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Bioscience Reports, Vol. 21, No. 4, August 2001 ( 2002) MINI REVIEW The Lipid Layer: The Outer Surface of the Ocular Surface Tear Film James P. McCulley1,2 and Ward E. Shine1 Receiûed August 29, 2000 The outer layer of the tear film—the lipid layer—has numerous functions. It is a composite monolayer composed of a polar phase with surfactant properties and a nonpolar phase. In order to achieve an effective lipid layer, the nonpolar phase, which retards water vapor transmission, is dependent on a properly structured polar phase. Additionally, this composite lipid layer must maintain its integrity during a blink. The phases of the lipid layer depend on both lipid type as well as fatty acid and alcohol composition for functionality. Surprisingly, the importance of the composition of the aqueous layer of the tear film in proper structuring of the lipid layer has not been recognized. Finally, lipid layer abnormalities and their relationship to ocular disease are beginning to be clarified. KEY WORDS: Ocular; tear film; lipid; polar; surfactant; disease. INTRODUCTION The eyelid margin is the source of physiologically important lipid secretion, meibum. These eyelid meibomian gland secretions form the outer layer of the tear film. Functions which have been attributed to this tear film lipid layer are: (1) a lubricant facilitating the movement of the eyelids during a blink, (2) a barrier preventing evaporation of the aqueous tear fluid, and (3) a barrier to the entry of microorganisms and organic matter such as pollen (Tiffany, 1987). In addition, it has been suggested that defects in the lipid layer itself could be responsible for tear breakup and subsequent dry spots (Kaercher et al., 1994). Through the research efforts of numerous investigators, a much better understanding of meibum composition has been attained. However, an understanding of why component lipids are important in terms of tear film lipid layer functionality has been more difficult to achieve. Meibum Composition Many lipid compositions have been reported for meibum from various animal species, as well as for humans (Tables 1 and 2). Lipids present in the nonpolar lipids 1 Department of Ophthalmology, The University of Texas Southwestern Medical Center at Dallas, Dallas, Texas. 2 To whom correspondence should be addressed. 407 0144-8463兾01兾0800-0407兾0 2002 Plenum Publishing Corporation 408 McCulley and Shine Table 1. Composition of Esterified Fatty Acids and Alcohols of Normal Human Meibomian Gland Secretions C12–C18 Lipid type Ester component Total n-hyd n-sat n-unsat isat ai-sat acid acid acid acid alcohol acid acid 100 100 95 88 1 2 65 1 0 63 0 0 0 0 0 0 100 37 25 6 1 0 31 1 0 0 55 33 0 0 31 0 0 0 9 16 0 1 1 0 0 0 6 33 0 1 2 0 Phospholipids Sphingolipids Triglycerides Wax esters Wax esters Cholesterol esters Free fatty Hydrocarbons include wax and sterol esters and hydrocarbons (Nicolaides et al.; 1981, Mathers and Lane 1998; Shine and McCulley, 1991). On the other hand, composition of triglycerides and the polar phospholipids is more closely conserved (Shine and McCulley 1996; Griener et al., 1996). Variation in the composition of other polar lipids such as the sugar containing cerebrosides (sphingolipids), and even their importance as a component of meibum are less obvious (Tables 3 and 4). The importance of composition is evident from analyses of meibum. For example all polar lipids analyzed to date contain fatty acid chains of carbon length Table 2. Composition of Esterified Fatty Acids and Alcohols of Normal Human Meibomian Gland Secretions C12–C18 Lipid type Phospholipids Sphingolipids Triglycerides Wax esters Wax esters Cholesterol esters Free fatty Hydrocarbons Ester component Total n-sat n-unsat isat ai-sat acid acid acid acid alcohol acid acid 0 0 5 12 99 98 35 99 0 0 0 6 6 4 5 99 0 0 1 0 9 1 5 0 0 0 3 2 2 57 11 0 0 0 1 4 27 40 14 0 Table 3. Liquid Composition of Human Meibum Cholesterol esters Wax esters Triglycerides Diesters Free fatty acids Free cholesterol Hydrocarbons Polar lipids 38% (or less) 47% (or more) 4% 2% 2.5% (or less) 1.50% 3–7% 6–16% Composite: McCulley and Shine (1997); Mathers and Lane (1998); Nicolaides et al. (1981). Tear Lipid Layer 409 12–18 (C12–C18). These are all normal (straight chain) saturated fatty acids, except in sphingolipids where a high proportion contain hydroxy groups. The primary nonpolar lipids present in the lipid layer are wax and cholesterol esters (CE), hydrocarbons (HC) and trigylcerides (TG). Cholesterol esters contain mainly long chain (HC20) saturated branched chain (iso and anteiso) fatty acids that can also functionally substitute for unsaturated fatty acids. The wax esters (WE) contain primarily the monounsaturated C18 fatty acid, oleic acid, and a C17 anteiso fatty acid. These fatty acids are esterified to long chain iso, anteiso, and normal saturated and monosaturated alcohols. Triglycerides contain short chain (less than C20) unsaturated (primarily oleic acid) and saturated fatty acids. The free fatty acids are a mixture of short and long chain fatty acids. The WE fatty acids, TG and free fatty acids are distinguished by their high levels of unsaturated short chain fatty acids. Finally the hydrocarbons are straight, long chain and saturated. A minor lipid group present is the diglycerides that depend on hydrolytic activity for formation from lipid precursors. Here we focus on formation of a structurally functional tear film lipid layer, the importance of the aqueous layer of the tear film in this process, and variation in lipid composition that can result in lipid layer instability, loss of functionality, and finally, disease signs. INVESTIGATIONS UTILIZING IN VITRO LIPID LAYERS Why Does Meibum Form Monolayers in the Tear Film? One puzzling question concerns the formation of the lipid layer from meibum; a related question, previously answered to some extent is what is the lipid layer’s function? The importance of phospholipid composition in surface monolayer formation and surfactant properties is becoming more apparent. For example, in ûitro investigations with phospholipids have shown that a small percentage of negatively charged lipids are required; if these lipids are absent, multilayered assemblies commonly occur (Schindler, 1989). Similarly, a very small amount of protein also appears to aid in monolayer formation. Since low concentrations of monovalent ions (e.g., sodium less than 10 mM) or divalent ions (e.g., calcium less than 1 mM) impede monolayer formation, it was recommended that 120 mM univalent ions and 0.1 mM divalent ions should be added to the aqueous layer (Schindler, 1989). Taking these recommendations as a whole, it is indeed remarkable that: (1) meibum contains anionic phospholipids such as phosphatidylserine (7%), phosphatidylinositol (5%) and cardiolipin (2%), Greiner et al., 1996), (2) the aqueous layer (tears) contain 150 mM univalent ions (primarily sodium with potassium) and 1 mM divalent ions (primarily calcium with magnesium), as well as (3) small amounts of protein (Berman, 1991). Surface bilayers are known to be or have been suggested to be formed only in unusual conditions. First, in the unusual condition that nonpolar lipids are present in very limited amounts or absent, a surface bilayer can form. Thus at a certain critical temperature, depending on phospholipid composition, a bilayer (two monolayers with fatty acid chains facing each other) forms; a quite unexpected attribute 410 McCulley and Shine of this bilayer was a high resistance to water vapor transmission. Once formed, this bilayer has some temperature stability above and especially below the critical temperature of formation (Ginsberg and Gershfeld, 1985; Cevc et al., 1990). Whether these conditions occur in ûiûo is not known. A second example under which bilayers readily form in ûitro is when polar lipids are mixed with excess cholesterol esters containing unsaturated fatty acids (Smaby and Brockman, 1987a). Interestingly, however, this type of ‘‘bilayer’’ is actually more like a composite monolayer with phosphatidylcholine (PC) and small amounts of CE in the polar phase at the acqueous interface and the remaining CE in the nonpolar phase. When the CE fatty acids are saturated and very long (HC20), as in meibum, formation of a polar lipid ‘‘bilayer’’ is inhibited with no CE in the polar PC phase. A similar composite monolayer with TG (triolein) as third component showed that more TG than CE was present in the polar phase (Smaby and Brockman, 1987b). Finally, it has been suggested that in general bilayers are formed when polar lipid monolayers collapse at high compression (Marsh, 1996), as could occur in the tear film during a blink. Lipid Layer Compression–Expansion (Reversibility) Reversible compression and subsequent expansion, without hysteresis (i.e., maintenance of integrity during multiple blinks), is essential for the integrity of the tear film lipid layer. In ûitro studies of lipid monolayers have determined that depending on the polar lipid present, either trilayers or bilayers can be reversibly formed. For example, it has been determined that sphingolipid monolayers can be reversibly compressed into trilayers, presumably by a folding action (Stoffel et al., 1974). In order to form trilayers, sphingolipids must be in the liquid expanded (melted) state; stereo configurations as well as saturation兾unsaturation are also important. Thus trilayer formation is dependent on specific lipid composition and temperature parameters as well as compression. In this example, bilayers and multilayers were not formed. Similarly, cerebroside (CB) monolayers composed of cerebrosides (sphingolipids with sugar groups) reversibly form bilayers upon compression (Johnston and Chapman, 1988). In this study, sphingolipids with short chain or hydroxylated fatty acids (amide bound) were critical. Thus, the hydroxylated CB rapidly reform monolayers after compression–expansion without hysteresis while nonhydroxylated CB respond more slowly with definite hysteresis. However, cerebrosides with unsaturated fatty acids such as oleic acid did not form bilayers. Interestingly, when CB with nonhydroxylated (saturated) fatty acids were mixed with PC, they formed bilayers more readily than when the monolayer contained the CB alone. In general, hydroxylated CB readily mixes with PC in all proportions, but this is not true for nonhydroxylated CB (Bunow and Levin, 1988). In summary, formation of stable trilayers and bilayers is quite dependent on the types of lipid groups present and on their individual compositions. However, composition also effects lipid ‘‘melting’’ and as discussed above this is important for formation of monolayers that can undergo compression–expansion without hysteresis. Tear Lipid Layer 411 Optimizing Lipid Layer Functionality The concept of superlattice structure and lipid layer stability has recently gained interest. It has been suggested that in many biological systems lipid layers actually are highly structured in ‘‘superlattices’’, where the individual lipid types form a specific pattern (Fig. 1). Depending on the number of lipid types (groupings) present, this model suggests that there are certain lipid arrangements (ratios) that are preferred (Virtanen et al., 1998). These preferred ratios have been found in ûitro in cholesterol—CB monolayers (Ali et al., 1994) and cholesterol—PC monolayers (Liu and Chong, 1999). In the latter study decreased phospholipase A2 activity was directly related to specific superlattice ratios. Furthermore, based on red blood cell membrane phospholipid analyses from humans and other animal species it was determined that the superlattice model closely predicts observed in ûiûo compositions (Virtanen et al., 1998). Thus it was suggested that in ûiûo certain lipid ratios in polar lipid phases are both preferred and more stable (Somerharju et al., 1999). What the superlattice model does not address are broader compositional parameters that are necessary for the model to function effectively in ûiûo. Fig. 1. Proposed model of tear film. 412 McCulley and Shine IMPORTANCE OF IONIC COMPOSITION OF THE AQUEOUS PHASE The importance of aqueous layer ionic composition on formation of monolayers has already been referred too. However, calcium ions (Ca2+) are also important and interact with surface pressure to modulate hydration of PC and phosphatidylserine (Flach et al., 1993). Calcium can also bridge between sulfate containing glycoaminoglycans (e.g., mucin) and phospholipids, resulting in surface tension decreases as well as a decrease in molecular (surface) area (Huster et al., 1999). The ratio of Ca2+ to Na+ (sodium) is also important (Steffan et al., 1994). The interaction of various constituents of the polar lipid phase with the adjacent aqueous layer is also quite important but nonetheless complex. For example it has been suggested that aqueous layer and lipid layer components interact to affect surface tension (Nagyova and Tiffany, 1999); included in these components are tear lipocalins (Glasgow et al., 1999). Also, although lipids containing choline groups (e.g., PC and SM, sphingomyelin) are known to be important in polar phase hydration (Rand and Parsegian, 1989; McIntosh, 1996), it is believed that the surface potential (i.e., dipole potential, charge separation) and this hydration are closely related (Brockman, 1994). Other factors important for the structure of the polar phase are effects of pH and Ca2+ on PE (phosphatidylethanolamine) binding to PC or to SM (Seimiya et al., 1978; Seimiya and Ohki, 1973). It has even been proposed that these lipid association not only result in altered pKa (acid dissociation constants) values for NH3+ (amino and PO−4 (phosphate) groups in situ but that the effective pH (acidity) of the polar lipid phase is quite different from the bulk aqueous layer (Seimiya et al., 1978, Prats et al., 1986). Acidity (H + ion availability) and Ca2+ concentration may also affect the association of free fatty acids with either the polar phase or the nonpolar phase of the lipid layer (Kimizuka et al.; 1967, Duzgunes et al., 1985), depending on the resulting effective polarity of the fatty acid. These structural variations thus affect not only the polar lipid packing density but also surface potential and hydration. IMPORTANCE OF VARIATION IN MEIBUM COMPOSITION Formation of an Effective Lipid Layer Three functions of the lipid layer are essential. First, the polar lipid layer must be an effective surfactant, acting as a bridge between the aqueous layer and the nonpolar lipid phase. Second, the lipid layer must be capable of compression and expansion as the eye blinks. Third, the lipid layer must be an effective barrier to water vapor transmission, thus decreasing the loss of the aqueous component of tears and aiding in the prevention of tear film break-up. Specific Monolayer Effects of Polar Lipid Differences It is generally not recognized that specific monolayer effects result from the polar lipid differences. What is not adequately understood is that both the types of polar lipids present, and also their individual fatty acid compositions are important. Thus monolayer compressibility, surface tension, fluidity, viscosity, integrity and Tear Lipid Layer 413 ability to reversibly form bilayers or trilayers (lack of hysteresis) are all dependent on lipid type and fatty acid composition. For example, the presence of only 10% plasmalogen (a polar lipid similar to PC but with an ether bond and polyunsaturated fatty acid) reduced polar lipid surface tension by 50% and the monolayer viscosity by 80% (Tolle et al., 1999). Some evidence for the presence of plasmalogens in meibum has been reported (Greiner et al., 1996). Furthermore, monolayers with galactosphingolipids (cerebrosides) containing hydroxy-fatty acids readily form bilayers but if instead the fatty acid is unsaturated or a very long chain saturated fatty acid, bilayers are only formed with difficulty and after compression may not expand effectively again (Johnston and Chapman, 1988). Surprisingly both the monolayer surface potential and compressibility are greatly affected by the saturation or hydroxylation of the galactosphingolipid (Oldani et al., 1975). Other factors such as temperature and aqueous layer composition interact with lipid composition to produce an overall effect. Polar lipid composition can also affect monolayer dipole potential (surface potential) and hydration, as well as structure. The lipid type not the fatty acid length has the most effect on this potential. However a remarkable change in potential with galactosphingolipid fatty acid hydroxylation has been reported (Oldani et al., 1975). We find high levels of sphingolipid fatty acid hydroxylation in human meibum (Table 1). Additionally the polar lipid head group itself is quite important. Thus the neutral (zwitterionic) phospholipids PC and PE have greater dipole potentials than the anionic PS (phosphatidylserine) and phosphatidic acid (Brockman, 1994). Furthermore, in the melted (liquid-crystalline) state PC binds more water molecules than PE (23 vs. 9, respectively). On the other hand, PE can form intermolecular ionic bonds, either alone or with associated hydrogen bonding, involving the NH3+ and PO−4 groups, and possibly water molecules (McIntosh, 1996). This type of intermolecular bonding is sensitive to the aqueous layer pH and is greatly diminished as the pH approaches pH 8 (the NH4+ group becomes deprotonated and neutral). Concurrently Ca2+ binding to the now free PO+4 groups can occur; the monolayer surface potential also decays at this point (Seimiya and Ohki, 1973). Finally, the anionic phospholipids also have an important monolayer function in that their presence in a monolayer at a level of 10% that of PE inhibits the close approach and fusion with similar phospholipid monolayers (McIntosh, 1996). Thus a balance between anionic phospholipids and PE, as well as aqueous layer pH, are critical for monolayer stability. The importance of the polar lipid fatty acid differences must also be addressed in terms of environmental temperature and its effect on lipid physical properties. One must remember that the tear film lipid layer functions at a temperature just below 36°C (Mori et al., 1997). Furthermore, for a given polar lipid type the melting temperature (changes in physical structure to a more fluid state) is determined primarily by its fatty acid composition. However, surface pressure also affects lipid melting (transition) temperature. Thus under medium pressure, PC with C14 acids melts at 20°C while PC with C16 acids melts at 39°C; the very low surface pressure encountered with open eyes results in about a 10°C lower melting temperature (Blume, 1979). On the other hand the melting point for PE with C14 acids is similar to PC with C14 acids. In contrast to these results, if the phospholipid fatty acids are 414 McCulley and Shine unsaturated the melting point is much lower and with PE the monolayers will have a tendency to form a different type of structure that is not a monolayer or bilayer (McIntosh, 1996). Thus fatty acid chain length and unsaturation can profoundly affect lipid properties depending polar lipid head group, temperature and surface pressure. Other more esoteric interactions in monolayers may result from altered polar lipid phases. Thus it has been suggested that the presence of excess SM in polar lipid phases can result in formation of SM enriched domains or ‘‘island’’ inclusions (Koiv et al., 1993). Also, presence of an altered dipole potential, a high surface charge (e.g., negative or even positive) or excessive amounts of PE (but surprisingly, not other zwitterionic phospholipids) can result in binding of enzymes or other biomolecules (Pieroni and Verger, 1979; Speelmans et al., 1997), or altered enzymatic activity (Maggio, 1999). In fact it has been observed that enzymatic action in the polar lipid phase can result in formation of small domains containing primarily lipid degradation products (Maloney and Grainger, 1993). Some of these degradation products result in altered surface potential, which in turn promotes formation of these domains (Maloney et al., 1995). Finally, it has been suggested that polar lipid fatty acids differences and the influence of aqueous layer ionic composition can result in domain formation (Hinderliter et al., 1994). These examples of in ûitro polar lipid phase alteration could be relevant to the tear film in ûiûo and result in a less functional lipid layer. These examples in fact can easily be related to meibum and the tear film lipid layer. For example one can now appreciate that it is not by chance that in normal meibum all of the phospholipids contain C12–C18 saturated normal fatty acids with the exception that the sphingolipid fatty acids are also highly hydroxylated (Table 1). As we have discussed, proper matching of fatty acid chain lengths and lipid types affects melting temperature and mixing, hydration, monolayer density (area兾 molecule) and stability, and even domain formation. In light of the above discussion we also suggest that the nonpolar phase of the tear film lipid layer has an additional function that has not been generally considered: that of aiding in preserving the integrity of the polar lipid phase. We suggest that the nonpolar phase CE (that always contains saturated fatty acids) intercalates into the polar phase times of polar phase stress in order to promote retention of functionality of the tear film lipid layer (McCulley and Shine, 1997). Triglyceride (TG) may have similar although mechanistically different function: it is important to remember that the TG overwhelmingly contains short chain (<C19) fatty acids that closely match the length of fatty acids in the polar lipids. A related important point is that the forces binding the lipids together are of numerous types. Much of the above discussion dealt with fatty acids with similar carbon chain lengths where bonding dependent on van der Waals forces are most important. This type of bonding is also important in the nonpolar phase where the presence of long chain hydrocarbons are expected to strengthen bonding between other long chain nonpolar lipids such as those present in CE and WE. We believe that the end result of this condensing effect is that the rate of water vapor transmission through the nonpolar lipid phase is greatly reduced. Tear Lipid Layer 415 An effective tear film polar lipid phase is quite complex. As discussed previously small amounts of anionic polar lipids seem quite important for proper structuring of the polar lipid layer. In meibum, PS, as well as diphosphatidylglycerol (cardiolipin) and phosphatidylinositol serve this purpose. Furthermore, as we have discussed (McCulley and Shine, 1997) PE and SM are important structure forming lipids. Their effectiveness is likely due both to hydrogen and to ionic bonding with other polar lipids. Analysis of patient meibum suggests that these two lipids are important determinants for development of some types of dry eye signs (Shine and McCulley, 1998). Finally, the presence of PC (and SM) has been reported as important for proper lipid layer hydration (McIntosh, 1996) through the structuring of water molecules. A SUGGESTED MODEL FOR THE TEAR FILM LIPID LAYER Based on the known composition of meibum and in ûitro lipid studies a rational suggestion for the tear film lipid layer has been presented (Fig. 2, McCulley and Shine, 1997). As discussed, there is scant reason to believe that the tear film lipid layer is normally a bilayer. We have presented aqueous layer ionic concentrations and related monolayer parameters, lipid composition and temperature data, all of which argue against a bilayer. Furthermore there is evidence for reversible formation of either a bilayer or trilayer; many clinical observations note the fact, however, that after a blink the tear film is re-established such that it appears almost identical to that before the blink. This would be mechanistically much more likely to occur with a folded trilayer than a bilayer. Additionally, the trilayer folding action may aid in cleansing actions, thus removing undesirable material. Ultimately functionality depends on composition. For example, increased evaporation from the aqueous layer has been reported in some groups of dry eye patients (Mathers and Daley, 1996). Other reports have discussed low levels of PE and SM in meibum from blepharitis patients with dry eye signs (Shine and McCulley, 1998). Of interest is the in ûitro observation that SM also inhibits peroxidation of unsaturated fatty acids in PC monolayers (Subbaiah et al., 1999). Chronic blepharitis patients’ meibum phospholipids also have unsaturated fatty acids, especially in those patients with meibomianitis (McCulley and Shine, 1997); these would tend to destabilize the lipid layer. Unusual nonpolar lipid compositions have been observed in some normal patients. Thus in normals and patients with chronic blepharitis, all meibum samples contained cholesterol esters and unsaturated cholesterol and wax ester fatty acids and alcohols (Shine and McCulley, 1991). In contrast other normals’ meibum had no cholesterol esters and no wax ester unsaturated fatty acids of alcohols (Shine and McCulley, 1993); this lipid pattern was never observed in meibum from chronic blepharitis patients. Thus there is an association between the presence of cholesterol esters in meibum and the presence of unsaturated fatty acids and alcohols. Furthermore, when the chronic blepharitis disease state is present, unsaturation in polar lipid fatty acids is also present. The destabilizing effect of these unsaturated fatty acids has already been discussed. Subsequent disruption of the integrity of the polar lipid phase (e.g., superlattice) could increase susceptibility to enzymatic and ROS 416 McCulley and Shine Table 4. Composition of Polar Lipids from Normal Individuals’ Meibum Phospholipids (70%) Phosphatidylcholine (38%) Phosphatidylethanolamine (18%) Sphingomyelin (7%) Unknowns (39%) Sphingolipids (30%) Ceramides (20%) Cerebrosides (80%) (reactive oxygen species) activity. In fact lipid degradations as well as the initial polar lipid fatty acid unsaturation could result in formation of domains that would be expected to further decrease the integrity and functionality of the lipid layer. Finally, how these changes affect the tear film lipid layer collapse pressure, its relationship to a blink and lipid layer hysteresis is important but has to be determined. Perhaps the most stable human meibum, however, is infant meibum as illustrated by a lack of hysteresis, as determined in ûitro (Kaercher et al., 1994), and the fact that infant blink rates are quite long compared to an adults’ rate. Many factors have been discussed in terms of model systems that are also relevant to a presumed similar functionality in the tear film lipid layer. For example the importance of the hydrocarbon content in the nonpolar phase is not known. Similarly the importance of the nonpolar phase, as well as the polar phase, in trapping and eliminating foreign entities, especially in terms of the folded tirlayer model, is unclear. Finally, the importance of aqueous layer ionic composition and pH, the significance of sulfated mucin in the aqueous layer (Ellingham et al., 1999), and CB in the layer (Table 4), in promoting formation and effective structuring of the tear film lipid monolayer is not well understood. 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