. D. Anderson Cancer Center (Houston, TX).6 In this study, CellSearch was used to prospectively determine the prognostic and predictive value of CTCs in patients with MBC who were about to start a new systemic treatment. The 177 enrolled patients underwent blood collection at monthly intervals for up to 6 months after enrollment (Table 1). A cutoff of 5 CTCs/7.5 mL was used to stratify patients into positive and negative groups (positive, ⱖ5 CTCs/7.5 mL; negative, ⬍5 CTCs/7.5 mL). Patients classified as positive had shorter progression-free survival times (2.7 v 7.0 months; P ⫽ .0001) and shorter overall survival times (10.9 v 21.9 months; P ⬍.0001) than did those classified as negative (Fig 1). At first follow-up after initiation of therapy (3 weeks) there was an increased difference between CTC-positive and -negative patients in terms of progression-free survival time (2.1 v 7.0 months; P ⬍.0001) and overall survival time (8.2 v ⬎18 months; P ⬍.0001). On multivariate Cox hazards regression analysis, CTC levels, both at baseline and at first follow-up, were the most significant predictors of progression-free survival and overall survival.6 These data suggest several important considerations. First, and more relevant to clinical practice, is the demonstration Table 1 Demographics of Patients With Metastatic Breast Cancer Before Undergoing New Systemic Treatment N All patients Age at baseline (yrs) Median (yrs) Race White Black Hispanic Unknown ER/PR ER/PRⴙ ER/PRⴚ Unknown HER2 status HER2ⴚ (0ⴚ2ⴙ) HER2ⴙ (3ⴙ) 26 Unknown Line of chemotherapy for metastases 1st 2nd >3rd Unknown Site of metastasis Visceral Non-visceral Survival status Alive Dead Average [mean] follow-up Time alive (mos) (N ⴝ 74) Average [mean] dead ⴞ SD (mos) (N ⴝ 103) % 177 58.5 ⴞ 13.4 59 152 14 7 4 86 8 4 2 120 55 2 68 31 1 122 15 29 69 83 25 67 2 47 14 38 1 145 32 82 18 16 74 42 103 58 19.5 ⴞ 5.7 (median, 20.9 months) 10.3 ⴞ 6.9 (median, 8.8 months) Abbreviations: ER, estrogen receptor; HER, human epidermal growth factor receptor; PR, progesterone receptor; SD, standard deviation. CTCs, disease progression, and survival that detection of CTCs is superior to known factors, such as site of metastasis (visceral versus non-visceral) and estrogenreceptor status, that have been previously considered important variables for prognostic evaluation. Furthermore, these results showed that CTCs are detectable in MBC irrespective of the site of metastasis, the line of therapy (eg, patients who are newly diagnosed versus those undergoing second- or third-line therapy), and, more importantly, initial hormone receptor status. Of note was the fact that the proportion of patients with newly diagnosed metastatic disease about to undergo first-line treatment who were CTC-positive (ⱖ5 CTCs/7.5 mL) was similar to the proportion of patients undergoing at least second-line treatment who were CTC-positive (52% v 48%, respectively).6 The detection of CTCs predicted overall survival independently of the number of previous treatments, but the association was particularly strong for patients undergoing first-line treatment for metastatic disease (Fig 2).23 The data at first follow-up supported the predictive value of CTCs. As expected, the CTC detection rate in the group tested at first follow-up was lower than the baseline, particularly in patients undergoing first-line treatment (25% v 52%) and those with visceral disease (28% v S11 Figure 2 Kaplan-Meier plots of overall survival in first-line therapy MBC patients with ⬍5 CTCs or ⱖ5 CTCs (per 7.5 mL) at baseline. The analysis includes 94 patients with measurable and evaluable (bone only) disease. Overall survival was calculated from the time of the baseline blood draw. Coordinates of dashed lines indicate median survival time. CTCs, circulating tumor cells; CI, confidence interval; HR, hazard ratio; OS, overall survival. 50%).6 These data indicate that patients with newly diagnosed disease who are about to start first-line therapy may have detectable CTCs, and the changes in these detection rates at 3 to 4 weeks may indicate benefit from the use of systemic treatment (particularly chemotherapy). However, this short follow-up testing might be less useful in patients who presumably have more indolent disease (eg, patients undergoing hormonal treatment). A recent update and reanalysis of the data from this pivotal study, which included data from an additional 46 patients with bone-only MBC, confirmed the observation in the initial report indicating that the detection of CTCs at baseline was associated with a significant cumulative hazard risk of death (53% v 19% with and without CTCs, respectively; P ⫽ .0001) in patients with measurable as well as ‘nonmeasurable’ MBC.24 In summary, the detection of CTCs in patients with MBC is associated with important prognostic implications, allowing for a defined stratification of risk of death. These findings suggest that CTC detection can be used for a stage subclassification of MBC that would modify our approach to treatment planning and, more importantly, allow for more sophisticated design of efficacy trials. Staging Classification for MBC Using CTCs Figure 1 Kaplan-Meier plots of (A) progression-free survival and (B) overall survival in MBC patients with ⬍5 CTCs or ⱖ5 CTCs (per 7.5 mL) at baseline. Progression-free survival and overall survival were calculated from the time of the baseline blood draw. Coordinates of dashed lines indicate median survival time. CTCs, circulating tumor cells. The American Joint Committee on Cancer (AJCC) classification system includes much of the traditional prognostic information used by clinicians when developing a comprehensive treatment plan. This system was based on a schema developed by the Union Internationale Contre le Cancer S12 (UICC).25-27 In brief, the AJCC system attempts to define the disease by incorporating all aspects of cancer distribution in terms of the primary tumor (T), lymph nodes (N), and distant metastasis (M). A ‘stage’ group (0, I, II, III, or IV) is then assigned on the basis of the possible TNM permutations, with 0 reflecting minimal involvement and IV either the most tumor involvement or distant metastasis. This basic TNM staging is then further subdivided according to the time the evaluation is performed: c ⫽ clinical (before surgical treatment) and p ⫽ pathologic (after surgical specimen analysis).7,28 Over the past 45 years, the AJCC has regularly updated its staging standards to incorporate advances in prognostic technology. The committee’s current work concerns the development of prognostic indices based on molecular markers. But until these changes are incorporated, TNM staging quantifies only the physical extent of disease and, although it includes the approximately 2% of women who initially present with primary metastatic disease (stage IV), the prognostic information is only applicable to in situ, local, and regional primary breast cancers. This is somewhat problematic in that because of the heterogeneity of the disease, the potential for continued mutation, and the variety of treatment options available, the information acquired at the time of the primary diagnosis of breast cancer may not be as relevant to planning the treatment of the approximately 30% of women with breast cancer who present with recurrent MBC years after their initial diagnosis. The recent demonstration that the presence of CTCs predicted the prognoses of two subgroups of patients with MBC raises the possibility that this method will allow for a true ‘biologic staging’ of breast cancer (eg, stages IVA and IVB).6 The main limitations of the previous completed study were the sample size (only 177 patients), the inclusion of measurable-disease-only patients, which did not reflect the real clinical heterogeneity of MBC, the inclusion of patients at different points in treatment, and those who have newly diagnosed disease versus those undergoing second- or third-line treatment, whose benefit from further therapy could have been limited by the advanced status of their disease. To overcome these limitations, a larger international validation trial, the International Stage IV Stratification Study, has recently begun (Fig 3). The objective of this study is to confirm the prognostic value of CTC detection in a larger and more homogeneous cohort of patients with newly diagnosed MBC. The study aims to enroll 660 patients and will enable a more detailed analysis of the association between CTC detection and other factors, such as ethnicity (black compared with white and Hispanic groups) and specific disease sites (visceral v non-visceral disease). Accrual is expected to be completed by November 2006, which will allow completion of data analysis by late 2007. This study may well help provide definitive information on the subclassification of stage IV disease for the revised 7th edition of the AJCC’s Cancer Staging Manual. Clinical Application of CTCs Despite years of clinical research, the odds of patients with MBC achieving a complete response remain extremely low. M. Cristofanilli Figure 3 Schematic representation of the prospective International Stage IV Stratification Study. Six hundred sixty patients with newly diagnosed MBC will be enrolled and, after having blood drawn at baseline, will be receiving treatments. Patients will have follow-up of their condition until death. There is no planned interim analysis or additional blood evaluation. Dx, diagnosed; MBC, metastatic breast cancer; Tx, treatment. Thus, the main goal in the management of this entity is palliation.29,30 Only a few patients who experience a complete response after chemotherapy remain in this state for prolonged periods, with some remaining in remission for more than 20 years.30 These long-term survivors are usually young, have an excellent performance status, and, more importantly, have limited metastatic disease.31,32 Most patients with metastatic disease respond transiently to conventional therapies and develop evidence of progressive disease within 12 to 24 months of starting treatment.29 For these patients, systemic treatment does not result in a significant improvement in survival time but substantially improves their quality of life. At the present time, clinicians can use three different systemic treatment modalities for advanced breast cancer: endocrine therapy, chemotherapy, and biologic targeted therapy.33-35 Appropriate selection of patients for these modalities is based mostly on tissue assessment of hormone receptor status (estrogen and progesterone receptors) and c-erbB2 status. In patients who lack expression of hormone receptors or who show no amplification of c-erbB2, cytotoxic chemotherapy is used. However, no standard therapeutic regimen has been defined. For example, the optimal schedule of chemotherapy administration in MBC (ie, concurrent v sequential) remains controversial, and the decision must be individualized. Sledge et al36 addressed this issue in a prospective study that included 739 chemotherapy-naive patients who were randomly assigned to receive, at progression, doxorubicin, paclitaxel, or a combination of both. Although the response rates and times to treatment failure were improved with the combination regimen, the overall survival rate was comparable between the groups. Other trials have shown a survival advantage for combination regimens, but all of these studies have reported differences in median overall survival time, suggesting that even with comparable inclusion criteria the heterogeneity typical of MBC cannot be eliminated.37,38 This is indeed one of the major limitations to the development of more personalized treatments for patients. Therefore, although the data show that patients can benefit from combination therapy, they do not clearly identify the CTCs, disease progression, and survival subsets of patients who most benefit or who experience only additional toxicity. In this context, the use of CTCs to stratify patients at the time of disease recurrence may be appropriate. CTC detection may allow a more rational selection of treatments for patients with newly recurred disease, and this approach could maximize the chance of a particular combination or single new drug showing clinical benefit and, eventually, prolonging survival. In essence, it is possible that CTC detection could be used in the design of efficacy trials of different therapeutic approaches. The efficacy of these treatments will be more easily assessed when patients have been stratified by their prognosis, leading to more tailored treatment strategies. We believe that the challenge for the next generation of clinical trials, and the responsibility for both clinical investigator and the pharmaceutical industry, will be to incorporate these concepts into the process of drug development. S13 tional, with decreased levels of major histocompatibility complex class II, CD86 (B7) expression, and interleukin-12 secretion.49 The inherent and dynamic phenotypic instability of breast tumor cells complicates these issues of breast cancer biology. Because tumors arise endogenously and progress, a continual dialogue between the tumor phenotype and the immune response ensues, with each influencing the other to evolve.50 Therefore, being able to evaluate both the phenotype of CTCs and the related immune response is a critical step in understanding the complexity of tumor immunity in patients with breast cancer, and will enable more effective vaccine strategies to be designed. A recently developed glycan array has shown the capacity to detect a particular profile of antibodies directed against cancer-specific carbohydrate antigens.51,52 The further development of this novel technology in combination with CTC detection will represent a new frontier in breast cancer microdiagnostics. Future Uses of CTCs The process of sorting cancer cells from other cellular components (eg, blood and stromal cells) in clinical samples is fundamentally important for the future of genomic and proteomic analysis.39-42 Indeed, the feasibility of evaluating the gene expression profiles of cancer cells depends mostly on the quality of the specimen (relative proportion of cancer cells) and the amount of nucleic acid that can be extracted from the appropriate cells to provide mRNA suitable for analysis.41,42 Fine-needle aspiration biopsy of malignant lesions is frequently used for diagnostic purposes, but the percentage of malignant cells recovered with this procedure ranges widely (60% to 90%).41,42 Pusztai et al42 showed that singlepass fine-needle aspiration biopsies can provide samples consisting of approximately 79% cancer cells (range, 25% to 100%). Collecting representative tissue in the metastatic setting from solid tumors is more complex and usually requires more invasive procedures that increase the risk of complications and discomfort. Furthermore, these procedures may not provide an adequate specimen for detailed analysis and typically cannot be repeated for a dynamic evaluation of the biologic changes during treatments. Theoretically, CTC detection would allow specific genes (eg, c-erbB2, EGFR, and MGB) or more global gene expression to be analyzed while using specific targeted treatments in metastatic disease.43-46 This information could then be used to design specific treatments that more appropriately reflect the dynamics and heterogeneity of MBC.43 The prognostic value of CTCs in the setting of MBC raises the possibility that their presence or absence could be indicative of the complex interplay between the host and the disease, providing some indirect information on tumoral immunity. Substantial evidence exists for immune defects in patients with breast cancer, demonstrated particularly by increased numbers of functionally suppressive CD4⫹CD25⫹ T-regulatory cells in the peripheral blood.47,48 Furthermore, dendritic cells obtained from the peripheral blood and lymph nodes of patients with operable breast cancer are dysfunc- Conclusion The detection of microscopic disease in the peripheral blood of patients with MBC is associated with prognostic information. These data will allow appropriate risk stratification and modification of the current staging system for advanced disease. Moreover, it is expected that investigators and the pharmaceutical industry will derive benefit from these technologies that will contribute to more tailored treatments and sophisticated trial designs. Using a combination of CTC detection and other diagnostic technologies will help us further understand the complex and heterogeneous tumor phenotype and its relationship with tumor-related immunity. References 1. National Cancer Institute: SEER Cancer Statistics Review (1975-2000). Available at: http://seer.cancer.gov/csr/1975_2000 Accessed September 2005 2. Folkman J: Tumor angiogenesis: Therapeutic implications. N Engl J Med 285:1182-1186, 1971 3. Clare SE, Sener SF, Wilkens W, et al: Prognostic significance of occult lymph node metastases in node-negative breast cancer. Ann Surg Oncol 4:447-451, 1997 4. Braun S, Pantel K, Müller P, et al: Cytokeratin-positive cells in the bone marrow and survival of patients with stage I, II or III breast cancer. N Engl J Med 342:525-533, 2000 5. Cristofanilli M, Budd GT, Ellis M, et al: Circulating tumor cells, disease progression, and survival in metastatic breast cancer. N Engl J Med 351:781-791, 2004 6. 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Liyanage UK, Moore TT, Joo H-G, et al: Prevalence of regulatory T cells is increased in peripheral blood and tumor microenvironment of patients with pancreas or breast adenocarcinoma. J Immunol 169:27562761, 2002 49. Pockaj BA, Basu GD, Pathangey LB, et al: Reduced T-cell and dendritic cell function is related to cyclooxygenase-2 overexpression and prostaglandin E2 secretion in patients with breast cancer. Ann Surg Oncol 11:328-339, 2004 50. Dunn GP, Old LJ, Schreiber RD: The three Es of cancer immunoediting. Annu Rev Immunol 22:329-360, 2004 51. Blixt O, Head S, Mondala T, et al: Printed covalent glycan array for ligand profiling of diverse glycan binding proteins. Proc Natl Acad Sci U S A 101:17033-17038, 2004 52. Huflejt M, Cristofanilli M, Shaw L, et al: Detection of neoplasia-specific clusters of anti-glycan antibodies in sera of breast cancer patients using a novel glycan array. Proc Am Assoc Cancer Res 46:1312, 2005 (abstr 5578)