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Somatostatinoma

ABSTRACT

 

Somatostatin-secreting tumors, or somatostatinomas represent less than 1% of functioning gastrointestinal neuroendocrine neoplasms (NENs) and their estimated incidence is about 1 in 40 million individuals per year. The spectrum of the somatostatinoma syndrome consists of diabetes mellitus, diarrhea/steatorrhea, cholelithiasis, hypochlorhydria, and weight loss. Tumors that demonstrate D-cell differentiation based on immunohistochemical labelling with somatostatin but lack symptoms of somatostatinoma syndrome, such as those observed within the ampulla and duodenum, should be designated as somatostatin-producing well-differentiated NENs and are not considered somatostatinomas. Hereditary pancreatic somatostatin-producing well-differentiated NENs can be found as part of multiple neuroendocrine neoplasia type 1 (MEN1) and von-Hippel Lindau (VHL) syndrome, whereas duodenal (peri-ampullary somatostatin-producing NENs can be found in patients with neurofibromatosis type 1 (NF1). The polycythemia-paraganglioma-somatostatinoma syndrome is a rare syndrome including multiple paragangliomas, duodenal somatostatin-producing NENs (exclusively found at the ampulla of Vater) associated with high erythropoietin (polycythemia) underlying paraganglioma/pheochromocytoma. The diagnosis of a somatostatinoma requires measuring fasting plasma somatostatin hormone concentration. A 3-phase CT, MRI, positron emission tomography (PET)-CT with gallium-labelled somatostatin analogs, or endoscopic ultrasound (EUS) should be performed for the precise localization of somatostatinomas in the pancreas or duodenum. A biopsy or surgical resection is required for grading (Ki67 index) and immunohistochemistry for somatostatin expression on tumor samples. Management of somatostatinomas includes medical treatment of the excess somatostatin production, surgical and/or radiological interventions, peptide receptor radiotherapy and targeted or cytotoxic therapies.

 

INTRODUCTION

 

The tetradecapeptide somatostatin is the main peptide released from somatostatinomas. This hormone was successfully isolated in 1973 by Paul Brazeau and colleagues in the research group of the French-US endocrinologist and Nobel prize laureate Roger Guillemin (1). Somatostatin inhibits numerous endocrine and exocrine secretory functions. Almost all gut hormones are inhibited by somatostatin, including insulin, glucagon, gastrin, secretin, and gastric inhibitory polypeptide (GIP). In addition to inhibition of the endocrine secretions, somatostatin has direct effects on a number of other target organs. For example, it is an inhibitor of gastric acid and pancreatic enzyme secretion, it has marked effects on gastrointestinal transit time, intestinal motility, and absorption of nutrients from the small intestine. In the nervous system, somatostatin acts as a neurotransmitter or neuromodulator and its roles in the fine-tuning of neuronal activity and involvement in synaptic plasticity and memory formation are now widely recognized (2).

 

In 1977, the groups of the Danish physician Lars-Inge Larsson and that of the US physician Om P. Ganda independently reported the first two cases of pancreatic somatostatinoma (3, 4). In 1979, a full description of the somatostatinoma syndrome caused by a periampullary neuroendocrine tumor was reported by the Austrian gastroenterologist Günter Krejs and colleagues (5, 6). Since then, numerous cases have been reported until present, most of them being sporadic, but some of them now being recognized as part of classic or emerging genetic syndromes.

 

Somatostatinomas are very rare neuroendocrine neoplasms (NENs); their estimated incidence is about 1 in 40 million individuals per year in the general population and they account for less than 1% of functioning pancreatic neuroendocrine neoplasms (PanNENs). These panNENs can arise throughout the pancreas, but approximately two thirds involve the head of this organ (7).The mean patient age at diagnosis is 55 years and these tumors occur more commonly in females (7-9).

 

CLINICAL PRESENTATION

 

Although somatostatinomas secrete somatostatin, clinical presentations related to high somatostatin levels are found in less than 5% of cases. This may depend on the location of the NEN (generally pancreatic), as well as intermittent somatostatin secretion from the NEN  (3, 9). The spectrum of the somatostatinoma syndrome consists of diabetes mellitus, diarrhea/steatorrhea, cholelithiasis, hypochlorhydria, and weight loss. This implies that the majority of somatostatinomas do not present with the typical somatostatinoma symptoms, but are silent. Tumors that demonstrate D-cell differentiation based on immunohistochemical labelling with somatostatin but lack symptoms of somatostatinoma syndrome, such as those observed within the ampulla and duodenum, should be designated as somatostatin-producing well-differentiated NENs and are not considered somatostatinomas. Patients harboring these tumors experience symptoms related to the tumor mass effect, their metastases, or the invasion of contiguous structures. Therefore, these silent NENs are generally detected by Computed Tomography (CT), Magnetic Resonance Imaging (MRI) or, on occasion, by Somatostatin Receptor Imaging (SRI) and Endoscopic Ultrasonography (EUS). The most common symptom for all somatostatin-producing well-differentiated NENs is abdominal pain, occurring in over 50% of patients. Duodenal tumors can also present with jaundice and gastrointestinal bleeding (9-11).

 

Secretion of different hormones by the same panNEN, sometimes resulting in two, or more synchronous, or metachronous distinct endocrine syndromes, is now being recognized with increasing frequency. However, second, or metachronous somatostatin secretion has thus far not been recognized. These possibilities should be considered during endocrine work-up and follow-up of patients with panNENs (12, 13).

 

Somatostatin has been found in many tissues outside the GI tract. Prominent among those are the hypothalamic and extrahypothalamic regions of the brain, the peripheral nervous system (including the sympathetic adrenergic ganglia), and the C cells of the thyroid gland. Therefore, high plasma concentrations of somatostatin have been found in tumors originating from these tissues (14). Pheochromocytomas and paragangliomas are other examples of neuroendocrine tumors that produce and secrete somatostatin in addition to other hormonally active substances (15). However, these tumors do not present with signs or symptoms of the somatostatinoma syndrome.

 

HEREDITARY TUMORS

 

Hereditary pancreatic somatostatin-producing NENs can be found as part of multiple neuroendocrine neoplasia type 1 (MEN1) and von-Hippel Lindau (VHL) syndrome, whereas duodenal, peri-ampullary, somatostatin-producing NENs can be found in patients with neurofibromatosis type 1 (NF1) (16-20). An overview of the MEN1 syndrome is provided in the chapter “MEN1”. Previously known as Von Recklinghausen disease, NF1, the most frequent neuro-cutaneous syndrome, is an autosomal dominant condition. The reported incidence is 1/2500-1/3000 (39,40). The mutation causing the condition is at the level of NF1 gene (on chromosome 17) which induces a malfunction of the RAS/MAPK pathway. The presence of a duodenal somatostatin-producing NEN has a higher risk in NF1 patients than in the general population, but this is not the most prevalent tumor encountered in these patients. Some studies report on the combined diagnosis of GIST and somatostatin-producing NENs in subjects with neurofibromatosis type 1 (9-11, 21-25).

 

The polycythemia-paraganglioma-somatostatinoma syndrome (also called Pacak-Zhuang syndrome) is a rare new syndrome including multiple paragangliomas, duodenal somatostatin-producing NENs, which are exclusively found in the region of the ampulla of Vater, and a high circulating erythropoietin concentration resulting in polycythemia. A gain of function involving the mutation of Endothelial PAS domain-containing protein 1 [EPAS1, also known as hypoxia-inducible factor-2alpha (HIF-2alpha)] gene underlies the Pacak-Zhuang syndrome. Moreover, non-mosaicism somatic mutations of HIF-2alpha seem to induce the same syndrome but with late onset. A somatic gain-of-function HIF-2alpha mutation results in the stabilization of HIF-2α, which is known to upregulate the erythropoietin gene accounting for polycythemia in these patients (25-33).

 

However, while the association of somatostatinomas / somatostatin-producing NENs with these inherited disorders is intriguing, a link between the known gene mutations of these disorders with the development of somatostatin-producing NENs has not been clearly established.

 

DIAGNOSIS

 

The diagnosis of somatostatinoma requires the combination of typical clinical signs and symptoms with measuring the fasting plasma somatostatin hormone concentration, which should be at least 3 times over the upper reference value (> 25 pmol/L (> 60 pg/mL). In case of an indeterminate test result, stimulatory examinations such as secretin or calcium stimulation tests can be used, but these tests lack standardization. Anatomic and functional imaging modalities are important in the localization of a somatostatinoma. As in other NENs, 3-phase CT, MRI, or endoscopic ultrasound (EUS) should be performed for the precise localization of these tumors in the pancreas or duodenum. To detect distant metastases, somatostatin receptor imaging should be used as somatostatinomas express high numbers of different somatostatin receptor subtypes. Currently, positron emission tomography (PET)-CT with 68Ga-labelled somatostatin analogs (DOTATATE, DOTANOC, DOTATOC) has the highest sensitivity for detecting metastases of grade 1-3 panNENs (34, 35). In line with the work-up for all NENs, a biopsy is advised to confirm the diagnosis and for grading (Ki67 index), as the grade can influence treatment selection. An overview of the current staging and grading systems is provided in the chapter “Insulinoma” (36). Generally, though, pathological examination and immunohistochemistry for somatostatin expression on tumor samples after surgery or biopsy confirms the definitive diagnosis. The tumor further shows diffuse positivity for keratins, INSM1 and synaptophysin and is less consistently positive or negative for chromogranin A (7, 9, 35, 37), see Figure 1.

Figure 1.  A malignant metastasizing pancreatic endocrine tumor located in the tail of the pancreas with positive immunohistochemical staining of somatostatin (Courtesy of Günther Klöppel).

 

TREATMENT

 

The management of somatostatinomas includes medical treatment of the excess somatostatin production, surgical and/or radiological interventions, and cytotoxic therapies when needed (35).

 

Curative Surgery

 

As for all panNENs, surgery is the only curative treatment. In the occasional patient in whom a somatostatinoma is discovered while the tumor is locoregionally confined, pancreatic or duodenal surgery should be performed to remove the somatostatinoma. In selected patients with limited liver metastases an extended surgical resection can be considered (38).

 

Liver-Directed Therapy

 

Liver metastases can be resected or treated by bland embolization, radioembolization (SIRT), radiofrequency ablation (RFA), microwave and cryoablation, high-intensity focused ultrasound (HIFU), laser, brachytherapy and irreversible electroporation (IRE) depending on local availability (39, 40).

 

Unresectable Disease

 

In case of unresectable metastases, treatment is focused on tumor stabilization and symptom reduction by decreasing the secretion of somatostatin. In general, anti-tumor therapy is similar to non-functioning panNENs as specific data for somatostatinoma are often lacking. The guidelines by ENETS, NANETS and ESMO describe the selection and sequencing of somatostatin analogs, targeted therapy, 177Lu-DOTATATE and cytotoxic chemotherapy (41-44).

 

SOMATOSTATIN ANALOGS

 

Somatostatin analogs became an important treatment option for patients with metastatic or inoperable NENs. First, these analogs provide relief of symptoms in patients with NENs that secrete different peptides causing various clinical symptoms and signs, especially diarrhea and weight loss in somatostatinoma patients (45). Somatostatin analogs are the first-line palliative treatment of choice to control somatostatin secretion and tumor growth. In a randomized controlled trial (CLARINET), including grade 1-2 pancreatic neuroendocrine tumors (NETs - panNETs), lanreotide autogel 120 mg every 4 weeks deep sc was associated with significantly prolonged median progression-free survival (PFS) of 38 months versus 18 months for placebo (46).

 

BELZUTIFAN

 

In the polycythemia-paraganglioma-somatostatinoma syndrome (Pacak-Zhuang syndrome) treatment with the HIF-2alpha inhibitor Belzutifan resulted in a reduction/normalization of the pathologically elevated levels of normetanephrine, Chromogranin A, Hemoglobin and Erythropoietin (47). Up to present no effects of this drug have been described on the somatostatin-producing NETs in these patients. Belzutifan is also used for the treatment of tumors in patients with the VHL syndrome (48, 49).

 

PEPTIDE RECEPTOR RADIONUCLIDE THERAPY

 

The expression of somatostatin receptor subtypes provides an opportunity to utilize peptide receptor radionuclide therapy (PRRT) for the treatment of metastatic somatostatinomas. PRRT with 177Lu-DOTATATE has been approved for the treatment of grade 1-2 panNETs. In general, the response rate for grade 1-2 panNETs is the highest of all NETs (55%), with a median progression-free survival (PFS) of 30 months and median overall survival (OS) of 71 months. Sub-acute toxicity mainly includes nausea, vomiting, and criteria for adverse events (CTCAE) grade 3/4 toxicity of hematologic parameters (10%). In 70% of patients with toxicity, the hematologic parameters normalize but 1% of patients treated with PRRT develops acute leukemia, and 2% myelodysplastic syndrome (50). In patients with uncontrollable hypersecretion by hormone-producing panNENs, PRRT with 177Lu-DOTATATE can result in amelioration of the hormonal syndrome (51). However, data of PRRT with 177Lu-DOTATATE for the treatment of metastatic somatostatinoma are not available yet.

 

EVEROLIMUS

 

Everolimus is an oral drug which inhibits mammalian target of rapamycin (mTOR) signaling. In the RADIANT-3 trial, everolimus 10 mg/day increased progression-free survival in grade 1-2 panNETs to 11.0 months as compared to 4.6 months with placebo. Also, overall survival did increase from 37.6 to 44 months. In this study 24% of patients had a functioning grade 1-2 panNET including somatostatinoma (52). As everolimus can also worsen diabetes mellitus by reducing insulin secretion from the pancreas and inducing insulin resistance, its contribution to the treatment of somatostatinoma patients is still unclear.

 

SUNITINIB

 

Sunitinib is currently one of the other options for treatment of grade 1-2 panNETs which progress during treatment with a first generation long-acting somatostatin analog. In the SU011248 trial sunitinib 37.5 mg/day increased progression-free survival to 11.4 months in comparison to 5.5 months with placebo in patients with predominantly grade 1-2 panNETs. Overall survival also increased from 29.1 to 38.6 months. In this trial, only one patient with a somatostatinoma was included in the treatment arm (53, 54).

 

CHEMOTHERAPY

 

Chemotherapy is also effective for the treatment of panNEN but no specific data for somatostatinoma are available (42, 55, 56).

 

REFERENCES

 

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Functional Anatomy of the Hypothalamus and Pituitary

ABSTRACT

 

In mammals and man, historical investigation suggests that early recognition for a role of the hypothalamus as a site for integration of endocrine, autonomic and behavioral responses can be dated to the 2nd -18th centuries A.D. Although the hypothalamus comprises only 2% of the total brain volume, it is a key regulator of pituitary function and homeostatic balance. In this chapter, we provide an overview of the historical landmarks, embryologic, gross, microscopic and functional anatomy of the mammalian and human hypothalamus and pituitary, and how the hypothalamus relates to the rest of the brain and responds to peripheral signals. In particular, we show that its rostral, nuclear portion exerts prominent regulation of homeostatic behaviors related to energy balance and reproduction. The two caudal portions are primarily involved in ensuring adequate metabolic resources for defensive and exploratory behaviors and responses to sudden changes in endogenous and exogenous stimuli. In addition, we discuss how its network of neurons is made of cells with different functions (neurosecretory, autonomic, motor), how they interact, and how these neural circuitries are woven into a complex architecture of conduits for the movement of intercellular fluids (vasculature, glymphatic channels, meningeal lymphatic vessels). Finally, we focus on the hypothalamic mechanisms involved in the regulation of anterior and posterior pituitary secretion (hypothalamic tuberoinfundibular and neurohypophysial systems), as well those involved in food and fluid intake, lactation, thermoregulation, circadian rhythmicity and the sleep-wake cycle.

 

HISTORICAL OVERVIEW

 

As suggested by its Greek derivation, the hypothalamus (hypo = below, thalamus = bed) is that portion of the diencephalon in all vertebrates that lies inferior to the thalamus (1).  The hypothalamus and pituitary gland have attracted the interest of scientists and artists for centuries since the first description by Galen of Pergamon in the 2nd century AD.  Galen described the hypothalamic infundibulum and the pituitary gland in De Usu Partium as the draining route and receptacle, respectively, for mucus passing from the brain ventricular structures (primarily the third ventricle) to the nasopharynx, and named the capillary network surrounding the pituitary gland the rete mirabilis (2). Notably, he also recognized the association of the third ventricle with a dorsally-located, small gland he named “pineal”. The Galenic concepts dominated scientific thought about the hypothalamus and pituitary for approximately 1200 years until the 14th century when the Italian anatomist, Mondino de’ Liuzzi, in his Anothomia, proposed that the third ventricle serves as an “integrator” of body functions (Fig. 1) (3).  Some of these ideas were extended by Andreas Vesalius in the 16th century in De Humani Corporis Fabrica, the first anatomical depiction of the infudibular-pituitary stalk including part of their venous drainage, consistent with our current anatomical knowledge for petrosal sinus sampling (Fig. 2).  Attention to the importance of the hypothalamic-pituitary region influenced the work of some of the most famous Renaissance artists including Leonardo da Vinci, whose drawings of the third ventricle and rete mirabilis are shown in Fig. 3, and Michelangelo Buonarroti, whose painting on the ceiling of the Sistine Chapel in the Vatican uses the brain including the hypothalamic-pituitary region as a backdrop to his depiction of the creation of man (Fig. 4) (4).  Further interest in the functional role of the third ventricle occurred during the 17th century by the philosopher, Renè Descartes.  He hypothesized that a photic stimulus might reach the pineal gland from the retina, passing through the optic chiasm and third ventricle to stimulate the somatic motor nerves destined to the peripheral muscles to produce movement (Fig. 5).

 

Figure. 1. Description of the functional role exerted by the cerebral third ventricle, as reported by Mondino de’ Liuzzi in Anothomia. (A) Original front page of Anothomia in a XIV century edition; (B) Original text (in brackets) in medieval Latin (from the 1316 A.D. manuscript kept at the Società Medica Chirurgica in Bologna, Italy); (C) a portion of the Latin fragment shown in (B) containing the most important concepts; (D) English translation shown in (B). (From Toni R., Ancient views on the hypothalamic-pituitary-thyroid axis: an historical and epistemological perspective, Pituitary 3: 83-95, 2000).

Figure 2. Plates from the seventh book of the first edition (1543) of the Fabrica by Andreas Vesalius, showing what is believed to be the oldest anatomical drawings in Western literature of the hypothalamic-pituitary unit. (Courtesy of the Library of the Department of Human Anatomy of the University of Bologna, Italy, with permission) 1) Enlarged view of the pituitary gland (A), hypothalamic infundibulum (B) and ducts comprising the foramen lacerum and superior orbital fissure (C, D, E, F) believed to drain brain mucus or phlegm (in Latin pituita) from the pituitary gland to the nasopharynx; 2) anatomical relationships between the infundibulum (E), the dural diaphragma sellae (F), the internal carotid arteries (C, D) and oculomotor nerves (G), all seen from above and, thus ventral to the posterior clinoid processes of the sella turcica (A, B); 3) composite image including a) an enlarged view of the rete mirabilis formed as a reticular plexus by the carotid arteries entering (A, B) and emerging (C, D) around the pituitary gland (E); b) detailed view of the reticular plexus arising from the carotids (B, C) on each side of the pituitary (A); 4) anatomy of the arterial, vertebral (dorsal vessels, F) and common carotid (ventral vessels, E) systems: the rete mirabilis (B) is provided by the internal carotid artery (D), branching medially with respect to the external carotid artery (C). Note that Vesalius portrayed the rete mirabilis widening symmetrically and superiorly (A) to vascularize the area of the infundibulum and hypothalamic floor, anticipating our current knowledge of the circuminfundibular and prechiasmal arteriolar-capillary plexus; 5) anatomy of the venous vertebral (D) and internal jugular (C) systems, including the common facial vein (D). Note the X-shaped, venous pattern at the center of the image, pointing to the area of the rete mirabilis: it is provided by four symmetrical branches of the internal jugular vein, and recapitulates the distribution of the inferior and superior petrosal, and spheno-parietal sinuses around the cavernous sinus. Thus, this drawing can be considered the first demonstration of a venous route from the pituitary through the internal jugular system, exploited for sampling of pituitary hormonal secretions only in the 2nd half of the 20th century. (From Toni R., Ancient views on the hypothalamic-pituitary-thyroid axis: an historical and epistemological perspective, Pituitary 3: 83-95, 2000, and Toni R. “Il sistema ipotalamo-ipofisario nell’antichità [The hypothalamic-pituitary system in the antiquity] - Dedicato alla memoria del Prof. Aldo Pinchera [Dedicated to the memory of Prof. Aldo Pinchera], In: L’Endocrinologo, Per una Storia dell’Endocrinologia [For a History of Endocrinology], 13, suppl. to n. 6, 1-11, 2012.

Figure 3. Drawings by Leonardo da Vinci (1508-1509) taken from the Codici di Anatomia of the Windsor’s Collection (Courtesy of the Library of the Department of Human Anatomy of the University of Parma, Italy). (A) Inferior surface of the brain, showing the rete mirabilis (arrow) that surrounds the pituitary gland; (B) three-dimensional representation of the cerebral ventricles. The third ventricle (3v) was believed to be the site of afference and elaboration of the “sensus communis” (Latin for peripheral physical sensations). (From Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective. J Endocrinol Invest 27 (supp to n.6), 73-94, 2004.)

Figure 4. Detail from the fresco, “Creation of Adam,” by Michelangelo Buonarroti, visible on the ceiling of the Sistine Chapel in the Vatican at Rome, Italy, painted between 1508-1512. (A) Photograph of the fresco showing God giving spiritual life and intellect to Adam through his touch; (B) The contour of the same image is reminiscent of a midline sagittal section of the brain and includes the hypothalamus, pituitary and brainstem. (From Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective. J Endocrinol Invest 27 (supp to n.6), 73-94, 2004.)

Figure 5. Drawing from the De Homine of Descartes (1662), showing the pathway of the light through the ocular globe, retina, and collaterals of the optic nerves (corresponding to the retino-hypothalamic tract) that project to the 3rd ventricle (i.e., to the suprachiasmatic nucleus – SCN), to stimulate the pineal gland to release the animal spirit (corresponding to the nerve impulse) to the peripheral striatal muscles. Indeed, we currently know that the photic stimuli may not only activate a hypothalamic-medullary-epithalamic pathway for melatonin release (see Circadian Rhythm section) and thus signal the day/night shift to SCN-dependent pituitary secretions, but also trigger the lateral habenular nucleus. The lateral habenular nucleus receives projections from the SCN directly through the stria medullaris of the thalamus, and indirectly via the superior colliculi by lateral hypothalamic efferents. It influences brainstem motor centers like the substantia nigra and reticular raphe nuclei, to regulate body movement in relation to visual clues. In addition, melatonin acts on skeletal muscle as an ergogenic factor, favoring aerobic motor performance. Thus, Descartes view of the hypothalamic-pineal connection is partly consistent with evidence that light impulses transmitted through the hypothalamus may influence motor activity via the pineal gland and related epithalamus. (From Toni R. “Il sistema ipotalamo-ipofisario nell’antichità [The hypothalamic-pituitary system in the antiquity] - Dedicato alla memoria del Prof. Aldo Pinchera [Dedicated to the memory of Prof. Aldo Pinchera], In: L’Endocrinologo, Per una Storia dell’Endocrinologia [For a History of Endocrinology], 13, suppl. to n. 6, 1-11, 2012.

 

The current term “hypothalamus", however, was not actually introduced until 1893 by the Swiss anatomist, Wilhelm His.  On the basis of his studies on the ontogenesis of the human, fetal brain, His named the first anatomical subdivision of the hypothalamus the “pars optica hypothalami” (5), which is now recognized to include the preoptic region, tuber cinerium and infundibulum.  Discovery of the connection between the hypothalamus and posterior pituitary (supraoptic-hypophysial tract) by Ramon Cajal in 1894, and subsequent work on neurosecretion in fish hypothalamus by the Sharrers in 1928, set the groundwork for rapid advancement in the understanding of the hypothalamus that unraveled throughout the 20th century and continues into the 21st century.  Table 1 summarizes the major historical advances in the elucidation of the functional anatomy of the mammalian hypothalamic-pituitary unit (6).

 

Table 1. Timeline of Major Breakthroughs in Elucidation of the Functional Anatomy of the Mammalian Hypothalamic-Pituitary Unit

II century A.D.

Galen in Anatomicae Administrationes describes the third ventricle and its association with the rete mirabilis around the pituitary gland and dorsally with the pineal gland.  In De Usum Partium considers the hypothalamic infundibulum and pituitary gland as draining route and receptacle for brain mucous to the nasopharynx

1928

E. Scharrer describes “glandular cells” in the fish hypothalamus (concept of “neurosecretion”)

1316

Mondino de Liuzzi da Bologna in his Anothomia refers to the third cerebral ventricle as “integrator” of body functions, including psychic, emotional, and behavioral responses

1930

Popa and Fielding describe in the human pituitary stalk a portal vascular system interpreted as a route of the blood upward the hypothalamus

1522

Berangario da Carpi in his Isagogue Breves denies the existence of the Galenic  rete mirabilis in the human brain

1940-1955

Harris and Green establish the basis for the neural control of the pituitary gland secretion and demonstrate its vascular link with the hypothalamus

1543

Vesalius includes in the Fabricathe first anatomical drawings of the hypothalamic infundibulum, pituitary and their venous drainage

1954

WH Hess shows that both pituitary and autonomic responses are regulated by the anterior (trophotropic area) and posterior (ergotropic area) hypothalamus

1561-1627

Fallopius in the Observationes Anatomicae and Casserio in the Tabulae Anatomicaemention the arterial polygon at the base of the brain then described by Willis

1950-1958

Nauta and Kuypers describe the connections of the mammalian hypothalamus with the rest of the brain and propose that the limbic system influences pituitary function, introducing the concept of “hypothalamic integration”

1662

Descartes in his De Hominesuggests a connection between the optic nerve, third ventricle, and pineal gland to regulate body mouvments and coupling between neuroendocrine and motor responses in hypothalamic motivated behaviors

1960

Martinez describes the structure of the median eminence

1664

Willis in his Cerebri Anatomeargues that humors out of the third ventricle may be carried to the pituitary gland

 

1962

Halaz put forth the concept of “hypophysiotrophic area” of the hypothalamus

1655-1672

Schneider and Lower reject the Galenic idea that the pituitary gland filters brain secretions to the nose

1964

Szentagothi defines the tuberoinfundibular tract

1742

Lieutand discovers vessels in the pituitary stalk

 

 

 

1968

Guillemin and Schally isolate the first hypothalamic releasing factor

1767

Luigi Galvani in Disquisitiones Anatomicae circa Membranam Pituitariam discovers that mucus passing through the nostrils originates from small mucous glands of the human nasal mucosa and not from the pituitary

1969-1970

Yoshimura et al. show that mice pituitary chromophobes may behave like pituitary stem cells, and Nakane provides the first ultrastructural evidence for paracrine interactions in the pituitary gland

1778

Sommering introduces the term “hypophysis”

1971

L. Martini shows that hypothalamic releasing-factors regulate their own secretion via an “ultrashort feedback”

1787

 

 

 

Paolo Mascagni describes lymphatic vessels in human cranial  meninges, introducing the modern view of a lymphatic drainage of brain structures in mammals and man  

1984

T. Hokfelt demonstrates the presence of two different neurotransmitters in the same hypothalamic neuron, introducing the concept of “neuroendocrine regulation by multiple neuronal messengers”

1860

Von Luska describes the primary (or hypothalamic) capillary plexus of the portal vessels

1986

K. Fuxe and L. F. Agnati show that the median eminence is organized in modules, introducing the concept of “medianosome”, and hypothalamic neurons are regulated by both autocrine/paracrine and synaptic mechanisms, better known as “volume and wiring transmissions”

1872-1877

Meynert and Forel define the anatomical borders of what they call “the neural portion extending forward the region of the subthalamus” (i.e., the hypothalamus)

2009

Garcia-Lavandeira et al. identify stem cells/progenitors in the marginal zone of the adult human pituitary gland

1893

His introduces the term “hypothalamus” and provides the first anatomical subdivision based on ontogenesis of the human brain

2012

Iliff et al. describe the “glymphatic system” in rodents, glia-dependent perivascular tunnels interconnected with meningeal lymphatics, allowing for distribution of metabolites and neuromodulators to hypothalamic neurons

 

 

 

 

(Based on Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective.  J Endocrinol Invest 27, supp to n.6, 73-94, 2004, and Toni R. “Il sistema ipotalamo-ipofisario nell’antichità [The hypothalamic-pituitary system in the antiquity] - Dedicato alla memoria del Prof. Aldo Pinchera [Dedicated to the memory of Prof. Aldo Pinchera], In: L’Endocrinologo, Per una Storia dell’Endocrinologia [For a History of Endocrinology], 13, suppl. to n. 6, 1-11, 2012

 

ANATOMY OF THE PITUITARY GLAND

 

Gross and Radiologic Anatomy

 

The pituitary gland lies within a recess of the median part of the middle cranial fossa in the sphenoid bone (sella turcica) and is composed of two major components, the anterior lobe (adenohypophysis) and the posterior lobe (neurohypophysis) that can be readily distinguished radiologically by magnetic resonance imaging (Fig. 6).  The anterior lobe contains three subdivisions including the pars distalis, pars intermedia and pars tuberalis.  The pars distalis makes up the bulk of the anterior pituitary and is responsible for the secretion of anterior pituitary hormones into the peripheral circulation.  In man, it contains follicles of different sizes, typically surrounded by folliculostellate (FS) cells (7).  The pars intermedia lies between the pars distalis and the posterior pituitary, representing what remains of the original Rathke’s pouch cleft (see section on Embyryologic Anatomy).  Although considered vestigial in man, it contains follicles enriched with FS cells, mainly at its perimeter (i.e., the marginal zone), likely functioning as a subpopulation of pituitary stem cells (8). The pars tuberalis is well defined in most mammalian species, including man, and surrounds the infundibular stem (9).  The floor of the sella, or lamina dura, abuts the sphenoid sinus, allowing direct surgical access to the pituitary by the transsphenoidal route.  Other important boundaries to the pituitary gland are the cavernous sinus laterally, which contain the internal carotid artery surrounded with sympathetic fibers, and the cranial nerves III, IV, V (ophthalmic and maxillary branches), and VI (Fig. 7).  The optic chiasm is located superiorly, separated from the pituitary by the cerebrospinal fluid-filled suprasellar cistern and the dural roof of the pituitary, the diaphragma sella.

 

Figure 6. (A) Magnetic resonance image (MRI) and (B) corresponding schematic illustration of the human hypothalamus (H) and pituitary gland seen in sagittal orientation. Note the high intensity or "bright spot" of the posterior pituitary by MRI in (A), sharply defining the boundary between the anterior pituitary gland. III = third ventricle (Modified from Lechan RM. Neuroendocrinology of Pituitary Hormone Regulation. Endocrinology and Metabolism Clinics 16:475-501, 1987.)

Figure 7. (A) MRI and (B) schematic image of the pituitary fossa and its anatomic relationships seen in coronal orientation. The cavernous sinus contains the internal carotid artery and cranial nerves III, IV, V1, V2, and VI. The optic chiasm resides immediately above the pituitary gland and is separated from it by a cerebrospinal fluid-filled cistern. (Modified from Lechan RM. Neuroendocrinology of Pituitary Hormone Regulation. Endocrinology and Metabolism Clinics 16:475-501, 1987.)

Embryologic Anatomy

 

The posterior lobe of the pituitary gland is smaller than the anterior lobe and embryologically derives from the neural primordia as an outpouching from the floor of the third ventricle.  As a direct, anatomic extension of the central nervous system, it is not surprising that the posterior pituitary is composed primarily of unmyelinated axons and axon terminals as well as specialized glial cells called pituicytes.

 

In contrast to the posterior pituitary, the anterior pituitary derives from the oral ectoderm as Rathke's pouch, first seen by the third week of pregnancy in man, and gives rise to both the pars distalis and tuberalis.  There is little if any direct nervous innervation to the pars distalis, but cell to cell contact with the neuroectoderm of the primordium of the ventral hypothalamus is critical for differentiation of the anterior pituitary into the five major cell types.  This occurs as a result of the release of specific growth and transcription factors such as bone morphogenic protein (BMP)-4 and fibroblast growth factor (FGF)-8 (10).  Among the numerous transcription factors involved in positional determination and terminal differentiation of pituitary cell types (Fig. 8), the Notch signaling pathway serves a major role in mediating epigenetic regulation of lineage commitment through activation of non-coding RNAs and chromatin-histone interactions (11,12).  Recent evidence has also indicated a key role for SOX 2 and SOX3 in regulating pituitary morphogenesis both in rodent and man (13).  In humans, mutations of early transcription factors like Rpx, Prop-1 and Pit-1 lead to variable degrees of pituitary insufficiency (10).  Once the pituitary matures, the ability of the hypothalamus to communicate with the pars distalis is dependent upon the hypophysial portal system, a vascular link that connects the base of the hypothalamus to the pituitary gland.

 

Figure 8. Signaling molecules and transcription factors involved in the development of the mouse anterior pituitary from Rathke’s pouch. In the anterior lobe somatotrophs, lactotrophs and caudally-placed thyrotrophs derive from a common lineage, determined by Prop-1 and Pit-1. Independent lineages are observed for a rostrally-placed group of thyrotrophs, corticotrophs, gonadotrophs and intermediate lobe melanotrophs. All cell types are committed to a specific lineage through activation of Notch signaling at the placodal stage. (Adapted from Cohen and Radovick, Endocrine Reviews 23: 431-442, 2002; Zhu X, Gleiberman AS, Rosenfeld MG, Physiol Rev 87: 933-963, 2007; Zhu X, Wang J, Ju B-G, Rosenfeld MG, Curr Op Cell Biol 19: 605-611, 2007).

 

Microscopic Anatomy

 

Microscopically, the anterior pituitary is composed of nests or cords of cuboidal cells organized near venous sinusoids lined with a fenestrated epithelium into which secretory products from the anterior pituitary are collected.  Classically, five cell types and six secretory products of the anterior pituitary gland can be identified immunocytochemically including the somatotrophs (growth hormone), lactotrophs (prolactin), corticotrophs (adrenocorticotropic hormone), thyrotropes (thyroid-stimulating hormone), and gonadotrophs (luteinizing hormone and follicle-stimulating hormone) (14).  It is well recognized, however, that the anterior pituitary is vastly more complicated.  In addition to morphological and physiological evidence for heterogeneity among the classical anterior pituitary cell types (15-18) and the presence of clusters of a unique cell type, the folliculo-stellate cell (19), the anterior pituitary can also synthesize numerous other nonclassical peptides, growth factors, cytokines, binding proteins and neurotransmitters listed in Table 2 that are important for paracrine and/or autocrine control of anterior pituitary secretion and/or cell proliferation under defined physiological conditions (20).  Pituitary stem cells have now been recognized in adult mammalian pituitaries as a group of Notch-, Shh-, Wnt- and Hes1-positive elements without hormonal production, primarily residing in the marginal zone around the pituitary cleft (21).  However, it is possible that more than a single stem cell type is present in the anterior pituitary.   In fact, in rodents, a number of cell groups with stemness potential have been identified, including a subpopulation of folliculostellate cells having the ability to form cell colonies in vitro, a heterogeneous SOX2-positive, SOX9-negative, sphere-forming cell population, a Nestin-positive, potentially adult, progenitor group, and GFRa2-positive (Glial cell line-derived neurotrophic Factor Receptor), sphere-forming cells with clear features of multipotent elements (22).  GFRa2-positive cells have also been observed in the marginal zone of the adult, human pituitary (23).

 

Table 2. Nonclassical Anterior Pituitary Substances and Cell(s) of Origin

Substances

Cell Types

PEPTIDES

ACTIVIN B, INHIBIN, FOLLISTATIN

F, G

ALDOSTERONE STIMULATING FACTOR

UN

ANGIOTENSIN II (ANGIOTENSINOGEN, ANGIOTENSIN I

--

CONVERTING ENZYME, CATHEPSIN B, RENIN)

C, G, L, S

ATRIAL NATURETIC PEPTIDE

G

CORTICOTROPIN-RELEASING HORMONE-BINDING PROTEIN

C

DYNORPHIN

G

GALANIN

L, S, T

GAWK (CHROMOGRANIN B)

G

GROWTH HORMONE RELEASING HORMONE

UN

HISTIDYL PROLINE DIKETOPIPERAZINE

UN

MOTILIN

S

NEUROMEDIN B

T

NEUROMEDIN U

C

NEUROPEPTIDE Y

T

NEUROTENSIN

UN

PROTEIN 7B2

G, T

SOMATOSTATIN 28

UN

SUBSTANCE P (SUBSTANCE K)

G, L, T

THYROTROPIN RELEASING HORMONE

G, L, S, T

VASOACTIVE INTESTINAL POLTPEPTIDE

G, L, T

GROWTH FACTORS

BASIC FIBROBLAST GROWTH FACTOR

C, F

CHONDROCYTE GROWTH FACTOR

UN

EPIDERMAL GROWTH FACTOR

G, T

INSULIN-LIKE GROWTH FACTOR I

S, F

NERVE GROWTH FACTOR

UN

PITUITARY CYTOTROPIC FACTOR

UN

TRANSFORMING GROWTH FACTOR ALPHA

L, S, G

VASCULAR ENDOTHELIAL GROWTH FACTOR

F

CYTOKINES

INTERLEUKIN-1 BETA

T

INTERLEUKIN-6

F

LEUKEMIA INHIBITORY FACTOR

C, F

NEUROTRANSMITTERS

ACETYLCHOLINE

C, L

NITRIC OXIDE

F

C = corticotroph, F = folliculostellate cell, G = gonadotroph, L = lactotroph,

S = somatotroph, T = thyrotroph, UN = unknown

 

Blood Supply

 

The pars distalis of the anterior pituitary gland receives little or no arterial blood supply from branches of the internal carotid artery (24,25), while the posterior pituitary is fed by an anastomotic arterial circle derived from each of the inferior hypophysial arteries as they pierce the cavernous sinus (Fig. 9).  Rather, the pars distalis is supplied by venous blood delivered through the long portal veins that descend along the ventral surface of the pituitary stalk and interconnect capillary beds in the pars distalis with specialized capillary beds of the portal capillary system in the base of the hypothalamus called the median eminence (Fig. 9).  In turn, the portal capillary plexus in the median eminence receives arterial blood from a separate branch of the internal carotid artery, the superior hypophysial artery, after the internal carotid artery ascends from the cavernous sinus.  In addition to venous blood draining from the hypothalamus, the pars distalis also receives venous blood draining from the posterior pituitary through the short portal vessels, giving rise to approximately 30 per cent of the total blood supply to the anterior pituitary (26,27).  The perfusion sequence of arterial blood first reaching the posterior pituitary and the median eminence, followed by venous drainage to the anterior pituitary can visualized in man using rapidly enhanced magnetic resonance images (dynamic MRI) (28) (Fig. 10).  As a result of the venous blood flow pattern to the pituitary, the pars distalis is in a unique position where it can receive humeral information from the hypothalamus and the posterior pituitary, as well as substances circulating in the peripheral bloodstream.  Due to the location of pars tuberalis cells in the pituitary stalk and ventral surface of the median eminence, adjacent to the portal capillary plexus, it is likely that these cells also contribute to the humeral substances that are carried by a vascular route to the pars distalis (29), although its physiological significance is unknown.

Figure 9. Drawing of the vasculature of the primate anterior and posterior pituitary gland. A portion of the pituitary stalk (I) has been cut away to visualize the infundibular recess (IR) and portal capillaries (PC). CPV = confluent pituitary veins, CS = cavernous sinus, H = hypothalamus, IC = internal carotid artery, IHA = inferior hypophysial artery, IP = infundibular processes or posterior pituitary, LPV = long portal veins, SHA = superior hypophysial artery, SPV = short portal veins. (From Lechan RM, Functional Microanatomy of the Hypophysial-Pituitary Axis, in Melmed, S (Ed), Oncogenesis and Molecular Biology of Pituitary Tumors, Frontiers of Hormone Research, 20: 2-40, 1996.)

Figure 10. (A-D) MRI of sequential sequences of the stalk and pituitary gland in sagittal orientation following the intravenous administration of gadolinium. (A) Appearance prior to gadolinium. (B) Following gadolinium, the posterior pituitary is the first structure to show contrast enhancement. (C) This is followed by the pituitary stalk (arrow) and then finally (D) the anterior pituitary. (From Yuh et al, AJNR 15: 101-108, 1994.)

Venous drainage from the anterior pituitary to the systemic circulation is through adenohypophysial veins located at a sulcus separating the anterior pituitary from the posterior pituitary (24).  Other than the short portal vessels, venous drainage from the posterior pituitary collects into neurohypophysial veins, which together with adenohypophysial veins, extend as common vessels (confluent pituitary veins) to the cavernous sinus (Fig. 9).  The cavernous sinus is enriched by an additional draining system composed of paravascular spaces around the hypophysial arteries and veins, variably interconnected with intradural channels lined by a lymphatic endothelium, giving rise to the pituitary glymphatic system (30).  It provides a route for transport and clearance of intercellular liquids and metabolites into the blood circulation, allowing for volume transmission of soluble information at the level of the hypothalamic-pituitary unit (for anatomical details of this circuitry, see the section on the Glymphatic system and sinus-associated dural glymphatics).

 

ANATOMY OF THE HYPOTHALAMUS

 

Gross Anatomy

 

The hypothalamus lies directly above the pituitary gland (Fig. 11) and occupies approximately 2 per cent of the brain volume.  It is composed of a number of cell groups (Fig. 12) as well as fiber tracts that are symmetric about the third ventricle.  In sagittal section, the hypothalamus extends from the optic chiasm, lamina terminalis and anterior commissure rostrally to the cerebral peduncle and interpeduncular fossa caudally (Fig. 11).  The cavity of the third ventricle lies in the midline.  In coronal section (Fig. 13), each of the two symmetric walls of the hypothalamus can be divided into four surfaces: a lateral surface contiguous with the thalamus, subthalamus and internal capsule, the latter dividing the hypothalamus from the corpus striatum; a medial surface extending to the wall of the third ventricle, covered by ependymal cells; a superior surface corresponding to the hypothalamic sulcus that separates the hypothalamus from the central mass of the thalamus; and an inferior surface that is in continuity with the floor of the third ventricle.  The external surface of the hypothalamic floor (Fig. 14) gives rise to a median protuberance called the tuber cinereum (or gray swelling due to the pale bluish color of the blood vessels seen in the postmortem human brain), whose central part extends anteriorly and downward into a funnel-like process, the infundibulum or median eminence.  The infundibulum is in direct continuity with the infundibular stem of the posterior pituitary gland, and together with the pars tuberalis of the anterior pituitary, forms the pituitary stalk (Fig. 6).  Two additional symmetric eminences, the lateral eminences, corresponding to the most lateral portion of the hypothalamic wall and the postinfundibular eminence, as well as the symmetric mammillary bodies, complete the macroscopic morphology of the hypothalamic floor.

Figure 11. Midsagittal section of the human brain (from the XIX century wax collection of human brains at the Museum of the Department of Human Anatomy of the University of Bologna, Italy). The hypothalamus (asterisk) lies above the pituitary gland (cross) and has as its boundaries (1) the anterior commissure and lamina terminalis anteriorly; (2) mammillary bodies and midbrain posteriorly, and (3) thalamus superiorly. (From Lechan R.M. and Toni R., Regulation of Pituitary Function, in Korenman S.G (Ed), Atlas of Clinical Endocrinology, Current Medicine, vol IV, 1-25, 2000).

Figure 12. Magnified view of a fixed human brain in midsagittal orientation. The third ventricle makes up the core of the hypothalamus and extends into the pituitary (or infundibular) stalk, creating the infundibular recess. Many of the major cell groups are located near the midline. These include (from rostral to caudal) the preoptic nucleus (Pop), paraventricular nucleus (Pvn), dorsomedial nucleus (Dm), ventromedial nucleus (Vm), arcuate (or infundibular) nucleus (If), posterior hypothalamic nucleus (Po), and medial mammillary nucleus (mm). Ac = anterior commissure, fx = fornix, lt= lamina terminalis, ot = optic tract and chiasm, Lv = lateral ventricle, MB = midbrain, PN = pons, Sr = supraoptic recess, T = thalamus. (From Lechan R.M. and Toni R., Regulation of Pituitary Function, in Korenman S.G (Ed), Atlas of Clinical Endocrinology, Current Medicine, vol IV, 1-25, 2000).

Figure 13. Coronal section of a fixed human brain at the level of the posterior hypothalamus. The third ventricle (III) lies in the midline directly above the mammillary bodies (m). The subthalamus (sb), zona incerta (zi) and thalamus (T) are located at the superior border of the hypothalamus, whereas the corpus striatum (ST) is located laterally. FL = fasciculus lenticularis, FT = fasciculus thalamicus, ic = internal capsule, SN = substantia nigra, H1 = field H1 of Forel; H2 = field H2 of Forel. (From Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective. J Endocrinol Invest 27 (supp to n.6), 73-94, 2004.)

Figure 14. Basal view of the brain showing the external surface of the floor of the hypothalamus and its arterial vessels. The infundibulum (I) lies posteriorly to the optic tracts and chiasm (ot) and anterior to the mammillary bodies (m). The arterial circle of Willis surrounds the hypothalamic floor and provides the arterial supply to the hypothalamic nuclei and fiber tracts. ac = anterior cerebral artery, aco = anterior communicating artery, b = basilar artery, ic = internal carotid artery, P = pons, pc = posterior cerebral artery, pco = posterior communicating artery. (From the XIX century wax collection of human brains at the Museum of the Department of Human Anatomy of the University of Bologna, Italy.)

Embryologic Anatomy

 

The diencephalon derives from the caudal part the pro-encephalic vesicle, which is the cranial expansion of the primitive neural tube, and the hypothalamus develops from the lateral wall of the diencephalon by extending ventrally to a groove called the “hypothalamic sulcus” that appears early in the lateral wall of the diencephalon (Figure 15).  Therefore, the hypothalamus can be considered a ventral derivative of the neural tube and to originate from the embryonic basal plate (31).  Since the basal plate is the source of all skeletal and autonomic motor neurons in the CNS, by inference, the hypothalamus has also been considered a motor system (32).  Indeed, neuroendocrine neurons that are involved in the regulation of the anterior and posterior pituitary secretion clearly have secretomotor functions.  However, some authorities believe that the basal (motor) plate of the neural tube ends at the level of the mesencephalon, and that the diencephalon (hypothalamus included), is actually a derivative of the dorsal or alar plate, which is primarily sensory (33).  Partial confirmation of this idea has been recently provided by the evidence that mouse embryonic stem cells may spontaneously differentiate into neurons expressing the Rax gene, a marker common to both the preoptic / tuberal hypothalamus and neural retina (a sensory structure), but do not express the Irx3 and En2 genes, typical of the midbrain structures (34). These findings are consistent with the presence of neurosecretory cells with sensory properties in the forebrain of invertebrates and fish (35), suggesting evolutionarily conserved sensory properties of neuroendocrine hypothalamic cells.

Within the neural tube, dividing hypothalamic neuroblasts remain confined within the cell layer adjacent to the ependymal canal (ependymal or ventricular layer), whereas postmitotic elements migrate more laterally into a cell-dense region (mantle layer) before reaching their final destination (36) (Figure 16).  Collectively, hypothalamic progenitors reach their final patterning and location in ventral and dorsal regions by exposure to two, specific, transcription factors, the ‘ventralizing’ Shh and subsequently the ‘dorsalising’ Bmp7.  As a result, specific transcription factor codes are established, leading to early differentiation of ventrolateral progenitors expressing the homeobox gene product, Pax 7 (37).  Outgrowth of neural process occurs at the most lateral borders of the hypothalamic mantle layer to give rise to tangential fiber tracts that course parallel to the ependymal canal and connect hypothalamic neurons with cranial and caudal portions of the developing neural tube.  These fiber tracts are highly ordered into spatial and temporal patterns (38).  Early connections include those with the midbrain (mammilotegmental tract) and hippocampus (stria terminalis), followed by those with the thalamus (mammilothalamic tract) (39).

Figure 15. Three-dimensional reconstruction of the developing proencephalon in the human embryo. Note that at the level of the inferior portion of the lateral wall is the region of the hypothalamus (Hyp) with the infundibular bud (I) and pituitary anlage (P) (Redrawn from Hines M, J Comp Neurol 34: 73-171,1922.) ap = alar plate, bp = basal plate, ce = cerebral hemisphere, cp = choroidal plexus, CS = corpus striatum, ep = epiphysis, EP = epithalamus, eps = epithalamic sulcus, h = hippocampal fissure, hs = hypothalamic sulcus, if = interventricular foramen, lt = lamina terminalis, oc = optic chiasm, sl = sulcus limitans, sr = supraoptic recess, T = thalamus.

Figure 16. Coronal section of the anterior hypothalamus in a human fetus of gestational age 12-14 weeks, counterstained with methylgreen and thionine. (A) Note that from the wall of the third ventricle, constituting the ependymal layer of the neural tube, a front of developing cells (arrows) migrate laterally towards the mantle layer to give rise to the primordium of the paraventricular nucleus (PVN). (B) High magnification of the image included in the rectangle shown in A. Note the high cellular density in the ependymal layer (EL) of the neural tube contrasts with the more diffuse distribution of migrating neuroblasts in the developing mantle layer (ML). III = third ventricle.

Organization of the hypothalamus into specific nuclear groups occurs in a temporal and spatial pattern both in rodents (38,39) and man (40), such that the entire preoptic to posterior lateral hypothalamus followed by the medially-located, neurohypophysial centers and the main part of the medial preoptic and tuberal hypothalamus all arise during an early phase of development, whereas the periventricular hypothalamus, the floor of the third ventricle and mammillary complex develop later (see Section C, Microscopic Anatomy).  Peak birth dates of specific hypothalamic nuclei in the primate are shown in Table 3.

 

Table 3.  Birthdates of Hypothalamic Nuclei in the Primate Brain

Hypothalamic nucleus

Peak birthdate

MPA

e43-e45

SCN

e30-e43

SON

e30-e38

PVN

e40-e43

ARC

e30

VMN

e30

DMN

e38

(Based on van Eerdenburg FJCM, Rakic P.  Early neurogenesis in the anterior hypothalamus of the rhesus monkey.  Dev. Bran Res. 79: 290-296, 1994)

 

 In addition to generalizations above regarding the development of specific hypothalamic nuclei, there are developmental differences that distinguish neuroendocrine neurons in the hypothalamus from non-neuroendocrine neurons.  Namely, neuroendocrine neurons, including those that give rise to the tuberoinfundibular and magnocellular neurohypophysial systems that are involved in regulation of the anterior and posterior pituitary, respectively (see later), differentiate immediately after closure of the neural tube, even before reaching their final destination within hypothalamic nuclei (41).  This phenomenon has been clearly demonstrated for GnRH neurons, that are fully differentiated at the level of the olfactory placode, even before migrating into the preoptic region of the hypothalamus (42).  Similarly, neuroblasts immunoreactive for the hypophysiotropic peptides, somatostatin and thyrotropin-releasing hormone, can be identified in the human fetal hypothalamus at the interface between the ependymal and mantle layers during a developmental stage that precedes complete formation of the PVN (43,44).

 

A number of genes have now been identified that regulate the temporal and spatial patterns of differentiation of hypothalamic cell groups.  The POU III-related homeobox genes, Brn-1, Brn2, and Brn4, are involved in the development of the periventricular and medial parts of the hypothalamus (45).  Transgenic mice with loss of function mutations or with targeted disruption of the Brn-2 gene, lack both the PVN and supraoptic nuclei, and have no somatostatin-producing neurons in the periventricular hypothalamus (46,47).  Expression of Brn-2 is dependent upon transcription factors Sim1 and ARNT2, since mutations of these genes in transgenic mice result in a phenotype that is similar to the Brn-2 KO mice (48-50).  Similarly, mice with decreased Sim1 expression have reduced vasopressin and oxytocin neurons, and develop a hyperphagic and obese phenotype (51).  A number of other genes have been identified that are involved in differentiation of specific hypothalamic nuclei and are listed in Table 4.  Temporal and spatial expression of many of these genes is selectively regulated by circulating sex hormones (52) and peripheral satiety signals such as leptin (53), suggesting that innate neuroendocrine behavioral responses are epigenetically influenced during the embryonic and fetal life.  Indeed, epigenetic imprinting in the mammalian hypothalamus has been recognized for a number of maternally silenced genes by knockout of the paternally-expressed allele including: a) Magel2, encoding a transcriptional regulator whose disruption leads to neonatal growth retardation, excessive post-weaning weight gain, adiposity, reduced food intake, and disappearance of orexin neurons; b) Ndn, encoding the growth suppressor and anti-apoptotic factor, necdin, whose loss leads to reduction in oxytocin and LHRH neurons; c) Nnat, encoding neuronatin that regulates energy homeostasis for which a single nucleotide polymorphism in man is associated with severe childhood and adult obesity; d) Gnasxl, encoding the transcript of the Gsα isoform, XLαs, whose inactivation results in a hypermetabolic phenotype with decreased adiposity, increased glucose tolerance and insulin sensitivity; and e) Pag3, that encodes a Kruppel-type zinc finger transcription factor whose absence reduces metabolic rate, lowers the core body temperature, increases adiposity, induces leptin resistance, reduces sympathetic activity, and alters the proportion of neuropetide neurons in the periventricular and medial hypothalamic nuclei.  Paternally-imprinted genes have also been recognized in the hypothalamus including Gnas that has selective expression in the PVN and whose constitutive knockout leads to Albright hereditary osteodystrophy characterized by severe obesity, lethargy, glucose intolerance and insulin, TSH and PTH resistance (54).

 

Table 4. Genes and Transcription Factors Involved in the Development of Specific Regions of the Rodent Hypothalamus

Gene

Nuclear Region

Brn-1, Brn-2, Brn-4

PVN, SON, PV, POA, MN, PH

Dlx1

TH

Vgll2, SF-1, Sox14, Satb2,

VMN

Fezf1, Nkx2-2, COUP-TFII

 

Gsh1, Mash1

ARC, VMN

Otp

PVN, SON, PV, POA, AH, ARC

rPtx-2

TH, MN

Sim1

PVN, SON

Fkh5

MN

Tst-1

MN, PH

(Based on Markakis E. A. Frontiers in Neuroendocrinology, 23: 257-291, 2002; McNay DE, Pelling M, Claxton S, Guillemont F, Ang S-L, Mol Endocr 20: 1623-1632, 2006; Kurrasch DM, Cheung CC, Lee FY, Tran PV, Hata K, Ingraham HA. J Neurosci 27: 13624-13634, 2007.)

AH = anterior hypothalamus, ARC = arcuate nucleus, MN = mammillary nuclei = posterior hypothalamus, POA = preoptic area, PV = periventricular nucleus, PVN = paraventricular nucleus, SON = supraoptic nuclei, TH = tuberal hypothalamus, VMN = ventromedial nucleus

 

Microscopic Anatomy

 

BOUNDARIES AND ORGANIZATION OF NEURONAL CELL GROUPS

 

Using phylogenetic and cytoarchitectonic criteria (55), a number of nuclear groups and fiber tracts are recognized in the vertebrate hypothalamus.  These are organized into three major regions including the lateral, medial and periventricular hypothalamus, each having distinct morphological and functional features.  In the human hypothalamus, the anterior column of the fornix that extends rostro-caudally through the substance of the hypothalamus to end in the mammillary bodies, and the mammillo-thalamic tract that projects from the mammillary bodies upward to the thalamus, create an anatomical boundary that divides the hypothalamus into medial and lateral subdivisions (Fig. 17).  Contained within the medial subdivision is the periventricular subdivision, a 5-6 cell layer thick nuclear group surrounding the third ventricle that is easily recognized in rodents using standard vital stains, but has less clear anatomical boundaries in the human brain.

 

Both the medial and periventricular subdivisions of the mammalian hypothalamus contain a high density of neuronal cell bodies organized into nuclear groups (Tables 5 and Fig. 17) and in the human brain, has been classified with a number of different synonyms (Table 6).  Both subdivisions are crucial for the regulation of the anterior and posterior pituitary gland.  The medial hypothalamus also contains nuclear groups that serve as relay centers for highly differentiated neural information coming from the neocortex, limbic system and autonomic sensory centers in the brainstem involved in initiation phases of specific homeostatic behaviors such as thirst, hunger, thermoregulation, the sleep-wake cycle, and reproductive behavior (55). The lateral hypothalamus occupies the largest portion of the hypothalamus by volume.  However, it has relatively fewer neurons compared to the medial hypothalamus, and only a limited number of nuclear groups intercalated within a massive fiber system, the medial forebrain bundle (MFB).  It is through this fiber system that information from the medial forebrain (amygdala, hippocampus, septum, olfactory system, neocortex) and the brainstem is carried to the medial and periventricular hypothalamic subdivisions, delegating an important role to the lateral hypothalamus to influence homeostatic control systems elaborated by the medial hypothalamus.  Figure 18 schematically depicts major interrelationships between the periventricular, medial and lateral hypothalamic subdivisions and the rest of the brain.

Figure 17. Schematic representation of the human hypothalamus in coronal orientation (A-D: rostral to caudal), demonstrating the location of major nuclear groups. Drawings correspond to MRI images in Fig. 26. Using the fornix (fx) as an anatomic landmark as it passes through the mid-portion of the hypothalamus on each side of the third ventricle, it is convenient to divide the hypothalamus into medial and periventricular zones (that lie largely medial to the fornix) and a lateral zone (that lies lateral to the fornix). The medial and periventricular zones contain most of the hypothalamic cell groups, and the lateral zone contains relatively fewer neurons. This is because the lateral zone is largely composed of a massive bidirectional fiber pathway – the medial forebrain bundle – that extends through the hypothalamus and interconnects it with the limbic system and brainstem autonomic centers.

 

Table 5. Major Hypothalamic Cell Groups in Mammals

PERIVENTRICULAR ZONE

PERIVENTRICULAR NUCLEUS

SUPRACHIASMATIC NUCLEUS

PARAVENTRICULAR NUCLEUS

ARCUATE NUCLEUS

MEDIAL ZONE

MEDIAL PREOPTIC NUCLEUS

ANTERIOR HYPOTHALAMIC NUCLEUS

DORSOMEDIAL NUCLEUS

VENTROMEDIAL NUCLEUS

PREMAMMILLARY NUCLEUS

MAMMILLARY NUCLEUS

POSTERIOR HYPOTHALAMIC NUCLEUS

LATERAL ZONE

LATERAL PREOPTIC NUCLEUS

LATERAL HYPOTHALAMIC NUCLEUS

SUPRAOPTIC NUCLEUS

rostral to caudal order of appearance in each zone

Based on the anatomical classification of Nauta WJH and Haymaker W, Hypothalamic nuclei and fiber connections.: Haymaker W, Anderson E, Nauta WJH (eds); The Hypothalamus, Charles C Thomas Publisher, 1969, pp 136-209

 

Table 6. Terminology of hypothalamic nuclei in the human brain (rostral to caudal order of appearance)

Spiegel
Zweig
1919

Clark
1936

Brockhaus
1942

Khulenbeck
Heimaker / Nauta
1949-69

Feremutsch
1955

Diepen
1962

Schattelbrand
Wahren
1977

Braak
1987

Swaab
1985-92

GTD

POA

n. prothal. periventr.

nn. lineae medianae
preoptic periventric.n.

a. periventr. hypothal.
e / ba

preoptic
groups

n. prothal. periventr.
d / int / v

periventricular n.

 

SCN

POA

n.ovoideus

SCN

a. periventr. hypothal.
communis

SCN

n. ovoideus

SCN

SCN

GTD

POA

n. prothal.
princip.
o / ce / v

medial preopt.ic n.
anterior hypothal. n.
periventr. preoptic n.
lateral preoptic n.

a. periventr. hypothal anterior
a. lateralis hypothal anterior
a. lateralis hypothal. reticularis

lateral
hypothal.
n.

n. prothal.
principalis
o / ce / v / l

chiasmatic grey
cuneiform n.
uncinate n.

POA
OVLT

GTD

POA

nucleus
intermed.

medial preopt. n.
anterior hypoth. n.

intermediate lateral hypothal. a.

 

n. prothal.
princip.
ce / v

intemediate n.

SDN

GTD

POA

orolateral
hypothal. n.

n. supraoptic
diffusum

     

retrochiasmatic
n.

 

SON

SON

SON

SON

SON

SON

SON

SON*

SON

PVN

PVN

PVN

PVN

PVN

PVN

PVN

PVN*

PVN

MII

   

arcuate
or infundibular n.

a. periventr. basalis posterior

INF

INF

INF°

 

GTD

VMN

 

VMN

a. lateralis hypothal. ventromed.

VMN

VMN

VMN, postero-medial n.

 

GTD

DMN

 

DMN

a. periventr. hypothal. communis
a. lateralis hypothal. posterior

DMN

DMN

DMN

 

GTD

LHA

 

TMN

mammillo-infundibular n.

TMN

TMN

TMN

 
 

PN

 

PN

     

PN

 

PFN

   

PFN

a. lateralis hypothal. posterior (parafornicalis)

PFN

PFN

   

GTD

   

DN

n. paraventricularis pars caudalis
a. lateralis hypothal. posterior
pars dorsalis

a. dorsalis

n. dorsalis

   

GTD

LHA

 

LHA

a. lateralis hypothal. reticularis
pars principalis

pars lateralis tubero-mammillaris

n. lateralis

   

nn. tuberis

nn
tuberis

 

nn. tuberis laterales

n tuberis lateralis hypothalami

nn. tuberis
lateralis

n. tuberis
lateralis

LTN

LTN

 

MMN

 

MMN

n. corporis mammillaris

 

MMN

   
 

LMN

 

LMN

   

LMN

   
 

n. interc.

 

n. interc.

n. interc.hypothal.

 

n. interc.

   

DMN dorsomedial nucleus, GTD = griseum tuberis diffusum, INF = infundibular nucleus, LHA = lateral hypothalamic area, LMN = lateral mammillary nucleus, LTN = lateral tuberal nucleus, MII = massa infundibularis intermedia, MMN = medial mammillary nucleus, OVLT = organum vasculosum lamina terminalis, PFN = perifornical nucleus, PN = posterior nucleus, POA = preoptic area, PVN = paraventricular nucleus, SCN = suprachiasmatic nucleus, SDN = sexual dimorphic nucleus. SON = supraoptic nucleus, TMN = tuberomammillary nucleus, VMN = ventromedial nucleus, a. = anterior; ce = centralis, d = dorsalis, int. = intermedius, l = lateralis, n. interc= nucleus intercalatus, nucleus intermed. = nucleus intermedius, n. prothal. periventr. = nucleus prothalamicus periventricularis, n. prothal. princip. = nucleus prothalamicus principalis, o = oralis, v = ventralis; * = associated with surrounding accessory magnocellular neurosecretory nuclei; ° = including cranially the periventricular nucleus. Based on Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective. J Endocrinol Invest 27, supp to n.6, 73-94, 2004

Figure 18. Schematic representation of the major neural pathways connecting the periventricular, medial and lateral hypothalamic subdivisions with the rest of the brain. Groups with identical colors are functionally linked.

Each of the three hypothalamic subdivisions can be further divided along the rostral-caudal axis into the: a) anterior or chiasmatic region, extending between the lamina terminalis and the anterior limit of the infundibular recess; b) median or tuberal region, extending between the infudibular recess and the surface of the anterior column of the fornix; and c) posterior or mammillary region, extending between the anterior column of the fornix and the caudal limit of the mammillary bodies.

 

Recent tract-tracing and morphofunctional studies in rodents have proposed a functional perspective of hypothalamic subdivisions aimed at coordinating behavioral responses like feeding, reproduction and defense/exploration with autonomic and neuroendocrine responses.  In particular, it has been suggested that specific nuclei in the rostral part (chiasmatic region) of the periventricular subdivision (namely the preoptic area) and dorsal zone of the tuberal region (namely the dorsomedial nucleus) reciprocally interact to provide outputs unique for different pools of neuroendocrine neurons located along the walls of the third ventricle (collectively considered as a periventricular motor zone), coupled to outputs to selective pools of autonomic neurons in all hypothalamic subdivisions (collectively considered as preautonomic cell groups).  This neuronal network would be responsible for constant, reproducible but different patterns of endocrine and autonomic activation in response to specific homeostatic signals (hunger, sexual desire, motivated motor activity), constituting a hypothalamic visceromotor pattern generator (HVPG).  In this manner, it would be clearly recognized that the HVPG is comprised of a contingent of neurons interposed between the classical periventricular and medial hypothalamic subdivisions (56).

 

CIRUMVENTRICULAR ORGANS 

 

Median Eminence (ME)

 

One of the most important regions in the hypothalamus that is essential for regulation of the pituitary gland is the median eminence, a midline structure located in the basal hypothalamus ventral to the third ventricle and adjacent to the arcuate nucleus.  It is here that all hypophysiotropic hormones converge before they are conveyed to the pituitary gland.  The median eminence is one of seven so called circumventricular organs situated as midline structures in the walls of the lateral, third or fourth ventricles (57,58).  Other circumventricular organs include the organum vasculosum of the lamina terminalis, subfornical organ, choroid plexus, pineal gland, subcommissural organ and area postrema(Fig. 19).  Characteristically the circumventricular organs contain a rich capillary plexus and with the exception of the subcommissural organ, have a fenestrated endothelium rendering the structures outside of the blood brain barrier. This morphologic feature together with the presence of neural elements contacting the fenestrated capillaries allows the secretion of brain-derived products into the peripheral circulation and/or makes circumventricular organs targets for blood-born information which can then be transmitted to the brain (59).

Figure 19. Location of circumventricular organs in the rat brain. AP = area postrema, ME = median eminence, OVLT = organum vasculosum of the lamina terminalis, P = pineal gland, PP = posterior pituitary, SFO = subfornical organ. (Modified from Saper and Breder, New England Journal of Medicine 330: 1080-1886, 1994.)

The median eminence is a highly organized structure containing three zones: the ependymal zone, the internal zone (or zona interna) and the external zone (or zona externa) (60,61) (Fig. 20A).  The ependymal zone forms the floor of the third ventricle and has some very specialized features including densely formed tight junctions between adjacent cells and highly specialized cells, tanycytes, that extend bleb-like protrusions and microvilli into the cerebrospinal fluid (CSF) at their ventricular surface and long cytoplasmic processes ventrally into the substance of the median eminence (61,62).  Since the portal capillaries in the median eminence lie outside of the blood brain barrier, one of the functions of the ependymal zone is to create a barrier to the brain, preventing substances released into the periportal capillary spaces from entering the cerebrospinal fluid (63,64).  Tight junctions also can be found at the dorso-lateral margins of the median eminence adjacent to the neuropil of the arcuate nucleus created by perivascular tanycyte processes (48), thereby compartmentalizing all substances entering the periportal capillary spaces within the confines of the median eminence, itself.  Norsted et al (49), however, have demonstrated the absence of endothelial barrier antigen in blood vessels at the far ventro-medial aspect of the arcuate nucleus close to the border between the walls and floor of the third ventricle, and propose the lack of a blood brain barrier in this region.  Allowing blood-born substances including gut peptides, glucose, amino acids and fatty acids to enter the arcuate nucleus in this region may be an important homeostatic mechanism that contributes to the regulation of appetite and satiety (see later).

 

Figure 20. (A) Schematic diagram of the median eminence showing the organization of its three major zones: ependymal zone (E), internal zone (ZI), and external zone (ZE). ZE is invigilated by portal capillaries which are contacted by axon terminals of the tuberoinfundibular system and by processes of specialized ependymal cells, the tanycytes. (B) Fibers coursing through the ZI are seen immunocytochemically in the rat using antiserum to vasopressin. (C) Fibers terminating in the ZE in close association to portal capillaries (PC) are seen immunocytochemically in the rat using a proTRH-directed antiserum. III = third ventricle. (From Lechan RM, Functional Microanatomy of the Hypophysial-Pituitary Axis, in Melmed, S (Ed), Oncogenesis and Molecular Biology of Pituitary Tumors, Frontiers of Hormone Research, 20: 2-40, 1996.)

Based on their location, morphology, cytochemistry and ultrastructure, tanycytes can be divided into several subtypes including alpha, beta and recently characterized gamma subtypes (65,66).  The alpha subtypes line the ventrolateral walls of the third ventricle and beta subtypes line the floor and lateral extensions of the third ventricle.  Gamma subtypes are small tanycytes that can be found throughout the substance of the median eminence (67).  While presumed to be barrier cells, they likely have other important, neuroendocrine functions that may supersede their role as barrier cells.  The close association of tanycyte foot processes with the basal lamina of the portal capillaries and with individual axon terminals (Fig. 21) could create a retractable barrier to regulate the diffusion of secretory products entering or exiting specific regions of the portal capillary plexus or from axon terminals (68,69).  This mechanism has been shown to have an important role in the regulation of gonadal function in photoperiod sensitive animals, in which retraction of the tanycyte foot processes from portal vessels during long days allow activation of reproductive function (70).  A similar dynamic interaction between glial cells and secretory nerve endings in the posterior pituitary have been described by Beagley and Hatton (71).  In addition, the absorption of substances from the CSF at its apical surface for transport to the portal capillaries (62,72,73) could result in a mechanism whereby secretory products released into the CSF have access to the anterior pituitary.  Tanycytes may also serve as a scaffolding for axons entering the median eminence during embryologic development, guiding them to their ultimate destination in the external zone (74).  Tanycytes express one of the highest concentrations in the brain of type 2 deiodinase (D2) (75), the enzyme responsible for the conversion of thyroxine (T4) into its more biologically potent product, triiodothyronine (T3), the D2 degrading and reactivating enzymes, WSB-1 and VUD-1 (76), thyroid hormone transport (78.).  These observations among others are in keeping with recent reports on the important role of tanycytes in control of the hypothalamic-pituitary-thyroid axis and regulating tissue levels of thyroid hormone in the hypothalamus (79-81).

Figure 21. Electron micrograph of the external zone of the median eminence showing the presence of axon terminals (a) and a tanycyte process (t) adjacent to a fenestrated capillary (C) of the portal plexus. One axon (closed arrowhead) has been engulfed by the tanycyte and another (open arrowhead) is separated from the portal capillary space by the tanycyte foot process. Note presence of dense core vesicles (arrows) as well as smaller secretory vesicles in several axon terminals. (From Lechan RM, Functional Microanatomy of the Hypophysial-Pituitary Axis, in Melmed, S (Ed), Oncogenesis and Molecular Biology of Pituitary Tumors, Frontiers of Hormone Research, 20: 2-40, 1996.)

Tanycytes also express a number of embryotic genes (82), suggesting that they may serve as stem cells.  Indeed, any damage to tanycytes is repaired by rapid regeneration of these cells to reline the third ventricle (83).  Along these lines, tanycytes have been observed to express POMC mRNA (84), raising the possibility that they may have the ability to differentiate into neurons and contribute to the neuronal population in the adjacent arcuate nucleus.  Other evidence for tanycyte differentiation into neurons has also been given (82,85).  Finally, tanycytes have properties of inflammatory cells and may be capable of producing cytokines and chemokines that contribute to the mechanism of hypothalamic inflammation associated with a high fat intake (personal observations).

 

The internal zone of the median eminence lies directly below the ependymal zone and is primarily composed of unmyelinated axons of passage of the hypothalamic-neurohypophysial system en route to the posterior pituitary (Fig. 20B).  Characteristic of these axons are dilatations or Herring bodies, in which collect large numbers of neurosecretory granules measuring 200 to 350 nm in diameter (Inset, Fig. 20B).  The internal zone also contains cytoplasmic processes of tanycytes and axons of passage of the hypothalamic tuberoinfundibular system as they descend into the external zone.

 

The external zone underlies the internal zone and in addition to the portal capillaries and cytoplasmic extensions of the tanycytes described above, it contains numerous fine calibers, unmyelinated axons and axon terminals of the hypothalamic tuberoinfundibular system (Fig. 20C).  Characteristic of these axon terminals are dense-core vesicles ranging from 50 to 130 nm in diameter (Fig. 21).  The close proximity of many of the axon terminals to the portal system suggests that these axons are capable of secreting the material stored in their vesicles into the pericapillary spaces and by percolating through the fenestrated endothelium of the portal capillaries, reach the anterior pituitary by way of the long portal vessels.  These substances, commonly referred to as hypothalamic releasing and inhibitory hormones on the basis of their ability to stimulate or inhibit anterior pituitary hormone secretion respectively, have been chemically identified and are listed in Table 7.

 

Table 7. Classic Hypothalamic Releasing and Inhibitory Substances

Substance

Acids

CORTICOTROPIN-RELEASING HORMONE (CRH)
SER - GLU - GLU - PRO - PRO - ILE - SER - LEU - ASP - LEU - THR - PHE - HIS - LEU - LEU-ARG - GLU - VAL - LEU - GLU - MET - ALA - ARG - ALA - GLU - GLN - LEU - ALA - GLN -GLN - ALA - HIS - SER - ASN - ARG - LYS - LEU - MET - GLU - ILE - ILENH2

41

DOPAMINE

1

GROWTH HORMONE-RELEASING HORMONE (GHRH)
TYR - ALA - ASP - ALA - ILE - PHE - THR - ASN - SER - TYR - ARG - LYS - VAL - LEU - GLY - GLU - LEU - SER - ALA - ARG - LYS - LEU - LEU - GLN - ASP - ILE - MET - SER - ARG - GLU - GLN - GLY - GLU - SER - ASN - GLN - GLU - ARG - GLY - ALA - ARG - ALA - ARG - LEUNH2

44

GONADOTROPIN-RELEASING HORMONE (GnRH)
pyroGLU - HIS - TRP - SER - TYR - GLY - LEU - ARG - PRO - GLYNH2 -

10

SOMATOSTATIN
ALA - GLY - CYS - LYS - ASN - PHE - PHE - TRP - LYS - THR - PHE - THR - SER - SER – CYS S _____________________S

14

THYROTROPIN-RELEASING HORMONE
pyroGLU - HIS - PRONH2

3

 

Many axon terminals, however, do not abut directly on portal capillaries or terminate at some distance from the portal capillary plexus, may be to serve a modulatory role on other axon terminals rather than secrete into the portal plexus and explain the large numbers of peptides in the median eminence that either have no certain, direct action on anterior pituitary cells or cannot be measured in the portal blood (86).  Axon terminals containing dopamine, for example, are located in close proximity to axon terminals containing GnRH (87) at the lateral margins of the external zone of the median eminence and can modulate the secretion of GnRH by presynaptic inhibition (88,89).  Galanin containing axon terminals have also been observed to overlap with GnRH terminals in the lateral portion of the median eminence (90) but stimulate GnRH release from median eminence fragments (91).  Although axo-axonal synapses are uncommon in the median eminence of most animal species studied using morphologic criteria (54), receptors for several different peptide hormones have been identified on axon terminals in the external zone suggesting that axo-axonal interactions can take place.  Given the slow circulation time of blood perusing the median eminence (92), synaptic specialization in the median eminence may be unnecessary.

 

Alternatively, axons terminating at a distance from the portal capillaries may be held in reserve and only secrete to the anterior pituitary under certain physiological conditions.  This phenomenon has been described for several peptides such as neuropeptide Y, whose concentration increases in portal capillary blood during an ovulatory surge to potentiate the action of GnRH on gonadotropin secretion (93,94).  Similarly, VIP/PHI, which shows a minimal immunocytochemical staining pattern in the median eminence in the basal state, increases during suckling to stimulate prolactin release (95) and vasopressin markedly accumulates in the external zone following adrenalectomy (96).  The anatomical correlate of these physiologic observations may be suggested by the work by King and Letourneau (97) on gonadotropin regulation in which GnRH-containing axon terminals in the median eminence can be found at different distances from the portal capillaries in intact animals’ vs gonadectomized animals.  This indicates the potential for a dynamic association between axon terminals of the tuberoinfundibular system and the portal capillaries under specific physiologic conditions.  Marked reorganization in the median eminence of several different peptide-containing axon terminals in the median eminence has also been observed following hypophysectomy (98).

 

A further complexity to the physiology of axon secretion in the external zone of the median eminence is the common occurrence of more than one peptide or transmitter coexisting in the same axon terminal.  For example, TRH and preproTRH 160-169 coexist in the same axon terminals in the median eminence (99) and together have important potentiating effects on anterior pituitary TSH secretion (100).  Galanin coexists with GHRH in the majority of GHRH-tuberoinfundibular neurons (101) and although does not stimulate growth hormone secretion by itself in dispersed anterior pituitary cells (102), when administered together with GHRH, it increases GH secretion over what can be achieved by GHRH alone (103).  Rather than arise as a biosynthetic product of the same precursor molecule as preproTRH 160-169 and TRH, galanin and GHRH are derived from two separate gene products, expanding the possible sources for peptides that potentiate anterior pituitary secretion (104).  The coexistence of substances in axon terminals may also help to coordinate the secretion of separate anterior pituitary hormones as has been proposed for VIP/PHI, neurotensin, and enkephalin in CRH-producing neurons (105) to coordinate the secretion of ACTH, GH and prolactin during stress (106).

 

In addition to axon terminals in the external zone of the median eminence, densely packed fibers that contain VIP and the nitric oxide-synthesizing enzyme, nitric oxide synthase (107) have been described on the ventral surface of the median eminence separated from the external layer (108).  These fibers surround portal vessels and innervate smooth muscle of precapillary arterioles that supply the portal capillary plexus of the median eminence.  Since both VIP and NO are potent vasodilators (109,110), these substances may play an important role in regulating the rate of blood flow to the median eminence and hence to the anterior pituitary, thereby exerting a separate level of control over anterior pituitary secretion.  As opposed to axon terminals in the external zone of the median eminence that derive from the hypothalamus (see below), axons involved in regulation of portal blood flow appear to arise from other regions such as the sphenopalatine ganglion (107,108).

 

Consistent with the concept that the median eminence lies outside of the blood-brain barrier, claudin-5 and ZO-1, markers for tight junctions, are absent from vessels in the external layer (63).

 

Organum Vasculosum of the Lamina Terminalis (OVLT)

 

The OVLT is located in the midline of the lamina terminalis as part of the anterior wall of the third ventricle (Fig. 19).  Its dorsal surface protrudes into the third ventricle cavity and its ventral surface is in direct contact with the prechiasmatic cistern.  Thus, OVLT cells are in a position to be bathed by soluble factors in the CSF in both ventricular and cisternal spaces.  In rodents, ultrastructural studies by Weindl et al (111) and Mitro and Palkovits (112) have described a variety of cell types in the OVLT, including specialized neurons, tanycytes, ciliated ependyma, and glial cells (113).  Some of these cells send long processes to the periventricular space, whereas others establish specialized junctions and synaptic contacts or project outside the OVLT (113-115).

 

As in the median eminence, the OVLT contains fenestrated capillaries.  They are derived from small branches of the preoptic artery that break up into a dense network of small vessels in the pia matter lining the external surface of the lamina terminals, and loop up towards the ventricular lumen (116).  These vessels circumscribe interstitial spaces filled with cellular processes and secretory nerve endings that contain a number of neurotransmitter substances including atrial naturetic peptide, vasopressin, somatostatin, and GnRH (117), suggesting that like the median eminence, the OVLT subserves a neuroendocrine function.  In contrast to the median eminence, however, blood from the OVLT does not drain into a portal plexus, but rather primarily to the medial preoptic region (118), suggesting a close functional interrelationship between the OVLT and this region of the hypothalamus.  In addition, neurons in the OVLT project to the preoptic nucleus, subfornical organ, arcuate nucleus, supraoptic nucleus, medial thalamus and parts of the limbic system, primarily the cingulate, temporal and insular cortices.  This anatomical organization, therefore, strategically places the OVLT in an ideal location to receive blood-born information and then transmit this information to specific regions of the brain.  Accordingly, the OVLT has been implicated in mediating the febrile effects of circulating cytokines (see Thermoregulation).  In addition, the OVLT is involved in osmoregulation and fluid balance through osmoreceptor cells that express the transient receptor potential vanilloid (TRPV) 1 gene (119), and respond to circulating levels of angiotensin II and relaxin (120,121).  Its osmoregulatory role has been recently demonstrated in human volunteers subjected to excessive sweating using functional neuroimaging and blood flow distribution.  These studies showed that the OVLT is co-activated with limbic regions well known to be involved in thirst consciousness after thalamic relay (cingulate and temporal cortex), whereas after water ingestion, prominent activation of the cortical satiety centers (insula) occurred (122).  The OVLT is also densely innervated by axon terminals containing GnRH, originating from perikarya in the septum and areas surrounding the OVLT that presumably contribute to the regulation of pituitary gonadotropin secretion (123), perhaps through connections between the OVLT and the median eminence (124).  In female rodents, these axons cross the OVLT en route to the median eminence to trigger pulsatile proestral release of pituitary gonadotropins (125), whereas in males, their gonadotropin-releasing hormone content is regulated by levels of circulating thyroid hormone (126,127).  Direct connections between the OVLT and the median eminence have also been described (124). 

 

Subfornical Organ (SFO)

 

The name of this circumventricular organ derives from its midline, anatomical location under the fornix (Fig. 18), at the point where the lamina terminalis joins the tela choroidea of the third ventricle (128).  Embryologically, the SFO arises from the same part of the neural tube as the OVLT, and accordingly, have a similar microarchitecture and share common functions (129).

 

The SFO can be divided into two regions: a peripheral shell or “perimeter” that is rich in nerve endings arising from neurons intrinsic to the SFO but poor in blood capillaries, and a more densely packed center or “core” crowded with neuronal and glial perikarya and containing a dense vascular network of fenestrated and unfenestrated capillaries.  In caudal portions of the SFO, capillaries are continuous with those of the choroid plexus (130).  It is presumed that the “core” of the SFO is the locus for major hormonal receptor fields and fiber terminals of its afferent neuronal innervation, particularly the median preoptic nucleus, whereas the “perimeter” is the site of exit for SFO axons projecting to specific target regions in the hypothalamus including the preoptic nucleus, OVLT, supraoptic nucleus, paraventricular nucleus and lateral hypothalamus (131).

 

The SFO has an important role in coordination of fluid balance with blood pressure and drinking behavior, especially during hemorrhage and hypovolemia (132).  The rich vasculature of the SFO allows circulating angiotensin II to stimulate intrinsic neurons (133) via angiotensin type 1 receptors (134).  Through direct projections to the paraventricular nucleus, supraoptic nucleus and accessory magnocellular cell groups of the hypothalamus (135), SFO neurons induce release of vasopressin from the posterior pituitary (136), activate paraventricular nucleus neurons that descend to sympathetic centers of the spinal cord that regulate vasoconstriction (137), and possibly favor the release of vasoactive peptides like VIP from the anterior pituitary and a number of other neural sites related to fluid and blood pressure balance (138).  Evidence for intrinsic production of angiotensin II in the SFO (139) and the antagonistic effects of galanin released from axon terminals that synapse on SFO neurons on angiotensin II-induced drinking behavior and vasopressin release (140), may also contribute to the regulation of fluid homeostasis.  The presence of other peptides in the SFO and/or their receptors including obestatin, somatostatin and thyrotropin-releasing hormone, has suggested that the SFO might play a role in coordinating the ingestive behavior of liquids with solid food and the sleep cycle (141-143).  This idea is also supported by the presence of leptin receptors in the SFO, and that their deletion abolishes the leptin-mediated increase in sympathetic outflow to the kidney (144).  In addition, due to its connections with the preoptic nucleus and OVLT, the SFO is also involved in the regulation of thirst and locomotor behavior for drinking (145).

 

FIBER SYSTEMS

 

The fiber systems that link the hypothalamus to the rest of the brain are numerous and intricate, reflecting the importance of the hypothalamus as an integrating center for the rest of the brain.  Due to the complexity of the fiber systems, however, it is impractical to individually describe each fiber pathway linking each nuclear group, particularly for the human hypothalamus in which nuclear boundaries and relative projections are less clear than in other mammals.  Readers are referred to extensive reviews on this topic (146,147).  We will describe only the major hypothalamic fiber systems with respect to their afferent and efferent connections to the periventricular, medial and lateral hypothalamic nuclear subdivisions.

 

Afferent Connections

 

Inputs to the mammalian hypothalamus arise primarily from the limbic system, brainstem reticular formation, thalamus, subthalamus, basal ganglia, retina and possibly the neocortex (Fig. 22).  Afferents from the limbic system include 3 main fiber groups, the medial forebrain bundle, the stria terminalis, and the fornix.  The medial forebrain bundle is located in the most lateral part of the hypothalamus and contains fibers originating from more than 50 nuclear groups in different regions of the brain including descending fibers from the olfactory and septal areas, and ascending fibers from the amygdaloid complex and substantia innominata, the latter forming the ventral amygdalofugal component of the ansa peduncularis.  The stria terminalis originates in the amygdaloid complex, and the fornix in the hippocampus, both entering the rostral-medial hypothalamus close to the ventricular surface, and then arching into the substance of the hypothalamus to terminate along the entire extent of the hypothalamus.

 

Figure 22. Overview of the major afferent pathways to the hypothalamus. (A) Schematic organization of medial forebrain bundle (MFB). Fibers afferent to the hypothalamus enter the lateral wall of the hypothalamus and are shown in different colors in relation to their anatomical source (amygdala, septal areas, olfactory areas, frontal neocortex). Reciprocal efferent connections from the hypothalamus to the same regions are shown by dotted black lines parallel to the colored lines. Pink fibers (and related reciprocal black dotted lines) indicate the amygdalofugal (and related amygdalopetal) components of the ansa peduncularis, entering the hypothalamus as a part of the medial forebrain bundle. The mammillary body and anterior column of the fornix are colored light blue and lie medial to the course of medial forebrain bundle. (B) Schematic organization of limbic afferents to the hypothalamus via the fornix (fx), stria terminalis (st), stria medullaris (sm), and olfactory tract. Axons enter the rostral portion of the hypothalamus before coursing throughout its entire extent. (C) Course of afferent fibers from the thalamus, subthalamus and zona incerta to the hypothalamus. Efferents from the hypothalamus coursing in the mammillo-subthalamic tract are also shown. On the right side of the image, a three-dimensional reconstruction shows the anatomical structures schematically depicted on the left side. aap = amygdalofugal and amygdalopetal components of the ansa peduncolaris; ac = anterior commissure; Ah = Ammon horn; al = ansa lenticularis; am = amygdala; ap = ansa peduncularis; ATn = anterior thalamic nucleus; cc = corpus callosum. CN = caudate nucleus; CS = corpus striatum; df = dentate fascia; fl = fasciculus lenticularis; fr = fasciculus retroflexus; ft = fasciculus thalamicus; fx = fornix; H1 = field H1 of Forel; H2 = field H2 of Forel; ha = habenula; hipp = hippocampus; HYP = hypothalamus; ic = internal capsule; iTp-ap = inferior thalamic peduncle of the ansa peduncularis; LTn = lateral thalamic nucleus; mb = mammillary body; MFB = medial forebrain bundle; mst = mammillo-subthalamic tract; MTn = medial thalamic nucleus; mtt = mammillo-thalamic tract; olf-a = olfactory area; olf-n = olfactory nerve; olf =olfactory tubercle; opt = optic tract; pir = piriform cortex; pvs = periventricular system; RF = reticular formation of the brainstem; sa = septal areas; SN = substantia nigra; Sub = subthalamus; zi = zona incerta; III = third ventricle. (From Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective. J Endocrinol Invest 27 (supp to n.6), 73-94, 2004.)

Afferents from the brainstem reticular formation include the dorsal longitudinal fasciculus (fasciculus of Schutz), the periventricular fiber system and the medial forebrain bundle.  The dorsolongitudinal fasciculus receives primarily autonomic inputs from centers in the mesencephalic tegmentum (limbic midbrain area), reticular raphe nuclei in the pons and viscero-sensitive nuclei (e.g., the nucleus tractus solitarius) in the medulla oblongata.  The periventricular system carries fibers ascending from both the central grey (including the raphe nuclei) and medial nuclei of the reticular formation in the mesencephalon or dorsal nucleus of the mesencephalic tegmentum (limbic midbrain area). Collectively, these fibers enter the hypothalamus close to the ventricular wall.  The medial forebrain bundle also receives a well-defined fiber tract, the mammillary peduncle, originating from the medial nuclei of the mesencephalic reticular formation (limbic midbrain area).  It courses ventrally in the cerebral peduncle (within the ventral tegmental area of Tsai), and then laterally to the mammillary bodies.

 

Afferents from the thalamus originate in nuclei of the median and medial thalamus, and course in the periventricular system and inferior thalamic peduncle of the ansa pednucularis (an extension of the medial forebrain bundle).

 

Afferents from the subthalamus are believed to originate in the nucleus subthalamicus and zona incerta, and directly enter the hypothalamus along the lateral aspect of the hypothalamic wall (148).

 

Afferents from basal ganglia (corpus striatum) arise from the nucleus accumbens, located in the ventral portion of the caudate nucleus, and via the substantia innominata, directly and indirectly reach the lateral portions of the hypothalamus.

 

Afferents from the retina reach the hypothalamus via the retino-hypothalamic tract, and travel through the optic chiasm to terminate in the suprachiasmatic nucleus.  Finally, direct projections arise from the frontal cortex and course in the medial forebrain bundle to the most lateral part of the ventricular wall.

 

Efferent Connections

 

Outputs from the mammalian hypothalamus include fiber pathways to the anterior and posterior pituitary gland, limbic system, brainstem reticular formation, thalamus, subthalamus, basal ganglia, superior colliculi, substantia nigra, cerebellum, and neocortex (Fig. 23).  With exception of projections to the pituitary gland, discussed in detail below (see Hypothalamic Tuberoinfundibular System and Hypothalamic Neurohypophysial Tract) and those directed to locomotor centers such as the optic tectum, susbstantia nigra, and cerebellum, in general, efferent fibers from the hypothalamus reciprocate its afferent fibers in a sort of feedback loop.

 

Figure 23. Overview of the major efferent pathways from the hypothalamus. (A) Connections with the limbic cortex, brainstem, thalamus and septum. (B) Course of hypothalamic fibers in the dorsal longitudinal fasciculus (fasciculus longitudinalis dorsalis) or fasciculus of Schutz, reaching autonomic and somatic centers in the brainstem and spinal cord. A = anterior hypothalamic nucleus; ac = anterior commissure; cc = corpus callosum; CGRF = central grey - reticular formation; Dm = dorsomedial nucleus; dnmt = dorsal nucleus of the mesencephalic tegmentum; E-Wn = nucleus of Edinger-Wepstal; fb = medial forebrain bundle; ep = epithalamus; fld = fasciculus longitudinalis dorsalis (fasciculus of Schutz); fr = fasciculus retroflexus; ha = habenula; HYP = hypothalamus; htt = habenulo-tectal tract; ilm = intermediate-lateral column of the spinal cord; inf = infundibular or arcuate nucleus; mb = mammillary body; MES = mesencephalon; mfb = medial forebrain bundle; MO = medulla oblongata; mteg = mammillo-tegmental tract; mp = mammillary peduncle; mtt = mammillo-thalamic tract; nts = nucleus tractus solitarius; optec = optic tectum; Po = preoptic area; PP = posterior nuclues; Pv = paraventricular nucleus; pvs = periventricular systems; sm = stria medullaris; so = supraoptic nucleus; RF = reticular formation; rn = red nucleus; tec-spt = tectospinal tract; TS = thoracic spine; Vm = ventromedial nucleus. (From Toni R, Malaguti A, Benfenati F, Martini L: The human hypothalamus: a morphofunctional perspective. J Endocrinol Invest 27 (supp to n.6), 73-94, 2004.)

Efferents to the limbic system include 2 major fiber groups.  The first course in the medial forebrain bundle (lateral hypothalamus) and carries projections that ascend to the septal areas and descend to the amygdalo-piriform cortex complex.  These latter fibers form the ventral amygdalopetal component of the ansa pedunclaris.  The second, the stria terminalis system with its bed nucleus, is positioned medially, very close to the inner surface of the third ventricle, and projects to the amygdala.

 

Efferents to the brainstem reticular formation include 2 main fiber groups.  The first is a dorsal and medial group formed by the dorsal longitudinal fasciculus and periventricular system.  These axons descend to the brainstem to innervate visceral motor, sensory and somatic nuclei (oculomotor, trigeminal, facial, glossopharyngeal, vagus and accessory spinal nerves), and to autonomic sympathetic and parasympathetic preganglionic neurons in the spinal cord.  The second courses in the medial forebrain bundle and gives off fibers that project to the medial nuclei of the mesencephalic reticular formation (limbic midbrain area) through the mammillary-tegmental tract and the mammillary peduncle.

 

Efferents to the thalamus include 3 main systems.  The first is the mammillo-thalamic tract that links the posterior hypothalamus to the cingulate gyrus of the limbic cortex (a component of the “Papez circuit”).  The second is the periventricular fiber system that projects to the medial (dorsomedian nucleus) and median (midline, intralaminar and reticular nuclei) thalamus and epithalamic habenula through the stria medullaris.  The third is part of the medial forebrain bundle that course in the inferior thalamic peduncle of the ansa peduncularis to reach the medial thalamic nuclei.

 

Efferents to the subthalamic and basal ganglia region course in the lateral aspect of the ventricular wall in the mammillo-thalamic tract (mammillo-subthalamic tract) terminating in the field H1 of Forel, and in the substantia innominata (148,149).  Efferents to superior colliculi, substantia nigra and cerebellum travel in either the stria terminalis and periventricular fiber system, or in the medial forebrain bundle as a part of the mammillary peduncle.  Finally, efferents to the neocortex are carried laterally within the medial forebrain bundle. 

 

Hypothalamic Tuberoinfundibular System

 

The hypothalamic tuberoinfundibular system comprises all neurons in the brain that send axonal projections to the external zone of the median eminence.  Although the arcuate nucleus and inferior portion of the periventricular nucleus were thought primarily responsible for this pathway on the basis of silver stains (150), the relative paucity of myelin in these neurons and high density of perikarya in the medial and periventricular zones of the hypothalamus made it impossible to elucidate the full extent of the tuberoinfundibular system using this technique.  In addition, the inability of pharmacologic ablation of the arcuate nucleus to significantly reduce the concentration of TRH and GnRH in the median eminence (151), made it likely that the origin of neurons contributing to the tuberoinfundibular system is considerably broader than just the medial basal hypothalamus.  Using retrogradely transported marker substances that are taken up in axon terminals in the external zone of the median eminence and transported back to the cell body of origin, a detailed analysis of the tuberoinfundibular system has been possible (152-155).

 

Retrogradely labeled cells of the tuberoinfundibular system concentrate in four major hypothalamic regions: the arcuate nucleus, periventricular nucleus, paraventricular nucleus, and medial preoptic-septal region (Fig. 24).  Within the arcuate nucleus the labeled cells accumulate in two distinct clusters (Fig. 24 G-I), a dorsomedial group of small to medium size neurons in the distribution of the dopamine-containing A12 group of Dahlstrom & Fuxe (156), and a basolateral group of medium sized cells that contain dopamine, GHRH, galanin, galanin-like peptide and neurotensin (156-161).  Occasional enkephalin-producing neurons in the arcuate nucleus are retrogradely labeled from the median eminence (162), but the majority of these cells, as well as ACTH-producing neurons (personal observations), do not contain the retrogradely transported marker substance.  These observations emphasize that only a small subset of chemically coded neurons in the arcuate nucleus project to the median eminence.

 

Figure 24. Coronal sections (rostral to caudal) of rat hypothalamus showing the regional distribution of neurons that accumulate a retrogradely transported marker substance injected into the external zone of the median eminence. Cells of origin of both the tuberoinfundibular pathway and hypothalamic neurohypophysial tract are identified due to diffusion of the tracer into the internal zone of the median eminence. (A-F) Level of the paraventricular nucleus (PVN); (G-I) level of the arcuate nucleus (ARC). III = third ventricle, AH = anterior hypothalamus, M = magnocellular division of the PVN, ME = median eminence, ap = anterior parvocellular subdivision, dp = dorsal parvocellular subdivision, mp = medial parvocellular subdivision, pp = periventricular parvocellular subdivision, vp = ventral parvocellular subdivision of the PVN.

 

In the periventricular nucleus (Fig. 24 A-F), a thin layer of retrogradely marked neurons in the subependymal neuropil contain somatostatin and dopamine (158,163).  These retrogradely labeled cells can be identified even in the most rostral portions of the periventricular nucleus, but the majority concentrate between the middle of the optic chiasm and anterior portion of the median eminence (Fig. 24 B).  Often cells interdigitate between the ependymal wall and even extend into the third ventricular space suggesting possible secretion into the CSF.  Axonal projections from these cells to the median eminence is through a circuitous pathway that extends laterally into the lateral hypothalamus toward the ventral surface of the hypothalamus (retrochiasmatic area) and then medially to enter the median eminence, although some fibers also descend directly in the periventricular neuropil.

 

The most remarkable finding of studies using retrogradely transported marker substances from the median eminence is the massive accumulation of the marker substance in neurons of the paraventricular nucleus (Fig. 24 A-F).  This winged-shaped nucleus at the dorsal margin of the third ventricle can be divided into two major portions based on the size of the neuronal perikarya, including a magnocellular division of large neurons and a parvocellular division of small to medium sized neurons (164).  The parvocellular portion is located in the most medial portion of the nucleus adjacent to the ependymal wall of the third ventricle and can be broken down into several, smaller subdivisions shown in detail in Fig. 25.  Retrogradely labeled cells of the tuberoinfundibular system are located primarily in the anterior, medial and periventricular subdivisions of the paraventricular nucleus with relatively few or no neurons in the dorsal, ventral and lateral parvocellular subdivisions.  Many of these retrogradely labeled cells contain TRH, corticotropin-releasing hormone (CRH), enkephalin, somatostatin, and VIP (162,163,165-169).  Not all neurons in the anterior, medial and periventricular parvocellular subdivisions project to the median eminence, however.  This is particularly apparent for TRH neurons in the anterior parvocellular subdivision that cannot be retrogradely labeled by marker substances introduced into the median eminence (170).  These neurons are also immunocytochemically distinct from hypophysiotropic TRH neurons in the medial and periventricular parvocellular subdivisions in that they do not co-express the peptide, cocaine and amphetamine-regulated transcript (CART) (171).  The true, physiologic function of TRH neurons in the anterior parvocellular subdivision is not known.

 

Figure 25. Schematic of the hypothalamic PVN showing major subdivisions. (A) Anterior, (B) Mid, and (C) Caudal levels. AP = anterior parvocellular subdivision, DP = dorsal parvocellular subdivision, LT = lateral parvocellular subdivision, MN = magnocellular division, MP = medial parvocellular subdivision, P = periventricular parvocellular subdivision, VP = ventral parvocellular subdivision.

Tuberoinfundibular neurons in the paraventricular nucleus project to the median eminence either by arching laterally and inferiorly through the lateral hypothalamus through the retrochiasmatic area before turning medially to terminate or by descending along the wall of the third ventricle to directly enter the median eminence.  As the ependymal wall underlies both the paraventricular and periventricular nuclei and is likely permeable to the diffusion of CSF (68), these cells of the hypothalamic tuberoinfundibular system could be influenced by substances carried in the CSF or secrete directly into the CSF as an alternative way to reach the median eminence.

 

Finally, small, bipolar and multipolar, retrogradely labeled cells that can be immunostained with GnRH (169,172), are found in the rostral hypothalamus in the ventral wings of the diagonal band of Broca, lamina terminalis, medial septum, and medial preoptic nucleus, while few cells extend more caudally in the basolateral hypothalamus.  In primates, however, retrogradely labeled GnRH cells are located more caudally in the basal hypothalamus (173).  Axonal projections to the external zone of the median eminence occur either by joining the medial forebrain bundle in the lateral hypothalamus or along the wall of the third ventricle.  The tendency for GnRH neurons of the tuberoinfundibular pathway to be more deeply embedded into the substance of the hypothalamus than is typical for the periventricular distribution of the majority of the hypothalamic tuberoinfundibular system relates to the embryologic origin of GnRH neurons from the nasal epithelium (174), as opposed to primordial cells in the walls of the third ventricle.

 

Although the bulk of tuberoinfundibular neurons arise from periventricular and medial portions of the hypothalamus, some brain stem neurons also have direct projections to the median eminence, explaining the presence of catecholamines in addition to dopamine in this structure.  Retrogradely neurons can be identified in C1-C2 adrenergic neurons and A2 noradrenergic neurons (175), but since the tracer was injected into the bloodstream in this study, uptake could have occurred from other circumventricular organs in addition to the median eminence.  Lesions of the brainstem, however, do result in degeneration of axon terminals in the median eminence (176).

 

Hypothalamic Neurohypophysial Tract

 

The hypothalamic neurohypophysial tract defines the neuronal system terminating in the posterior pituitary and is best known for its secretion of vasopressin and oxytocin into the peripheral circulation to regulate water balance (antidiuresis), milk ejection and uterine contraction (177).  Neurons of this tract arise primarily from the magnocellular division of the paraventricular nucleus and the supraoptic nucleus (178), the latter situated as a cluster of cells dorsal and lateral to the optic chiasm (Fig. 26).  The axon trajectory from magnocellular neurons to the posterior pituitary is by way of arching fibers extending laterally and inferiorly from the paraventricular nucleus above and below the fornix toward the supraoptic nucleus, where it gathers fibers from the supraoptic nucleus and continues medially along the base of the hypothalamus into the internal zone of the median eminence.  Vasopressin-containing axon terminals have also been demonstrated in the external zone of the median eminence, particularly following adrenalectomy (179), but largely arise from a separate population of parvocellular neurons in the paraventricular nucleus that contain CRH (180).  Vasopressin is a weak corticotropic factor but potentiates the secretion of ACTH in the presence of CRH (181) and is responsible for the ACTH rise following hypoglycemia (182).

Figure 26. Organization of the hypothalamic neurohypophysial tract (arrows). Note arching fibers emanating from magnocellular neurons in the paraventricular nucleus (PVN) as they descend toward and join fibers emanating from the supraoptic nucleus (SON). The fiber tract converges in the midline at the base of the hypothalamus in the retrochiasmatic area (arrowheads) before entering the internal zone of the median eminence. III = third ventricle, F = fornix, OC = optic chiasm.

Magnocellular neurons of the paraventricular and supraoptic nucleus possess large perikarya and prominent dendrites that interdigitate with adjacent perikarya and dendrites, respectively, of other magnocellular neurons.  These dendrites contain numerous hormone-laden neurosecretory granules that can be released by exocytosis (183) and may be important to coordinate the secretion of vasopressin or oxytocin from individual neurons in unison through somato-somatic and/or dendro-dendritic interactions, or alter the sensitivity of these neurons in response to a biologic stimulus such as suckling.  Regulation of magnocellular neurons may also depend upon dynamic glial-neuronal interactions in response to specific stimuli, reducing or enlarging the cell to cell contact area between magnocellular neurons by retraction or extension of astrocytic processes that separate perikarya and dendrites (184), or to permit the formation of new synaptic contacts on magnocellular neurons (synaptic plasticity) (185).

 

In addition to vasopressin and oxytocin, magnocellular neurons of the hypothalamic neurohypophysial tract also produce and transport numerous other peptides to the posterior pituitary.  Coexisting in vasopressin axon terminals are dynorphin, enkephalin, galanin, cholecystokinin, dopamine, TRH, VIP, neuropeptide Y, substance P, CRH, endothelin, pituitary adenylate pituitary cyclase-activating polypeptide (PACAP), secretin and glutamate, and in oxytocin terminals, dynorphin and proenkephalin A-derived µ-opioid peptides (186-190).  A number of different neuropeptides are also carried into the posterior pituitary by axons from parvocellular neurons including GnRH, TRH, somatostatin, enkephalin, neurotensin CRH and dopamine (191).  Furthermore, there is evidence that messenger RNA for vasopressin, oxytocin (192) and tyrosine hydroxylase (193) can be transported in axons of the hypothalamic neurohypophysial tract, particularly during osmotic stress.

 

The functional significance of numerous biologically active substances in axons from both magnocellular and parvocellular neurons, other than vasopressin and oxytocin, is of great interest.  Since their concentration in the posterior pituitary is low, release into the peripheral circulation for action at a distant locus seems remote.  Endothelin-1 may be an exception, however, where co-release with vasopressin into the periphery may assist the effect of vasopressin on water conservation by decreasing glomerular filtration rate (157).  Other substances are likely involved in the regulation of vasopressin and oxytocin secretion by a paracrine or autocrine mechanism or by acting presynaptically on nerve endings in the posterior pituitary.  Dopamine, for example, may be important in stimulating vasopressin release during an osmotic challenge (194).  Neuropeptide Y has also been shown to enhance the secretion of vasopressin (195) and NPY Y2 receptors are present on nerve endings in the posterior pituitary in high density (196).  Some neuropeptides in the posterior pituitary may act as trophic hormones (98), important to promote regeneration of its axon terminals following injury or to increase the proliferation of endothelial cells to promote changes in its vascularization (197).

 

There is considerable evidence, however, that some of the peptides in the posterior pituitary are destined for transport to the anterior pituitary via the short portal vessels, thereby utilizing the posterior pituitary as an accessory median eminence.  The most convincing data that the posterior pituitary can influence anterior pituitary function comes from animal studies in which the posterior pituitary is surgically removed.  Consequently, the blood flow to the anterior pituitary from the median eminence through the long portal veins is preserved, but the blood flow from the posterior pituitary through the short portal veins is disrupted.  These animals have a number of abnormal neuroendocrine responses including a diminished ACTH response to stress (198), elevation in basal prolactin levels (193), and the loss of either suckling or estrogen induced prolactin release (199,200).  These responses indicate the requirement of magnocellular derived-vasopressin or some other posterior pituitary secretagogue (CRH, oxytocin, dopamine, TRH, other prolactin releasing factor) to achieve normal physiologic responses.

 

Radiologic Anatomy

 

Magnetic resonance imaging (MRI) gives remarkable detail of the hypothalamus (Fig. 27) and thereby, has become the major radiologic tool to assess pathology in this region of the brain (201).  While individual hypothalamic nuclear groups cannot be identified with this technique, some of the major fiber tracts that traverse the hypothalamus can be seen as high intensity signals, particularly in T-2 weighted images (202).  These tracts include the fornix and the mammillothalamic tract, shown in Fig. 27B.  Thus, using these fiber pathways as anatomical landmarks, it is possible to radiologically divide the hypothalamus into the two major subdivisions, the medial and lateral hypothalamic areas. In addition, in the most rostral portions of the hypothalamus, the anterior commissure is readily seen by MRI (Fig. 27A), and increased signal in the lateral hypothalamus is most likely due to the presence of the medial forebrain bundle (Fig. 27B-D).

 

Figure 27. MRI of coronal sections through the hypothalamus. (A) Anterior hypothalamus corresponding to Fig. 16A showing location of the anterior commissure (arrows). (B) Mid hypothalamus corresponding to Fig. 16B showing location of the fornix (arrow). (C) Mid hypothalamus corresponding to Fig. 16C showing the optic tract. The fornix can sometimes also be visualized at this level. (D) Caudal hypothalamus corresponding to Fig. 16D at the level of the medial mammillary bodies (arrow). Sometimes the mammillothalamic tract can be visualized at this level.

 

Blood Supply

 

All arteries carrying blood to the hypothalamus are terminal branches of the circle of Willis, including the internal carotid, anterior cerebral, anterior communicating, posterior communicating, posterior cerebral and basilar arteries (Fig. 13).  Curiously this arterial circle, named for Thomas Willis’s work published in Cerebri Anatome in 1664 (Fig. 28), had already been described between the end of the 16th century and beginning of the 17th century by the Italian anatomists, Fallopius and Casserio (203).  These anatomists noted the existence of small arterial branches entering the floor of the third ventricle and surrounding the tuber cinereum in a position that is now well described as the anastomotic circuminfundibular plexus and prechiasmal anastomotic arteriolar-capillary plexus.  These two anastomotic plexuses are highly developed in species such as Carnivora, Cetacea, Edentata and Ungulata (204) and likely represent the capillary system that Galen described as the rete mirabilis, given that he worked on animal species and not human brains and the anatomical differences between what he described and what is now recognized as the primary portal plexus (see below).

 

Figure 28. Original depiction of the arterial circle (or “polygon”) surrounding the hypothalamic infundibulum at the base of the brain, as shown in the Cerebri Anatome (1664) by Thomas Willis and drawn by the British architect, Cristopher Wren. Note the presence of branches to the mammillary bodies but absence of vessels to the infundibulum. (Courtesy of the Library of the Department of Human Anatomy of the University of Parma, Italy.)

The vascular supply to the hypothalamus has been extensively studied in man using three-dimensional casts of the hypothalamic vessels (205).  These studies demonstrate that the arterial supply is compartmentalized with respect to three rostro-caudal regions of the hypothalamus, and thus, can be separated into anterior, intermediate and posterior arterial groups (Table 8).  However, only the anterior hypothalamic region is vascularized by a single arterial group (the anterior arterial group), whereas the remainder of the hypothalamus receives blood from both the intermediate and posterior arterial groups.  The preoptic and anterior hypothalamus are primarily supplied by the anterior cerebral and anterior communicating arteries, the tuberal region by the posterior communicating artery, and the mammillary region by the posterior communicating, posterior cerebral, and basilar arteries.  This organization is consistent with the clinical observations that occlusion of the anterior choroidal artery, which has anastomotic branches with the posterior communicating artery, results in damage to the tuberal and mammillary regions of the hypothalamus, whereas occlusion of the thalamoperforate artery, a branch of the posterior cerebral artery, results in damage to the mammillothalamic tract and related thalamic nuclei (205).

 

Table 8.  Arterial Groups that Supply Hypothalamic Nuclei

ANTERIOR GROUP

internal carotid, anterior cerebral and posterior communicating arteries

INTERMEDIATE GROUP

posterior communicating artery

POSTERIOR GROUP

posterior communicating, posterior cerebral and basilar arteries

AHA

ARC

LHA

MPA

DMN

LMN

PV

LHA

MMN

PVN

LMN

PN

SCN

LTN

PV

SON

MMN

SMN

 

PN

 

 

PV

 

 

SMN

 

 

VMN

 

AHA = anterior hypothalamic area, ARC = arcuate nucleus, DMN = dorsomedial nucleus, LHA = lateral hypothalamic area, LMN = lateral mammillary nucleus, LTN = lateral tuberal nucleus, MMN = medial mammillary nucleus, MPA = medial preoptic area, PN = posterior hypothalamic nucleus, PV = periventricular nucleus, PVN = paraventricular nucleus, SCN = suprachiasmatic nucleus, SMN = superamammillary nucleus, SON = supraoptic nucleus, VMN = ventromedial nucleus

 

As previously described, the blood supply to the median eminence is complex.  In all mammals, including humans, fine branches of the superior hypophysial artery give rise to a capillary plexus, the primary portal plexus of the infundibulum, which is composed of capillary loops in the external zone of the median eminence (external plexus) and that penetrate as pillars vertically toward the ventricular floor to establish the internal plexus.  At this level, a subependymal capillary network can also be recognized in association with the basal membrane of the ependymal cells.  Blood flows from the external to the internal and then back to the external plexus to end in the long portal vessels that reach the anterior pituitary, or from the subependymal network into hypothalamic capillaries of the anterior or intermediate arterial groups (206).  In some species, bidirectional transport of substances has been described in the portal capillary system, allowing the transport of anterior pituitary substances to the external plexus (207), thus supporting the original hypothesis of Popa and Fielding that in the human brain, blood flow in the portal capillary system can be from the pituitary to the hypothalamus (208).  The external plexus is tangential to the ventral surface of the infundibulum and is composed of vessels organized in geometrical arrays (hexagonal in rodents, much more complex in humans), whose central spaces are filled with neuroendocrine axons constituting functional units, called microvascular domains (206) or medianosomes (209).  Neurohemal contacts are established by these axons and by tanycyte processes at the level of both plexuses, whereas neurohypophysial fibers course between the two vascular plexuses without contacting them, en route to the posterior lobe of the pituitary.  This “double-plexus” system provides amplification of the surface area in contact with tuberoinfundibular axons in a given microvascular domain.

 

Venous drainage from the rest of the hypothalamus is collected into the anterior cerebral, basal, and the internal cerebral veins, ultimately reaching the great vein of Galen.  In general, the anterior cerebral and basal veins drain the majority of the hypothalamus, whereas the internal cerebral vein collects blood from the dorsal portions of the hypothalamus (Table 9).

 

Table 9.  Venous Drainage from Hypothalamic Nuclei

Anterior Cerebral and Basal Veins

Internal Cerebral Vein

AHA

DMN

ARC

LHA

LHA

LMN

LMN

MMN

LTN

PV

MMN

PVN

MPA

SMN

PN

 

PVN

 

SCN

 

SMN

 

SON

 

VMN

 

AHA = anterior hypothalamic area, ARC = arcuate nucleus, DMN = dorsomedial nucleus, LHA = lateral hypothalamic area, LMN = lateral mammillary nucleus, LTN = lateral tuberal nucleus, MMN = medial mammillary nucleus, MPA = medial preoptic area, PN = posterior hypothalamic nucleus, PV = periventricular nucleus, PVN = paraventricular nucleus, SCN = suprachiasmatic nucleus, SMN = superamammillary nucleus, SON = supraoptic nucleus, VMN = ventromedial nucleus

 

Glymphatic System and Dural Sinus-associated Lymphatics

 

Recent studies in rodents have revealed that fluorescent tracers injected into the arachnoid cisternae can travel along a perivascular network of channels coursing throughout the brain, the hypothalamus included, and contain cerebrospinal fluid (CFS), water, food metabolites (primarily lipids) and proteins arising from tissue degradation/inflammation (e.g., β-amyloid), coined the glymphatic system (210).  Although these findings replicate similar observations made more than 30 years ago using, horseradish peroxidase in dogs and cats (211), it is only recently that it became clear that these channels do originate as a continuation of the subarachnoid cisternae around the arteries dividing inside the brain parenchyma otherwise known as Virchow-Robin spaces.  Virchow-Robin spaces are externally lined by the glia limitans that gives rise to a pavement underneath the basal lamina of the perivascular leptomeningeal cells facing the brain parenchyma, whereas a symmetrical leptomeningeal lining embraces the basal lamina of the smooth muscle, arterial cells.  Once the arteries enter the depth of the brain matter to become penetrating arterioles and capillaries, they lose both their muscular sheath and perivascular leptomeninges, but a narrow interstitum persists between the basal lamina of the vascular endothelial cells and that of the original subarachnoid cells.  The latter basal lamina is ensheated by the endfeet of aquaporin4 (AQP4)-expressing astrocytes that form the external boundaries of the glymphatic interstitium, where they regulate the passage of water and intercellular solutes from the interneuronal spaces into the perivascular CSF, and vice versa.  The absence of endothelial tight junctions in circumventricular organs (63) such as the median emince, amplifies the opportunity for reciprocal exchange with blood-born substances.  The liquid bulk is passed into a connected perivenular and perivenous space (212) that then drains into the extracranial perivenous lymphatics (213) (Fig. 29).

Figure 29. Composite of different drawings schematizing the 3D organization of the brain glymphatic system with particular reference to the hypothalamic-pituitary unit. A) Distribution by magnetic resonance imaging of paramagnetic contrast (yellow arrows) in paravascular channels of the rat hypothalamus (HYP), pituitary (Pit), and pineal (Pin) recesses following injection into the cisterna magna (adapted from ref. 30). A contingent of glymphatic flow connects the medial-basal hypothalamus to the limbic structures and olfactory area (OA) and lobe (OL), ensuring a wide interplay by local soluble materials (volume transmission); B) Structure of the glymphatic channels (adapted from ref. 212): pial arteries (Ar) coursing in the subarachnoid space are surrounded by CSF that flows in the perivascular space, termed the Virchow–Robin space. The arteriolar tunica media is isolated from the CSF by a lining of leptomeningeal cells; however, the CSF-containing Virchow–Robin spaces progressively narrow and finally disappear at the level of capillaries (red rectangle). The CSF continues its flow into perivascular spaces provided only by the extracellular matrix of the basal lamina. Astrocytic vascular endfeet expressing aquaporin-4 (AQP4) surround the entire vasculature and form the boundary of the perivascular spaces. These astrocytes may transfer information carried by solutes in the glymphatic system to surrounding glial cells and neurons, and vice versa; C) the glymphatic spaces are in continuity with venules and veins (adapted from ref. 210), allowing for glymphatic drainage either into sinus-associated dural lymphatics and venous brain sinuses or exiting the brain into perivenular lymphatics and lymph nodes.

Remarkably, the fluid dynamics in the hypothalamic glymphatic channels is affected by alterations in carbohydrate metabolism, such as diabetes mellitus, as a result of enlargement of the paravascular spaces by structural arteriolar and/or venular damage (214).  This suggests a potential role for the hypothalamic glymphatic network in regulating the intrahypothalamic exposure of glucose, free fatty acids, and proteins to relevant hypothalamic nuclei involved in the regulation of appetite and satiety (See section on Appetite and Satiety). Similar, transthyretin-coupled thyroid hormones reaching the CSF from the choroid plexus (215) might enter the hypothalamic glymphatic system and act as an amplifier of a thyroid-dependent, volume transmission in the hypothalamus (216), influencing a large array of hypothalamic homeostatic neurons (see section on Functional Anatomy of Hypothalamic Homeostatic Systems).

 

The glymphatic channels are in position to merge with dural lymphatics.  The latter were originally described in the dura mater and pia mater in human cadavers in 1787 by the Italian anatomist, Paolo Mascagni (217), and recently rediscovered in rodent models (218,219) as an unexpected anatomical novelty (220), challenging the concept of brain parenchyma as a site of “immune privilege”.  Endothelial cells of these conduits express markers of the lymphatic vessels including LYVE1, PROX1 and VEGFR3, and course parallel to both the main dural sinuses (sagittal and transverse) and dural middle meningeal arteries, the latter laying adjacent to the dural boundaries of the cavernous sinus where dural lymphatics might establish a direct cavernous connection (30). Therefore, it has been suggested that the perivascular pathways of the glymphatic system and meningeal lymphatic vessels should be considered as serial elements of an interconnected circuitry for immune surveillance of the brain by the immune system, presumably allowing brain antigens access to lymph nodes outside the brain parenchyma (221).  Such a circulatory pathway may contribute to the pathogenesis of inflammatory and autoimmune conditions of the hypothalamic-pituitary unit (222,223) including lymphocytic hypophysitis and diabetes insipidus (Fig. 29).

 

FUNCTIONAL ANATOMY OF HYPOTHALAMIC HOMEOSTATIS SYSTEMS

 

Regulation of Hypophysiotropic Neurons

 

The secretion of hypothalamic releasing and inhibitory hormones from axon terminals of tuberoinfundibular neurons into the portal capillary system is dependent upon several layers of control that can be exerted directly on the perikarya and/or processes of these neurons.  For one, neurons of the tuberoinfundibular system can be modulated by substances circulating in the bloodstream that either pass the blood-brain barrier because they are fat soluble steroids or small molecules, or access tuberoinfundibular neurons via the cerebrospinal fluid due to the periventricular location of many tuberoinfundibular neurons and poor development of tight junctions between ependymal cells in these regions (63).  Feedback effects of thyroid hormone, for example, occur directly on TRH-producing neurons within the paraventricular nucleus as demonstrated by the ability of a microcrystalline implant of T3 adjacent to the paraventricular nucleus to prevent the hypothyroid-induced increase in TRH biosynthesis on that side but not the opposite side (224,225).  In addition, tuberoinfundibular neurons receive numerous axosomatic and/or axodendritic contacts from local interneurons and/or other regions in the brain that contain a variety of chemical messengers that contribute to intercommunication between specific neuronal groups or are important in establishing the set point at which the hypophysiotropic substances are secreted in response to hormonal feedback signals.  To demonstrate how the CNS can exert regulatory control over hypophysiotropic neurons, examples of modulation of GH secretion and regulation of the hypothalamic-pituitary-adrenal (HPA), hypothalamic-pituitary-thyroid (HPT), and reproductive axes are given below.

 

MODULATION OF GHRH/SRIF TUBEROINFUNDIBULAR NEURONS

 

A well-studied example of local afferent influences on the activity of tuberoinfundibular neurons is demonstrated by the hypothalamic regulatory system involved in the control of GH secretion.  The pattern of GH secretion is episodic, showing a regular periodicity of one pulse every 2 to 4 hours and low or undetectable trough values (226).  This rhythm is the result of the control by two separate components of the tuberoinfundibular system, including GHRH-producing neurons (stimulatory) in the basolateral portion of the arcuate nucleus and somatostatin-producing neurons (inhibitory) in the periventricular nucleus, each secreting into the portal capillary plexus.  To coordinate this rhythmic secretion, reciprocal axonal connections between these two populations of neurons may be necessary (Fig. 30).  In this manner, somatostatin neurons receive direct, stimulatory inputs from GHRH neurons while GHRH neurons receive direct, inhibitory inputs from somatostatin-containing neurons, Treatment of hypothalamic cultures with somatostatin inhibits GHRH, whereas treatment with GHRH induces somatostatin release (227).  In addition, both GH and IGF-1 cross the blood-brain barrier with GH increasing somatostatin secretion into the portal capillary system, whereas IGF-1 both increases somatostatin and inhibits GHRH, contributing to a finely tuned regulatory system (228,229).  GH secretion can also be modulated by a number of other factors including glucose and free fatty acids circulating in the bloodstream, but also neurotransmitters and peptides intrinsic to the central nervous system, the latter acting primarily on somatostatin and/or GHRH producing tuberoinfundibular neurons.  For example, GH receptors are expressed by the majority of NPY neurons in the hypothalamic arcuate nucleus that show c-Fos expression in response to GH administration and are known to innervate periventricular somatostatin neurons and increase somatostatin secretion (230).  The rise of GH during sleep is probably mediated by cholinergic pathways suppressing somatostatin secretion (231).  Stress and sepsis can also be associated with a rise in GH levels mediated by catecholamines by increasing GHRH (232).  The precise origin of the neurons giving rise to these neuromodulators, however, is not known.  Glutamate may also be of importance by increasing the secretion of GHRH as N-methyl-D-aspartate increases GH secretion (233), and this can be attenuated by GHRH antibodies (234).  In addition, the majority of GHRH neurons in the arcuate nucleus are contacted by axons expressing the glutamate transporter 2 (VGLUT2) (235), a selective marker for glutamatergic elements.  PACAP also increases GH secretion, but PACAP knock-outs do not have disturbance in GH release (236,237).  Multiple other peptides have also been shown to have either a stimulatory or inhibitory effect on GH secretion but their physiological significance is unknown (238).

Figure 30. Schematic representation of the interactions between somatostatin (SRIH)-producing neurons in the hypothalamic periventricular nucleus (Pev) and growth hormone releasing hormone (GHRH)-producing neurons in the arcuate nucleus. Note that in addition to projections to the external zone of the median eminence, these neurons may also have reciprocal connections. Ghrelin (GHR) may also influence GH secretion by acting directly on somatotrophs or through stimulatory effects on GHRH neurons. AP = anterior pituitary, GH = growth hormone, IGF = insulin-like growth factor, ME = median eminence, PP = posterior pituitary. R-SRIH and R-GHRH correspond to receptors for the respective peptides. (Adapted from Epelbaum J: Intrahypothalamic neurohormonal interactions in the control of growth hormone secretion. Functional Anatomy of the Neuroendocrine Hypothalamus, Wiley, Chichester, 1992; pp 54-68.)

A relatively new and potentially exciting chapter in the understanding of the physiology of GH secretion has been the discovery of ghrelin, the most potent (on a molar basis) GH secretagogue known to man (239).  Ghrelin circulates in the bloodstream, secreted primarily from the stomach, but is also produced by neurons in the hypothalamic arcuate nucleus (240).  When administered as a single intravenous dose, it induces an acute release of GH, and when administered continuously, it increases 24h pulsatile secretion of GH (241).  Although the anterior pituitary somatotrophs contain receptors for ghrelin, and ghrelin can directly induce GH secretion, it is more likely that ghrelin exerts its main effects in the hypothalamus by triggering GHRH secretion (242), as pulsatile patterns of plasma or CSF ghrelin do not correlate well to circulating GH concentrations (243).   Ghrelin levels fall in response to rising levels of GH, providing evidence for a gastro-hypophysial feedback loop (244).  Other external and metabolic signals also can modulate GH secretion such as the decrease in blood glucose following a carbohydrate-rich meal, hypoglycemia, and a high intake of protein that are believed to function through a common mechanism of somatostatin withdrawal and disinhibition of GH secretion (245).

 

MODULATION OF CRH TUBEROINFUNDIBULAR NEURONS

 

Analogous to the hypothalamic-pituitary-thyroid axis alluded to above and discussed in greater detail in the following section, the hypothalamic-pituitary-adrenal axis is similarly modulated by direct feedback effects on hypophysiotropic CRH neurons by a circulating hormone, in this case glucocorticoids. Removal of the adrenals results in marked upregulation of CRH mRNA selectively in the PVN.  Glucocorticoids can also exert additional, rapid signaling on hypophysiotropic CRH neurons via endocannabinoid-mediated suppression of synaptic excitation, in which 2-arachidonooyl-glycerol [2-AG] and N-arachidonoylethanolamine [AEA] from CRH neurons inhibit the release of glutamate from neurons synapsing on hypophysiotropic CRH neurons (246).

 

Afferent input to tuberoinfundibular neurons from distant loci in the brain, howere, is another important regulatory mechanism over hypophysiotropic function and is one way that tuberoinfundibular neurons are integrated with other functions of the brain.  The parvocellular subdivision of the paraventricular nucleus receives direct, dense, afferent input from autonomic centers in the lower brain stem including the nucleus of the tractus solitarius (NTS), dorsal motor nucleus of the vagus (DMNv) and several catecholamine groups in the dorsal and ventral lateral medulla, carrying visceral sensory information primarily from the abdomen and thorax through the vagus and glossopharyngeal nerves (247).  At least part of this projection is noradrenergic but other substances such as neuropeptide Y (248), activin (249), and GLP-1 (250) are also carried in these fibers, some coexisting in catecholaminergic neurons.  After traversing through the medial forebrain bundle in the lateral hypothalamus, axons containing catecholamines have been observed to make numerous synaptic contacts with CRH-producing neurons in the paraventricular nucleus (251,252) and to induce the secretion of CRH primarily via α1 adrenergic receptors (253).  In this manner, sensory information from the periphery (e.g., heart rate, blood pressure as during hemorrhagic shock) has the potential to alter the set point for the secretion of hypophysiotropic CRH using norepinephrine as the central mediator, and thereby increase circulating levels of glucocorticoids.

 

In a similar fashion, increased secretion of glucocorticoids in response to infection or inflammation is due to the activation of catecholaminergic neurons of the NTS (A2 noradrenergic, C2 adrenergic) and rostral ventrolateral medulla but initiated by endotoxin and proinflammatory cytokines such as interleukin-1 (IL-1) (254).  Under these circumstances, the set point for feedback inhibition of hypophysiotropic CRH secretion is altered to allow the powerful immunosuppressant action of glucocorticoids to limit the severity of the inflammatory response (255).  If the ascending catecholamine pathway to the PVN is transected, the ability of IL-1 to increase CRH mRNA in PVN neurons is reduced (256).  It is proposed that IL-1 exerts its effect on endothelial cells and/or perivascular microglia at the blood-brain interface, resulting in activation of cyclooxygenase-2 (the rate limiting enzyme for the formation of prostaglandins), the release of prostaglandin E2 (PGE2) into the surrounding tissue, and ultimately activation of catecholaminergic neurons through prostaglandin receptors (257).   This hypothesis is supported by the demonstration that focal injection of PGE2 into the medulla reproduces the activating effects of IL-1 on CRH neurons in the PVN (258).  Alternatively, cytokines may exert their effects on vascular cells at the blood-brain-barrier directly within the PVN, itself, or after penetrating the blood-brain barrier at circumventricular organs such as the OVLT, and then transmitting the information through neural pathways that interconnect these structures with the PVN (257, see Thermoregulation below).

 

Neurogenic stress also leads to resetting of the HPA axis and similarly characterized by elevated circulating glucocorticoid levels and increased CRH gene expression in hypophysiotropic neurons (254).  However, the mechanism would appear to be vastly different than that described above as indicated by persistent HPA activation under these conditions despite disruption of the ascending catecholaminergic pathways to the PVN (259).  CRH neurons receive inputs from other portions of the brain such as the forebrain limbic system, and surgical ablation of hippocampal efferents to the hypothalamus (260) or lesions in the bed nucleus of the stria terminalis (261) increase the concentration of CRH mRNA in the paraventricular nucleus.  In addition, activation of NPY neurons originating in the hypothalamic arcuate nucleus may contribute to increased CRH cellular activity induced by insulin hypoglycemia (262,263).  Interactions among axon terminals containing GABA, glutamate and endocannabinoids may also contribute to modulation of stress-induced activation of CRH neurons (264).  Thus, while the end result to increase circulating levels of glucocorticoids is similar in all stress paradigms, depending upon the type of stress, different regions of the brain are recruited to allow resetting of the HPA axis.  The mitogen activated protein (MAP) kinase signaling pathway may be a common final mechanism in hypophysiotropic CRH neurons that links a variety of different stimuli that activate the HPA axis to an increase in CRH gene expression (265-267).  Stress and glucocorticoid-induced synaptic plasticity of the neural circuitry regulating hypophysiotropic CRH neurons may also contribute to regulation of the HPA axis, particularly in the face of chronic stress (264).

 

The circuitry described above that allows resetting of the HPA axis is illustrated in Fig. 31.

 

Figure 31. Schematic diagram showing autonomic regulation of corticotropin-releasing hormone (CRH) neurons of the hypothalamic tuberoinfundibular tract. (1) Visceral sensory information carried by the glossopharyngeal (IX) and vagus (X) nerves terminates in lower brain stem autonomic centers which (2) project to CRH neurons in the paraventricular nucleus (PVN), (3) modulating the secretion of CRH into the portal capillary system in the median eminence (ME). Descending pathways from the PVN reach autonomic centers in the (4) lower brainstem and (5) spinal cord and can influence the autonomic nervous system. (6) CRH neurons also receive direct input from the limbic system via bed nucleus of the stria terminalis. IML = intermediolateral cell column of the spinal cord. (Schematic diagram based on rat data and modified from Sawchenko PE, Swanson LW, Science 1981; 214:685-687.)

MODULATION OF TRH TUBEROINFUNDIBULAR NEURONS

 

The secretion of hypophysiotropic TRH is primarily regulated by negative feedback regulation by thyroid hormone mediated by the beta 2 isoform of the thyroid hormone receptor (TRβ2) expressed on these neurons (268).  As T3, alone, is not sufficient to normalize TSH expression in the PVN except when administered in thyrotoxic doses (269), under normal conditions, feedback inhibition is dependent upon the conversion of T4 to T3.  Hypophysiotropic TRH neurons, however, do not contain the enzyme necessary for T4 to T3 conversion, type 2 iodothyronine deiodinase (D2).  Rather, it is believed that T3 production is mediated by tanycytes, specialized ependymal cells lining the third ventricle.  These cells not only contain D2, but also express the thyroid hormone transporters, OATP1 and MCT8, on their surface.  It is proposed that T3 released from tanycytes contribute to feedback regulation by thyroid hormone viamechanisms further elaborated below (270).  As noted previously, tanycytes also express the TRH degrading ecto-enzyme, pyroglutamyl peptidase II (PPII), in keeping with the important role of tanycytes in control of the hypothalamic-pituitary-thyroid axis.  Hypophysiotropic TRH neurons also express the vesicular glutamate transporter 2 (VGLUT2), whereas tanycytes the line the median eminence express AMPA and kainite receptors and glutamate transporters and are depolarized by glutamate and by optogenetic activation of TRH axons in the median eminence (271).  As the majority of hypophysiotropic TRH neurons express the type 1 cannabinoid receptor (CB1) mRNA and contain punctate CB1-immunoreactive signal in their axon varicosities, tanycytes in close association with TRH-containing axon terminals in the median eminence contain the endocannabinoid synthesizing enzyme, diacylglycerol lipase α (DAGLα), antagonizing CB1 or inhibiting DAGLα stimulates TRH release in median eminence explants and inhibition of glutamate signaling markedly decreases the 2-AG content of the median eminence (271), the existence of a microcircuit in the median eminence is suggested in which the activity of TRH axons stimulate endocannabinoid synthesis in tanycytes, whereas the tanycytes restrain the delivery of TRH to the anterior pituitary via the endocannabinoid system.  This interaction may have importance in the regulation of pulsatile secretion of TRH and provide and extra flexibility to the control of TRH release.

 

Elucidation of the mechanisms by which the hypothalamic-pituitary-thyroid (HPT) axis responds to fasting provides another excellent example of how afferent input from neurons arising outside of the PVN can influence the secretion of hypophysiotropic neurons.  Similar to the feedback mechanisms controlling the adrenal axis, maintenance of normal thyroid function is dependent upon a negative feedback control system.  Circulating levels of thyroid hormone (T4 and T3) influence the biosynthesis and secretion of TRH in hypophysiotropic neurons in the PVN (Fig. 32) and TSH in the anterior pituitary (225), although a role for thyroid hormone-induced upregulation of the TRH degrading enzyme, pyroglutamyl peptidase II, expressed in tanycytes has also been proposed by regulating the amount of TRH released into the portal system (272).  In response to fasting or infection, however, this normal homeostatic system is altered in a way that is presumably beneficial for survival.  Under these circumstances, there is a fall in circulating thyroid hormone levels but a seemingly paradoxical reduction in TRH gene expression in the PVN (Fig. 33), reduced secretion of TRH into the portal blood and low or inappropriately normal plasma TSH (273-276), rather than the anticipated increase in all of these parameters as seen in primary hypothyroidism mediated by a decline in circulating levels of leptin (see below for mechanism).  Thus, during fasting, the normal feedback mechanism described above is overridden, and a state of central hypothyroidism is transiently induced.  Presumably, by reducing thyroid thermogenesis and preserving nitrogen stores, this mechanism is an important adaptive response to reduce energy expenditure until the adverse stimulus is removed (277).

Figure 32. High magnification in situ hybridization autoradiographs of proTRH mRNA in the paraventricular nucleus (PVN) of a (A) euthyroid and (B) hypothyroid animal. Note marked increase in TRH mRNA when circulating levels of thyroid hormone fall.

The HPT axis is primarily modulated by afferent input derived from the hypothalamus, itself.  At least two anatomically distinct populations of neurons in the arcuate nucleus with opposing functions, proopiomelanocortin (POMC)-producing neurons that also co-express cocaine and amphetamine-regulated transcript (CART), and NPY-producing neurons that co-express agouti related peptide (AGRP), appear to be responsible (174,278-280).  Both neuronal populations express receptors for the white adipose tissue-derived circulating hormone, leptin, and project to hypophysiotropic TRH neurons in the PVN through a monosynaptic, arcuate-PVN pathway (281-283).  Alpha-MSH, a translation product of POMC, and CART (originally described as a mRNA induced in the striatum following psychostimulant drug administration) both induce transcription of the TRH gene in hypophysiotropic neurons (163,278), whereas NPY and AGRP are inhibitory (279,280), NPY via direct effects on Y1 and Y5 receptors on TRH neurons (269), and AGRP by antagonizing α-MSH at melanocortin receptors (285).  Thus, during fasting when circulating levels of leptin decline, expression of the genes encoding POMC and CART are reduced simultaneously with a marked increase in the genes encoding NPY and AGRP (286,287), effectively lowering the threshold of feedback inhibition of hypophysiotropic TRH by circulating levels of thyroid hormone.

Figure 33. In situ hybridization autoradiographs of proTRH mRNA in the PVN (arrow) of (A) normal fed and (B) fasting animals. Note the marked reduction in hybridization signal by fasting. (C) ProTRH mRNA levels are restored to normal in fasting animals administered leptin. (From G. Legradi, C.H. Emerson, R.S. Ahima, J.S. Flier, R.M. Lechan, Leptin Prevents Fasting-Induced Suppression of Prothyrotropin-Releasing Hormone Messenger Ribonucleic Acid in Neurons of the Hypothalamic Paraventricular Nucleus, 1997, Endocrinology 138: 2569-2576.)

Circulating thyroid hormone levels also fall in association with severe illnesses and infection (287), but use a different set of regulatory controls.  This is based on the observation that both POMC and CART gene expression are increased in the arcuate nucleus (288) and circulating levels of leptin are elevated under these conditions (289).  In addition, norepinephrine secretion is increased in the PVN, and ordinarily would be expected to stimulate the secretion of TRH (290).  The precise anatomical pathways and mediators that override the activating effects of catecholamines, leptin and α-MSH on TRH neurons are not yet known.  However, type 2 iodothyronine deiodinase (D2), an enzyme that converts thyroxine into the more biologically active thyroid hormone, tri-iodothyronine, is expressed in tanycytes and D2 expression and enzymatic activity is substantially increased by endotoxin (291).   Given the location of tanycytes in the median eminence in contact with both the CSF and blood in the portal vascular plexus, and evidence that they express the thyroid hormone transporter, monocarboxylate transporter 8 (MCT8) (292), it is conceivable that tanycytes contribute to the fall in circulating thyroid hormone associated with infection by increasing the concentration of T3 in the mediobasal hypothalamus and suppressing the synthesis of TRH in hypophysiotropic neurons by local feedback regulation.  Hence, tanycytes may extract T4 from the bloodstream or the CSF, convert T4 to T3, and then release T3 into the CSF that could diffuse into the PVN by volume transmission (293)after moving between ependymal cells lining the third ventricle; release T3 directly into the median eminence that could be taken up by TRH axon terminals and then transported retrogradely to the PVN; and/or concentrate in arcuate nucleus neurons that have known projections to TRH neurons in the PVN (278, 282, 283, 294).  This mechanism is supported by observations demonstrating that the administration of LPS to D2 KO mice prevents the anticipated reduction in TRH mRNA observed in WT animals (295).  T3 may also be released into the portal capillary system for conveyance to the anterior pituitary and contribute to the mechanism whereby endotoxin inhibits the secretion of TSH.  The hypothesized regulatory mechanism is schematized in Fig. 34.

Fig. 34. Proposed mechanism for D2-regulation of the hypothalamic-pituitary-thyroid axis following the administration of LPS. LPS increases D2 activity in tanycytes resulting in increased T4 to T3 conversion. [1] T3 is released from tanycyte apical processes into the CSF for conveyance to the paraventricular nucleus, or [2] taken up from hypophysiotropic TRH axonal processes in the median eminence and transported retrogradely back to its cell body in the paraventricular nucleus. [3] T3 may also be released into the portal capillary system and directly inhibit the secretion of TSH. Local tissue hyperthyroidism inhibits TRH in the paraventricular nucleus. (From Lechan, R. M.; Fekete, C., Role of thyroid hormone deiodination in the hypothalamus. Thyroid 2005, 15, (8), 883-997.)

Cold exposure is another example of how afferent input to hypophysiotropic TRH neurons can alter the sensitivity of feedback regulation by circulating levels of thyroid hormone.  In this instance, however, TRH secretion is increased (296).  The mechanism involves catecholamine projection pathways from the brainstem to hypophysiotropic TRH neurons cell bodies and their axon terminals in the median eminence to increase both TRH mRNA and TRH release, respectively. 

 

REGULATION OF GnRH SECRETION

 

Pulses of GnRH initiate the pulsatile release of anterior pituitary gonadotropins, and changes in the GnRH pulse frequency dictate how much LH and FSH ultimately will be released (297,298).  This intermittent signal is of critical importance for pubertal development and necessary for the regulation and maintenance of normal reproductive function throughout the ovulatory cycle.  In the absence of episodic GnRH release, such as with continuous, exogenous administration of GnRH, the synthesis and secretion of gonadotropins are profoundly suppressed as a result of desensitization of GnRH receptors (299).  The central mechanisms governing the pulsatile secretion of GnRH may involve a variety of factors, but the most important would appear to be the recently discovered kisspeptin/G protein-coupled receptor 54 (GPR54) neuroregulatory system (300,301).  The kisspeptins derive from a single precursor but comprise a group of peptide molecules ranging from 10-54 amino acids, all capable of binding and activating the G-protein coupled receptor GPR54 with similar efficacy (301,302).  In humans, kisspeptin-54 has also been termed metastin on the basis that it was originally recognized to suppress cancer metastasis (303).

 

GnRH-producing neurons are located primarily in the preoptic region in rodents, but in all animal species give rise to axons that project caudally to terminate in the external zone of the median eminence (304).  Although GnRH neurons may have intrinsic oscillatory characteristics that might explain the pulsatile secretion of GnRH (2305.306), evidence would support the importance of GPR54 and the kisspeptins in modulating their secretory responses and in particular, the resurgence of GnRH pulsatility during puberty.  Namely, both humans and animals with GRP54 deficiency have hypogonadotropic hypogonadism despite normal development of GnRH neurons and normal LH and FSH secretion in response to GnRH (297,307), GPR54 mRNA is expressed by GnRH neurons (307), central and peripheral administration of kisspeptins potently induce gonadotropin secretion ( 308, 309), kisspeptin-induced LH secretion can be blocked with GnRH receptor antagonists (309,310), kisspeptin depolarizes ~90% of GnRH neurons in adult mice (311), and transgenic mice with targeted disruption of the Kiss1 gene (that gives rise to the kisspeptins) has an identical phenotype as transgenic mice deficient in GPR54 (312).  As brief intravenous infusions of kisspeptin every hour for 48h induce pulsatile LH discharges similar to those observed during puberty, whereas continuous kisspeptin infusion in mice or monkeys downregulate LH secretion by desentensitizing GRP54 (313-316), it has been proposed kisspeptin-producing neurons comprise the pulse generator for GnRH neurons or at the very least, amplify the activity of the pulse generator (317).

 

Neurons producing the kisspeptins are located in the hypothalamic arcuate nucleus and in some species, the anteroventral paraventricular nucleus (AVPV) (316), and express the alpha estrogen receptor (318).  Curiously, these two populations are regulated inversely to each other.  Thus, kisspeptin gene expression in arcuate nucleus neurons increases following ovariectomy and decreases with estrogen administration, whereas the reverse occurs in anteroventral paraventricular cells (315,316).   It has been proposed, therefore, that these two, kisspeptin neuronal populations may mediate the negative and positive feedback effects of estrogen on GnRH neurons (319), with the AVPV neurons involved in the estradiol/progesterone-induced preovulatory GnRH/LH surge (320).  Functional heterogeneity among the two kisspeptin neuronal populations is exemplified by the observation that kisspeptin neurons in the AVPV are sexually dimorphic, being particularly prominent in females, but virtually absent in males secondary to increased testosterone levels in males during development, and explain the inability of male rodents to mount a LH surge (321,322).  In addition, the arcuate nucleus population of kisspeptin neurons co-express neurokinin B and dynorphin (323), that contribute to the pulsatile release of GnRH through opposing actions on kisspeptin, neurokinin B stimulating and dynorphin inhibiting its secretion (324,325).  For this reason, the population of kisspeptin neurons is commonly referred to as KNDy neurons.  Phoenixin-20 amide (PNX), is also synthesized in kisspeptin neurons and may activate these neurons though an autocrine mechanism by binding to GPR173 receptors or through connections with other kisspeptin neurons (326).  Arcuate nucleus kisspeptin neurons also mediate the inhibitory effects of anorexia on reproductive function via a leptin-dependent mechanism (327).

 

Kisspeptin-containing axon terminals have been observed to terminate on hypophysiotropic GnRH neurons, but only the minority of cells and with surprisingly few boutons (315,317).  In contrast, kisspeptin-containing axons heavily inundate the median eminence and extensively intermingle with GnRH-containing axon terminals (315,317).  Although axo-axonal interactions between kisspeptin- and GnRH-containing axon terminals have not been observed (315), these specializations may not be required for physiologic function in the median eminence.  Evidence that peripheral administration of kisspeptin has a similar potent action on LH secretion as central administration (297), and physiologic data showing that exogenous administration of kisspeptin to hypothalamic explants deficient in GnRH neurons still potently release LH into the medium (313), strengthen the possibility that kisspeptin‘s actions may be directly on GnRH axon terminals in the median eminence.  Figure 35 summarizes a hypothesized mechanism for the neuroendocrine regulation of GnRH neurons by kisspeptin.

Figure 35. Simplified schematic demonstrating the mechanism for the regulation of GnRH secretion by kisspeptin. Two populations of kisspeptin neurons, oppositely regulated by estrogen, impinge on GnRH neurons in the medial preoptic nucleus that project to the neural-hemal contact zone in the median eminence. Kisspeptin-containing axon terminals may also interact with GnRH axon terminals in the median eminence.

Glial-neuronal interactions in the median eminence and in contact with GnRH cell bodies may also be involved in regulating the delivery of GnRH to the portal system. In the median eminence, two mechanisms have been proposed (328-331). The first involves the release of glutamate, prostaglandins and growth factors from tanycytes that induce the secretion of GnRH from their axon terminals in the median eminence. The second involves plastic rearrangements between tanycyte end foot processes and GnRH axon terminals, allowing or disallowing secreted GnRH from entering portal capillaries. Thus, it is proposed during the preovulatory gonadotrophin surge, estrogen binds to alpha type estrogen receptors on tanycytes and induces tanycyte end feet retraction through PGE2-dependent production of TGFβ1, allowing GnRH axon terminals to establish better contact with the portal vessels (332). Estrogen may also affect the synthesis of adhesion molecules such as polysialylated neuronal cell adhesion molecule (PSA-N-CAM) and synaptic cell adhesion molecule (SynCAM) that facilitate glial-neuronal interactions and remodeling (328,329). The release of nitric oxide from portal vessel endothelial cells may also participate in tanycyte retraction by affecting actin cytoskeleton remodeling (332). Astrocytes have also been observed to enwrap GnRH perikarya and may similarly induce the release of GnRH through the release of PGE2 and/or TGFβ (331). It has also been hypothesized that astrocytes contribute to the mechanism whereby GnRH neurons are synchronized to generate the pulsatile release of the neuropeptide (331).
Mechanisms for reawakening of the reproductive axis during puberty is not fully understood, but appears to involve a decrease in transsynaptic inhibition to the GnRH neuronal system and increase in its stimulatory input from afferent neurons. GABAergic neurons are one of the major inhibitory inputs to the GnRH system and when inhibited, result in premature activation of the GnRH neuronal system. Increased stimulatory drive has been associated with glutamatergic transmission as well as increases in norepinephrine and NPY. Circulating levels of leptin also have an important role in the central modulation of puberty and reproductive function by food availability and nutritional status and can reverse the suppressive effects of undernutrition on the reproductive axis, but mediated primarily through kisspeptin neurons. Conversely, inhibition of reproductive function in association with stress appears to be mediated through CRH as suppression of gonadotropin secretion is reversible by administration of a CRH antagonist (333).
MODULATION OF PROLACTIN-REGULATING FACTORS
Prolactin secretion from the anterior pituitary is primarily under inhibitory regulation by dopamine neurons (A12 group of Dahlstrom and Fuxe) located in the arcuate nucleus. However, a number of prolactin-releasing factors have also been identified including TRH, oxytocin, VIP, vasopressin, histidine isoleucine, and serotonin, that can also trigger prolactin release under different physiologic circumstances following direct release into the portal system (334). For example, histidine isoleucine, which is co-expressed with CRH in parvocellular neurons in the PVN, and vasopressin are involved in stress-induced prolactin secretion through direct effects on lactotrophs. Serotonin has been implicated in lactation-induced prolactin secretion partly by stimulating TRH secretion from hypophysiotropic neurons, but also by inhibiting dopamine secretion and is further discussed below in the Lactation section.
Feedback control of prolactin secretion is mediated by a short-loop mechanism in which prolactin, itself, increases dopamine synthesis from the A12 neurons However, multiple neurotransmitter systems impinge on the A12 neurons that contribute to regulation of their neurosecretion including cholinergic neurons derived from the basal forebrain, hypothalamic glutamatergic and brainstem serotoninergic afferents that have activating effects and hypothalamic histaminergic and opiate peptide-containing afferents that have inhibitory effects (334).
Modulation of Vasopressin Secretion and Osmoregulation
Maintenance of the appropriate solute concentration in plasma (osmotic homeostasis) and plasma volume (volume homeostasis) is dependent upon two major factors, the perception of thirst and the ability to synthesize and secrete the antidiuretic hormone, arginine vasopressin from magnocellular neurons in the hypothalamic PVN (335). These two factors are closely interrelated such that amount of vasopressin circulating in the periphery is proportional to the plasma osmolality (336). Vasopressin induces cAMP and the translocation of specific aquaporin-2 water channels to the apical plasma membrane of tubular epithelial cells in the kidney, allowing water resorption (337,338). In addition, the rise in osmolality has independent behavioral effects. Thus, when plasma osmolality rises above basal levels, there is inducement to drink, shortly following the rise in vasopressin (335). While some vasopressin neurons in the PVN are intrinsically osmosensitive (339,340), the major mechanism of osmoregulation is via afferent pathways originating from osmoreceptor cells in other neuronal populations. These include inputs from the OVLT and the median preoptic nucleus, which if damaged, simultaneously abolish vasopressin secretion and thirst responses to hyperosmolality in both experimental animals and man (136,341). The SFO is also activated by a rise in osmolality and may contribute to vasopressin release through direct afferent projections to the PVN and/or to the OVLT using angiotensin II as a mediator (133-136,342). As mice with targeted disruption of the transient receptor potential (TRP) ion channels, TRPV1 and TRPV4, have impairment in vasopressin secretion and reduced drinking in response to hypertonic stimuli and show diminished cFos responses in the OVLT, these ion channels may be responsible for osmoreception (343). Along these lines, it particularly interesting that vasopressin can also be increased by hyperthermia (344,345), and that the trp genes are known to encode proteins involved in thermoregulation (see section E. Thermoregulation). Indeed, TRPV1 is required for thermosensory transduction of vasopressin secretion from isolated magnocellular neurons (346). Sodium channels may also contribute to the regulation of vasopressin secretion in response to hypernatremia by acting on neurons in the OVLT and SFO (347).
Whereas forebrain pathways communicate information about osmolality to the PVN, brainstem projections tend to carry nonosmotic, baroregulatory information, and important for vasopressin secretion, particularly in association with hypovolemia and hypotension (136,335). This information is carried through the vagus and glossopharyngeal nerves to the NTS and ventral lateral medulla, and then to the PVN through the ascending catecholaminergic pathways (Fig. 36). Magnocellular neurons in the PVN appear to be primarily innervated by the A1 catecholamine-producing cells in the ventral lateral medulla (247).

As described for hypothalamic tuberoinfundibular neurons, the threshold for vasopressin secretion by neurons of the magnocellular neurosecretory system can also be modified by their afferent signals as well as circulating factors.  For example, the osmotic threshold for vasopressin release can be altered by glucocorticoids.  Dexamethasone attenuates the vasopressin response to salt loading (348) and hypoadrenalism is commonly associated with the syndrome of inappropriate secretion of antidiuretic hormone (SIADH) that can be corrected by glucocorticoid administration (349).  These effects are exerted directly on vasopressin neurons given the presence of glucocorticoid receptors in these cells (350).  Other causes for SIADH, however, such as pulmonary disease and central nervous system disorders may be mediated through afferent pathways to the PVN.  Hormone mediators of these projections include vasoactive intestinal polypeptide (VIP), acetylcholine, angiotensin II, neuropeptide Y and noradrenaline, among numerous others (351,352).

 

Appetite and Satiety

 

The demonstration that discrete regions of the hypothalamus control food intake was based on the early studies of Hetherington and Ranson (353) in 1940 showing that localized lesions of the hypothalamus result in obesity.  These observations were seemingly confirmed in man when Reeves and Plum (354) reported that a discrete lesion (hypothalamic hamartoma) involving the hypothalamic ventromedial nucleus in a 28-year-old woman was associated with increased food consumption and profound obesity.  In contrast, bilateral lesions of the lateral hypothalamus in animals result in anorexia and weight loss (353). Thus, the concept of a hypothalamic ventromedial nucleus satiety center and lateral hypothalamic orexigenic center that can be influenced by peripheral signals was developed, and dominated thinking about the hypothalamic control of feeding for several decades.

 

It was not until 1994, however, when the discovery of leptin revolutionized thinking on the mechanisms governing appetite and satiety (355).  Leptin serves as an important humeral signal that reflects body fat stores, and by acting on discrete regions in the hypothalamus, orchestrates the behavioral, metabolic, and neuroendocrine adaptations to nutrient availability (285,286,356-359).  Thus, during nutrient abundance, leptin secretion is increased, leading to decreased appetite and increased caloric disposal, whereas nutrient insufficiency leads to decreased leptin secretion, resulting in increased appetite, energy conservation, and a shift to a neuroendocrine profile that facilitates metabolic adaptation.

 

A major site of leptin’s action is the mediobasal hypothalamus, primarily the hypothalamic arcuate nucleus via specific receptors (Ob-Rb) that influence the activities of two separate groups of neurons with opposing functions through a number of signaling pathways that include Jak-STAT, PI3k-Akt-FoxO1, SHP2-ERK, AMPK, mTOR-S6K (360-362).  These neurons include α-MSH-producing neurons that co-express CART, and AGRP neurons that co-express NPY (317).  These neurons send monosynaptic projections to identical target regions within discrete regions of the hypothalamus where the signals are integrated and then relayed by independent pathways to regions of the brain governing feeding behavior, energy expenditure, and hypophysiotropic function (286,356-358).  When circulating leptin levels are suppressed, such as during fasting, expression of genes encoding proteins that promote weight loss, and energy expenditure, α-MSH and CART, are reduced simultaneously with a marked increase in the genes encoding proteins that promote weight gain and reduce energy expenditure, AGRP and NPY.  Cooperation between the opposing components of the regulatory system governing appetite and satiety is underscored by the biological action of AGRP as both a competitive antagonist and inverse agonist at melanocortin receptors (MC3r and MC4r) (285,363).  Thus, during fasting, the rise in AGRP cooperates in down regulation of melanocortin signaling by antagonizing the action of α-MSH concurrently with inhibition of the POMC gene.  Reciprocal connections between the arcuate nucleus NPY/AGRP neurons and α-MSH/CART neurons also are present (364), suggesting an even greater complexity to this regulatory system.

 

It is becoming increasingly recognized that the melanocortin signaling system may be the predominant regulatory system governing appetite and satiety.  Whereas animals with targeted deficiency of NPY have an essentially normal phenotype and intact responses to fasting (365), animal models with targeted deletion of the type 4 melanocortin receptor (MC4r) and in humans bearing mutations that interfere with the function of the MC4r, the POMC gene, or the processing enzymes necessary to generate a fully mature α-MSH, develop a severe obesity syndrome (366-369).  Loss of tone in the melanocortin signaling system as a result of senescence of the arcuate nucleus POMC neurons may also explain the tendency for weight gain with aging (370,371).  Conversely, studies by Wisse et al (372) and Marks et al (373) have demonstrated that cancer cachexia can be prevented in experimental animals by the administration of melanocortin receptor antagonists.  Maintaining adequate tone in the melanocortin signaling system, therefore, would appear to have an especially important role in the maintenance of normal body weight.  Taking advantage of this observation is evidence that the MCRr agonist setmelanotide, has been shown to promote weight loss in individuals with leptin receptor or POMC deficiency (3740.

 

The arcuate nucleus is a main sensor of circulating levels of leptin, and by projecting to several different regions in the brain, provide the mechanism whereby leptin is capable of integrating a host of responses involved in energy homeostasis.  The arcuate-PVN projection pathway has an important role in regulation of the thyroid axis (see above).  Thus, hypophysiotropic TRH neurons in the medial parvocellular PVN receive direct projections from NPY/AGRP- and α-MSH/CART-producing neurons in the arcuate nucleus, altering the set point at which circulating thyroid hormone inhibits TRH (158,243,244,247) The end result during fasting is suppression of the HPT axis as a way to reduce energy expenditure.  Other targets in the PVN include neurons in the anterior and ventral parvocellular subdivisions of the PVN on the basis that these neurons show phosphorylation of CREB following the central administration of α-MSH (375).  Both subdivisions receive a high density of axons containing α-MSH and AGRP derived from the arcuate nucleus (376,377).  Thus, these regions may be involved in some of the other actions of leptin including the regulation of feeding and/or energy disposal.   This concept is supported by the observation that focal injections of α-MSH or α-MSH agonists directly into the PVN reduces feeding and can fully replicate the reduced feeding responses following icv administration (378).  Conversely, α-MSH antagonists injected into the PVN have a potent effect to increase feeding (379).  Since anterior parvocellular PVN neurons project to the limbic system (lateral septum and amygdala) (380,381), it is possible that this part of the PVN is involved in the behavioral manifestations of feeding.  The ventral parvocellular subdivision is involved in the regulation of the autonomic nervous system through descending projections to brainstem and spinal cord targets (164,381,382).  This region, therefore, may be involved in the regulation of energy disposal by controlling heat loss from brown adipose tissue through effects on uncoupling protein-1 (UCP-1) (383) and by affecting lipolysis and proteolysis in white fat and muscle, respectively (384).  A population of POMC-responsive, glutamatergic PVN neurons descends to the parabrachial nucleus, now also considered to be an important brainstem nucleus involved in the suppression of appetite (385).  Some parabrachial neurons project to the central nucleus of the amygdala using calcitonin gene-related transcript as a transmitter (386), implicating the central nucleus of the amygdala as another important node in the satiety pathway.  Descending projections from leptin-responsive PVN neurons may also modulate the sensitivity of brainstem neurons to satiety signals originating from the gastrointestinal tract, mediated at the level of brainstem nuclei (387,388), and have been shown to affect the anorexigenic effects of peripherally administered CCK (389).  Oxytocin may be one of several PVN-derived peptides relaying forebrain information about appetite and satiety to the brainstem (390).

 

In addition to the PVN, leptin-responsive neurons in the arcuate nucleus synapse on two separate populations of neurons in the lateral hypothalamus that produce melanin-concentrating hormone (MCH) and orexin (391).  These neurons project to multiple regions of the brain including the cerebral cortex, midbrain and pons including the ventral tegmental area (VTA) and the nucleus accumbens, well-recognized reward centers involved in hedonic eating and addiction (392).  MCH acts as an endogenous stimulator of food intake and its mRNA is increased during fasting (393,394) whereas orexin promotes arousal responses (395) that would have an essential role in permitting food-seeking behavior during periods of nutrient deficiency.  Orexin also increases gastric contractility through projections to the brainstem, and by reducing gastric distension, suppresses satiety signals carried by the vagus nerve (396).  Thus, during caloric restriction, activation of orexin- and MCH-producing neurons would have several actions to promote increased food ingestion and promote weight gain through effects on appetite, behavior and the incentive to feed.  Leptin-responsive, CART-producing neurons in the arcuate nucleus also project directly to the intermediolateral cell column of the spinal cord (397), indicating their importance in autonomic control.

 

Leptin receptors are also expressed by other hypothalamic nuclear groups including the caudal part of the hypothalamic dorsomedial nucleus (DMN) and the dorsomedial division of the ventromedial nucleus (VMN) (398).  Evidence that leptin-responsive regions of the brain other than the arcuate nucleus contribute to the regulation of feeding has been demonstrated by only a modest reduction in hyperphagia after the leptin receptor has been re-expressed selectively in arcuate nucleus of animals with leptin deficiency (399,400).  The DMN has extensive projections to the PVN, particularly portions involved in autonomic control, as well as direct brainstem projections to the dorsomotor complex of the vagus (401).  In addition, the DMN receives extensive projections from the arcuate nucleus, including projections from NPY/AGRP- and α-MSH/CART-leptin-responsive neurons (282,283).  As lesions of the DMN produce hypophagia and reduce linear growth, this nucleus has an important role in the homeostatic control of feeding behavior (402).  The DMN may also mediate the anorexic effect of cholecystokinin-8 (CCK-8) (403) through projections from CCK-8-producing neurons in the superior lateral subdivision of the parabrachial nucleus (404).  The VMN has been long implicated in the regulation of feeding behavior as lesions of the VMN produce hyperphagia (405).  However, these observations were likely due to transection of surrounding fiber pathways.  Because the dorsomedial portion of the VMN projects to the subparaventricular zone, it has been proposed that leptin-sensitive VMN neurons may have a role in circadian rhythms (286).

 

The brainstem also contributes to leptin-regulated neuroendocrine responses involved in feeding, particularly the dorsal vagal complex (DVC) (406).  The DVC is an important relay center in the brainstem for visceral sensory information carried by the vagus nerve from the liver GI tract, but also receives descending information from the forebrain including the PVN (356).  Glucagon-like peptide (GLP-1)-producing neurons in the DVC have been shown to be leptin responsive (407), and this peptide has potent anorexic effects (408).  NPY-producing neurons in the hypothalamic arcuate nucleus have been proposed as the primary target for GLP-1 due to the high concentration of GLP-1 receptors in this region and because GLP-1 can inhibit NPY-induced feeding (409,410).  However, the arcuate nucleus contains relatively few GLP-1-containing nerve terminals as compared to the PVN and DMN (411), and discrete injections of GLP-1 into the PVN are capable of suppressing feeding (412).  Leptin also enhances the anorexic effects of CCK (see below) that can be diminished by selective knock-out of leptin receptors in the DVC (413). Leptin also has important effects on dopaminergic neurons in the ventral tegmental area (VTA), that mediates motivated and reward-seeking behaviors including food consumption, as selective knock-out of the leptin receptor in this area results in increased feeding (414).

 

In addition to leptin, a number of gut peptides contribute to the central regulation of appetite and satiety (Table 10), either by acting directly on the hypothalamic arcuate nucleus or transmitted through the DVC via vagal and spinal afferent neurons (415-417).  Among these are insulin, cholecystokinin (CCK), peptide YY (3-36), pancreatic polypeptide (PP), GLP-1, amylin, oxyntomodulin and ghrelin (418).  Like leptin, levels of insulin vary with adiposity (316) and are suppressed by fasting and increased by eating.  In addition, the intracerebroventricular administration of insulin reduces food intake and body weight (419) and prevents fasting-induced increases of NPY and AGRP mRNA in arcuate nucleus neurons (420).  Amylin is co-released with insulin in response to a meal and functions as an anorectic hormone through effects on serotonin, dopamine and histamine (421).  Both CCK and pYY are secreted by the gut in response to feeding and may have a role in the termination of eating, CCK through effects on receptors in visceral sensory axons that travel in the vagus nerve (422) and pYY through blood-borne inhibitory signals exerted through Y2 receptors on NPY/AGRP neurons in the hypothalamic arcuate nucleus (423).  In addition to the central GLP-1 system described above, GLP-1 is also released into the circulation after a meal from the distal small intestine and colon, decreasing food intake through a vagal mechanism (424).  Oxyntomodulin, which like GLP-1 derives from the same intestinal cells by posttranslational processing of proglucagon, binds to the GLP-1 receptor and has similar actions on reducing food intake that are abolished in the GLP-1 receptor knockout mouse (425).  However, this peptide also appears to increase energy expenditure, raising the possibility of its particular utility in the treatment of obesity (426).  As its name suggests, PP derives from the pancreas and inhibits food intake by binding to Y4 receptors in the DVC and arcuate nucleus and through effects mediated by the vagus nerve (427).  Ghrelin, produced primarily by the stomach, is secreted directly into the bloodstream, but as opposed to all other identified gut-derived peptides, ghrelin stimulates food intake and is highest just prior to a meal and falls after eating (428).  Thus, ghrelin may have a primary role in meal initiation.  Its target is also the hypothalamic arcuate nucleus, increasing the expression of NPY/AGRP mRNAs (429) and inhibiting POMC neurons (430).  However, vagotomy abolishes ghrelin-stimulated eating (431), indicating that ghrelin may also signal through the brainstem.  Hypersecretion of ghrelin has been proposed as a mechanism for the morbid obesity associated with the Prader Willi syndrome (432).  Nevertheless, treatment of Prader Willi patients with somatostatin analogues that suppresses circulating levels of ghrelin, does not improve the hyperphagia associated with this disorder (433), indicating that other mechanisms are responsible or that compensatory mechanisms take place.  A second peptide derived from the ghrelin gene has been recently identified, obestatin, but its role in the regulation of appetite requires further characterization.  Curiously, obestatin appears to suppress food intake (434).  Nesfatin-1 has also been found to co-localize with ghrelin in gastric cells (435) and has potent satiety effects (436).  While circulating nesfatin-1 can cross the blood-brain-barrier and inhibit NPY neurons in the arcuate nucleus (437), the peptide is highly expressed in the lateral hypothalamus in MCH neurons (438) and in the PVN and may be under the regulation of -MSH (436).  New and potentially exciting chapters in gut-brain signaling relates to the importance of bile acids (439) and gut microbiota (417) in influencing central neural signaling primarily to affect energy homeostasis, but the mechanisms by which this takes place have yet to be fully elucidated.

 

Thyroid hormone should probably also be considered as a circulating hormone involved in appetite regulation through actions on the hypothalamus.  Thyrotoxicosis is commonly associated with hyperphagia both in experimental animal models and humans (440-444), although the mechanism(s) by which this occurs are uncertain.  Ishii et al (442) have shown an increase in hypothalamic NPY mRNA following the administration of thyrotoxic doses of T3, perhaps secondary to T3-induced increase in neuronal uncoupling protein 2 in NPY neurons (445).  Nevertheless, T3-associated hyperphagia is only partially attenuated by a NPY receptor antagonist, indicating that other mechanisms must also be operable.  The hypothalamus is richly endowed with thyroid hormone receptors (446,447), and nuclear T3 concentrations in hypothalamic extracts are elevated following the systemic administration of thyrotoxic doses of T3 or T4 (448).  Recent studies by Kong et al (449) have demonstrated that the systemic administration of superphysiologic doses of T3 increase immediate early gene expression in the hypothalamic ventromedial nucleus.  In addition, microinjection of T3 into the hypothalamic ventromedial nucleus induces a 4-fold increase in food intake during the first hour following injection.  These data suggest a direct effect of T3 on the hypothalamus to induce feeding.  Evidence that the nuclear T3 concentrations in the hypothalamus are elevated following the systemic administration of thyrotoxic doses of T3 or T4 (448) further substantiates this hypothesis.  The coincidence that rats display a nocturnal pattern of feeding and that hypothalamic deiodinase activity follows a circadian pattern that increases during the night which may have the effect of increasing local tissue levels of T3 (444,449), provides circumstantial evidence for the potential importance of thyroid hormone to regulate feeding by increasing local, neural tissue concentrations of T3.

 

Estrogen also has an antiobesity effect and may contribute to the tendency for weight gain following menopause.  The effects of estrogen appear to be mediated by the estrogen receptor-alpha (ERα), as mice with targeted deletion of this gene develop obesity (450).  ERα is expressed by POMC neurons and when selectively ablated from these neurons, hyperphagia ensues (451).

 

Adipose-derived peptides (adipokines) other than leptin are also believed to have important roles in the regulation of appetite and energy expenditure (452).  In particular, adiponectin serves as a starvation signal to preserve fat stores, increasing in the plasma with fasting.  Adiponectin, thereby, functions inversely to leptin in the brain by binding to the adiponectin receptor 1 (AdipoR1) in the arcuate nucleus, and by activating AMPK, increases food intake and reduces energy expenditure by suppressing UCP-1 in brown adipose tissue (453).

 

Recent attention has also been given to the role of neurotransmitters and endocannabinoids in the regulation of food intake and energy expenditure (454,455).  The cannabinoid receptor, type 1 (CB1) is the primary cannabinoid receptor in the central nervous system (456), and has a widespread distribution that includes the hypothalamus and limbic structures (457).  Endogenous ligands for CB1, anandamide (AEA) and 2-arachidonoyl glycerol (2-AG), inhibit synaptic release of transmitters in both excitatory and inhibitory terminals (458).  Since endocannabinoids are synthesized by neurons postsynaptic to axon terminals containing CB1 receptors, they are actually a retrograde signaling system.  Neuronal release of endocannabinoids, therefore, regulates the activity of the cells’ own CB1-containing innervation.  Endocannabinoids exert orexigenic effects when injected into the hypothalamus and may mediate the effects of ghrelin to increase food intake, block the inhibitory input to MCH neurons in the lateral hypothalamus and attenuate the excitatory input of anorexigenic neurons in the paraventricular nucleus (459,460).  Endocannabinoids also activate the mesolimbic dopamine system that is involved in hedonistic eating (see below).

 

With respect to neurotransmitters, selective removal of the GABA transporter from AGRP neurons, for example, results in a lean phenotype, even on a high fat diet (461), whereas the selective deletion of leptin receptors from all neurons that express the GABA vesicular transporter develop marked hyperphagia (462).  Serotonin is also known to have a profound effect on food intake, probably by acting on a subset of POMC neurons in the hypothalamic arcuate nucleus that express serotonin 2C receptors (463).  Thus, two populations of POMC neurons have been proposed, those responsive to leptin that increase energy expenditure and those responsive to serotonin that reduce food intake (462, 464).  These observations are in concert with the observation that serotonin agonists such as fenfluramine and lorcaserin have had efficacy in the treatment of obesity (465).

 

Heterogeneity of POMC neurons in the arcuate nucleus as defined by GABAergic and glutamatergic phenotypes has recently been recognized (466), although the physiologic significance is still uncertain.  As noted above, dopamine has also been associated with reward-related food intake mediated through leptin-responsive, dopamine-producing neurons in the VTA (467).  Dopamine has a major role in the regulation of reward processing including the desire for drugs of abuse and sweet foods (468).  Recent evidence has linked impaired dopamine transmission in the mesolimbic nervous system to dietary obesity (469).

 

Nutrient sensing by the brain also appears to contribute to the regulation of appetite and satiety.  Hypoglycemia increases food intake, presumably as a result of glucose deprivation on brainstem catecholamine neurons which project to the hypothalamus (470); the amino acid, L-leucine, but not other branched chain amino acids, exerts its anorexic actions by activating the mammalian target of rapamycin, mTORC1 pathway, in arcuate nucleus NPY/AGRP neurons by reducing NPY and AGRP  (471) and in the caudomedial nucleus of the NTS (472); and fatty acids inhibit food intake by suppressing AMP-activated protein kinase (AMPK) in arcuate nucleus which similarly reduces NPY (473).  Alpha-MSH-producing neurons in the arcuate nucleus are also excited by glucose-mediated closure of ATP-sensitive potassium (KATP) channels (474).  The importance of this mechanism has been shown by Parton et al (475), demonstrating that expression of a mutant form of the KATP channel subunit Kir6.2b in α-MSH-producing neurons that impairs ATP-mediated closure of KATP channels, results in impaired glucose tolerance.

 

In addition to the major role of the hypothalamus and brainstem in the regulation of eating, many other regions of the brain are also involved, particularly in the human brain (476).  As noted above, dopaminergic neurons in the ventral tegmental area and substantial nigra that project to the nucleus accumbens, striatum and orbitofrontal cortex are involved in hedonic feeding, leading individuals to seek highly rewarding, high caloric foods.  Emotional eating may be mediated by projections from the amygdala to the hypothalamus to initiate a hunter response.  Finally, cognitive control systems in the prefrontal cortex can allow for self-restraint, even though food may seem highly appealing.

 

 A summary diagram of the complex mechanisms involved in the regulation of appetite and satiety is shown in Fig. 37.

 

Figure 37. Simplified schematic representation of some of the regulatory factors and pathways involved in the regulation of appetite and satiety. Circulating factors derived from fat, pancreas, liver and the gastrointestinal tract converge on the hypothalamus and/or brainstem to orchestrate a series of responses that promote increased appetite, decreased energy expenditure, activation of mesolimbic reward centers and reduce circulating thyroid hormone levels. Note similarities of target regions in the brain by several regulatory factors, particularly for AGRP/NPY and -MSH/CART neurons in the hypothalamic arcuate nucleus. The endocannabinoid system exerts regulatory effects on neurons in multiple regions of the brain. Other regions of the brain including the amygdala, hippocampus, and prefrontal cortex also have important roles in the regulation of eating. ARC= arcuate nucleus, DMN= dorsomedial nucleus, DVC= dorsal vagal complex, LH= lateral hypothalamus, PVN= paraventricular nucleus, SNS=sympathetic nervous system, VMN= ventromedial nucleus.

Lactation

 

Suckling is a well-recognized physiological stimulus for increased prolactin secretion from the anterior pituitary gland and oxytocin from the magnocellular, neurohypophysial system (477).  This stimulus is relayed to the hypothalamus via the spinal cord and brainstem (478,479), although the precise intrahypothalamic pathways involved have not been precisely elucidated (480).  Using c-fos as a marker for neuronal activation, several potential relay centers in the brainstem have been identified including the ventrolateral medulla (A1 catecholamine cell group), locus coeruleus, lateral parabrachial nucleus, caudal portion of the paralemniscal nucleus, and lateral and ventrolateral portions of the caudal part of the periaqueductal gray (481).  By inhibiting tuberoinfundibular dopamine neurons in the arcuate nucleus and increasing prolactin releasing factors in tuberoinfundibular neurons in the hypothalamic PVN and posterior pituitary (482), these signals permit high circulating levels of prolactin, particularly when dopamine has been inhibited.  Putative prolactin releasing factors include thyrotropin-releasing hormone, oxytocin, serotonin, opioid peptides and TIP39, although the latter may function by increasing dynorphin (480).  Prolactin also feeds back on dopamine neurons in the arcuate nucleus to inhibit the release of dopamine (483), but this ultrashort feedback loop is inhibited during lactation by dissociation of electrical activity and dopamine release from dopamine neurons, allowing for sustained elevations in prolactin in response to suckling (484).  Prolactin is not only important for the synthesis and maintenance of milk secretion, but contributes to the physiologic responses that complement lactation including the development of material behavior and inhibition of reproductive function (477).  These effects are facilitated by upregulation of prolactin receptors in the choroid plexus during lactation (485), allowing increased entry of prolactin from the circulation into the brain through a carrier-mediated transport system, as well as in several hypothalamic nuclear groups including the medial preoptic nucleus, PVN, supraoptic nucleus and arcuate nucleus (486).  In particular, binding of prolactin to its receptor in the medial preoptic nucleus may be important for maternal behavior, as antagonizing prolactin receptors with a specific prolactin receptor antagonist injected directly into the preoptic area delays the onset of material behavior (487).  In addition, inhibition of pulsatile gonadotropin secretion associated with lactation may be at least partly mediated by the effects of prolactin on GnRH neurons in this region (477), although recent evidence for suckling-induced inhibition of kisspeptin gene expression in arcuate nucleus neurons may also be contributory (488.489).

 

Suckling also results in a marked increase in NPY gene expression in arcuate nucleus neurons (490,491), mediated both by neuronal afferents relayed from the brainstem and by the fall in circulating levels of leptin brought about by negative energy balance resulting from milk production (492).  As described above (see C. Appetite and Satiety), NPY is a powerful orexigenic substance.  Its increase during suckling, therefore, has been proposed to explain the hyperphagia associated with lactation to meet the energy demands imposed by milk production (492), although other changes are also observed in arcuate nucleus neurons that may contribute to hyperphagic responses including an increase in AGRP gene expression and decrease in POMC and CART mRNAs (493,494), similar to that described above for fasting.  NPY-containing axon terminals of arcuate nucleus origin also richly innervate the medial preoptic region and can be found in close proximity to GnRH neurons (495).  The suckling-induced rise in NPY, therefore, may also contribute to inhibition of reproductive function (494) through direct actions on GnRH neurons by binding to NPY Y5 receptors (496).

 

The other major component of the suckling response is the effect on oxytocin release from the posterior pituitary to allow milk ejection.  While some of the anatomical pathways responsible for this response may parallel with those inducing prolactin secretion, distinct pathways are also likely to exist.  Particularly remarkable about this mechanism is that during suckling, oxytocin neurons on both sides of the hypothalamus in the paraventricular and supraoptic nucleus are synchronized to release oxytocin in a pulsatile manner throughout the suckling stimulus.  This coordinated pattern of release may be regulated by afferent inputs to the oxytocin neurons that include glutamatergic neurons arising in the lateral septum and bed nucleus of the stria terminalis (480).  Anatomic plasticity of the oxytocin neurosecretory system also contributes through reraction of astoglial processes that normally separate oxytocin neurons, allowing for increased somatic appositions (497).  Local release of oxytocin from somata and dendrites (intranuclear release) in response to suckling may also contribute by modulating the effect of neurotransmitters, increasing oxytocin gene expression and through local effects on astroglia to promote somatic appositions (480).

 

The circuitry involved in the coordinated responses to suckling is illustrated in Fig. 38.

 

Figure 38. Schematic drawing of the major pathways involved in lactation. Suckling leads to neurogenic responses mediated through the medulla to inhibit dopamine secretion in arcuate nucleus (ARC) neurons and stimulate oxytocin (OXY) secretion in paraventricular (PVN) neurons. Prolactin and oxytocin exert effects on the breast, but prolactin also gains entry into the CNS to affect maternal behavior and inhibit reproductive function by acting on medial preoptic neurons (mPOA), and further inhibit the secretion of dopamine from ARC neurons. Milk production leads to a fall in circulating levels of leptin causing an increase in NPY and AGRP and inhibition of POMC in ARC neurons. NPY is also increased by neurogenic signals from the brainstem. Inhibitory effects of NPY on GnRH-producing neurons in the mPOA contributes to inhibition of reproductive function. NPY also exerts direct effects on the PVN to induce increase feeding and promote energy conservation.

 

Thermoregulation

 

The hypothalamus is the primary locus for coordinating thermoregulatory information and integrating thermoregulatory responses (498-500).  It continually monitors local brain temperature through temperature sensitive neurons and by utilizing thermoreceptors in the skin, abdominal cavity and spinal cord, and then orchestrates a series of responses to maintain normal, core body temperature by utilizing the autonomic nervous system, altering behavior, and through neuroendocrine responses.  Thyroid hormone is a necessary component for heat regulation since in its absence (myxedema), hypothermia commonly develops.

 

Although thermosensitive neurons can be found throughout the hypothalamus (401), the most important thermoregulatory locus is the preoptic region including neurons in medial and lateral portions of the preoptic nucleus, anterior hypothalamus including the perifornical region, dorsomedial nucleus and nearby regions of the septum.  Although most of the data on the anatomy of thermogenesis arises from work in rodents, evidence that the preoptic/anterior hypothamus is also the critical hypothalamic area for regulating thermogenesis in humans is apparent by functional MRI (502).  Preoptic cooling increases heat production by inducing shivering, or by nonshivering thermogenesis mediated by sympathetic activation of uncoupling protein-1 (UCP-1) in brown adipose tissue that allows mitochondria to generate heat from ATP, and by increasing intermediary metabolism in muscle and other parenchymal organs.  In addition, cooling induces heat retention responses by cutaneous vasoconstriction and redirecting blood flow from cutaneous to deep vascular beds, results in behavioral responses (seek warmer environment, put on more cloths, increase food intake), and in some animal species, increases thyroid thermogenesis by activating the hypothalamic-pituitary-thyroid axis (503).  Conversely, preoptic warming reduces heat production and increases heat loss responses through vasoconstriction, sweating, increased respiration (panting), inhibition of UCP-1 in brown adipose tissue, and specific behavioral responses (501).

 

The recent discovery of substantial amounts of brown adipose tissue are also present in adult humans (504,505) has indicated that like smaller mammals, brown adipose tissue has a similar role in whole body thermogenesis in man.  Just a few grams of brown adipose tissue may be adequate to increase daily energy expenditure in humans by ~20% (506).  Indeed, knowledge of the regulatory circuits and factors that govern thermogenesis in brown adipose tissue (see above section on Appetite and Satiety) has provided insight for the development of innovative molecular and pharmacological approaches to achieve weight loss (507), although still at a preliminary stage.

 

Two types of thermosensitive neurons can be found in the preoptic region, warm sensitive neurons that increase their firing rate when preoptic temperature rises and cold sensitive neurons that increase their firing when preoptic temperature falls (501).  However, the warm sensitive neurons predominate both in cell number and in importance of the regulatory responses for both heat loss and heat production mechanisms.  Thus, lesions involving the preoptic region per se are commonly characterized by abnormalities in heat dissipation and lead to hyperthermia and elevated temperature in brown adipose tissue (502).  Surprisingly, the neurotransmitter/peptide mediators and pathways mediating thermoregulatory responses are not precisely known.  When injected directly into the preoptic area, however, a number of different substances can induce hypothermic or hyperthermic responses (Table 11).  Since thermoregulation involves the coordination of multiple responses that can differ between animal species (i.e., panting in the dog, increased salivation in the rat which can be applied to the fur to enhance evaporative heat loss, sweating in man), it is logical that several different pathways are utilized.  Evidence suggests that efferent pathways governing shivering involve ipsilateral and crossed fibers (508) that traverse the median forebrain bundle to terminate in the posterior hypothalamus, using GABA as a neurotransmitter (509).  The pathway continues caudally through the midbrain, dorsolateral to the red nucleus, and interacts with reticulospinal neurons.  It then proceeds through the reticulospinal tract, to innervate α-motor neurons in the ventral horn of the spinal cord.  Regulation of heat production in brown adipose tissue also proceeds from preoptic neurons through the medial forebrain bundle to hypothalamic nuclear groups involved in autonomic regulation, particularly the PVN, FiDMN and VMN (509).  The PVN has direct efferent projections to preganglionic neurons in the intermediolateral column of the spinal cord which give rise to the sympathetic innervation of brown adipose tissue (510).  Regulation of cutaneous blood flow also proceeds from thermosensitive neurons in the preoptic region through axons descending in the medial forebrain bundle, but likely relayed to neurons in ventrolateral portions of the midbrain periaqueductal gray (PAG) before proceeding to sympathetic preganglionic neurons in the spinal cord.  PAG neurons show strong c-fos induction following unilateral preoptic region heating (511) and induce cutaneous vasodilatation when stimulated (512).  Preoptic warming also inhibits vasoconstrictor neurons in the medullary raphe (raphe magnus and pallidus) (513) that have projections directly to preganglionic sympathetic neurons in the intermediolateral column of the spinal cord (514).   Pathways mediating behavioral changes associated with thermoregulation are unknown.

 

Table 11.  Substances That Exert Thermoregulatory Effects in the CNS

HYPOTHERMIC

HYPERTHERMIC

ACETYLCHOLINE                                        

ANGIOTENSIN II                                           

CCK                                                               

DOPAMINE                                                    

ESTROGEN                                                    

α-MSH                                                            

NEUROTENSIN                                             

NOREPINEPHRINE

OPIOID PEPTIDES

SOMATOSTATIN

SUBSTANCE P

VASOPRESSIN

CRH

GABA

OPIOID PEPTIDES

PROGESTERONE

PROSTAGLANDINS

SEROTONIN

TRH

 

 

While it is clear that the transient receptor potential ion channels, including TRP vanilloid 1 (TRPV1), TRPV3, TRPV4, and TRPV8, are involved as heat receptors in the periphery (515), it remains controversial whether these receptors contribute to thermoregulatory responses at the level of the preoptic nucleus (516).  TRPV1 mRNA is present in the hypothalamus, and administration of capsaicin, a ligand for TRPV1, directly into the preoptic hypothalamus induces hypothermic responses, suggesting activation of warm-sensitive neurons (517,518).  Nevertheless, mice deficient in TRPV1 show normal thermoregulation when placed in a warm environment (519), raising questions about the physiologic importance of TRPV1 in central thermoregulatory responses.   Recently, however, melastatin type 2 ion channels (TRPM2) have been identified in the preoptic nucleus that when selectively activated or inhibited results in profound hypothermia or hyperthermia, respectively (520).  In addition, transgenic animals deficient in TRPM2 have an exaggerated fever response.

 

Under normal circumstances, there is a diurnal variation of body temperature, highest in late afternoon and early evening and lowest in morning upon arising.  The hypothalamic suprachiasmatic nucleus controls this rhythm, and would appear to do so through direct projections to the dorsal portion of the subparaventricular zone, a region just ventral to the PVN (see F. Circadian Rhythmicity).  Thus, bilateral focal lesions in the dorsal subparaventricular zone disrupts the circadian variation of body temperature, whereas bilateral lesions of the PVN, itself, is without effect (521).  Since the subparaventricular zone has prominent projections to the preoptic area (522), it is presumed that the suprachiasmatic nucleus relays information to thermosensitive neurons in the preoptic region by a multisynaptic pathway involving the subparaventricular zone (521).  However, the precise targets in the preoptic region from subparaventricular zone neurons have not yet been identified.

 

The set point for temperature regulation is also sensitive to circulating levels of sex steroids, with core body temperature falling just prior to the midcycle surge in women and rising during the luteal phase (523,524).  Estrogen, itself, would appear to be responsible for the fall in temperature in the late follicular phase by increasing the firing rate of preoptic warm sensitive neurons (525), whereas progesterone increases temperature in the luteal phase by decreasing the firing rate of preoptic warm sensitive neurons and, perhaps, increasing the firing rate of cold sensitive neurons (526).  Both steroids readily pass the blood-brain barrier and thereby are presumed to act directly on thermosensitive neurons in the preoptic nucleus (527).  Not unexpectedly, therefore, the lack of estrogen in the postmenopausal period gives rise to altered thermoregulatory responses (hot flashes) that occurs in over 80% of this group, and can be readily reversed by the administration of estrogen.  It has been proposed that in the absence of estrogen, the sensitivity of warm sensitive neurons to even small increases in body temperature are increased (528). Along these lines, it is of interest that in one study, the frequency of hot flashes was greatest during the afternoon and evening when body temperature normally rises under the influence of the suprachiasmatic nucleus circadian pacemaker (529).  The therapeutic response of some women with postmenopausal hot flashes to clonidine (530), an α2-adrenergic agonist, would indicate that catecholamines also participate in the heat loss responses.  Recent evidence, however, points to neurokinin B derived from kisspeptin (KNDy) neurons as having an important role. Kisspeptin neurons project to thermosensitive preoptic neurons that express neurokinin 3 receptors (NK3R), and when a NK3R agonist is administered into the proeptic area or neurokinin administered peripherally to human subjects, heat dissipation responses are observed (531,532).  Conversely, administration of an oral NK3R antagonist to postmenopausal women reduces the frequency and severity of hot flashes (533, 534).

 

A number of other substances have also been shown to modulate thermoregulatory responses, with thyroid hormone being one of the best studied examples and eluded to above.  Thyroid hormone is essential to sustain the effect of sympathetic activation of brown adipose tissue to produce heat.  Norepinephrine increases type 2 iodothyronine deiodinase in brown adipose tissue, which by converting T4 to T3 increases UCP-1 in mitochondria to convert stored energy into heat.  Although best known for its effects on arousal, orexin-A also is involved in the regulation of body temperature through effects on brown adipose tissue thermogenesis by increasing sympathetic activity and may explain dysregulation of thermogenesis in individuals with narcolepsy (535).  A role for prostaglandins in the febrile response associated with infection is discussed below.

 

Under certain circumstances, there is an adaptive advantage to elevate body temperature beyond the normal physiologic range that is highly conserved among animal species.  Such is the situation during infection, when fever is a necessary response to facilitate recovery by improving the efficiency of immune cells and impairing replication of microorganisms (536,537).  This homeostatic response is achieved by altering the thermoregulatory set point in medial preoptic neurons, but through a different mechanism than described above.  Under these circumstances, it is proposed that circulating endotoxin and proinflammatory cytokines interact with specific receptors on vascular endothelial cells and/or subendothelial microglia in the OVLT, resulting in activation of cyclooxygenase and production of PGE2 (538.539).  PGE2 released into the surrounding tissue binds to neighboring warm sensitive neurons in the median preoptic nucleus that express EP3 prostaglandin receptors (540), which by reducing GABAergic inhibition of thermogenic neurons in the hypothalamic paraventricular and dorsomedial nuclei and/or brainstem rostral ventromedial medulla (rMR, comprised of serotonergic neurons in the raphe pallidus and magnus, sympathetic premotor neurons), influence sympathetic preganglionic neurons in the spinal intermediolateral cell column that contribute to the generation of fever, cutaneous vasomotion, tachycardia and shivering (515, 541, 542).  The proposed mechanism is schematized in Fig 39.

 

Figure 39. Simplified diagram of major loci and pathways of the temperature control center. DH=dorsal horn, DMV=dorsomedial hypothalamus, IML=intermediolateral cell column, LPBN=lateral parabrachial nucleus, POA=preoptic area, PVN=paraventricular nucleus, rRPa=rostral raphe pallidus, VH=ventral horn. (Adapted from Roth J and Blasties CM, Mechanisms of fever production and lysis: Lessons from experimental LPS fever, Comp Physio 2014;4:1563-1604, 2014 and Lechan RM, Neuroendocrinology, in Williams Textbook of Endocrinology, 14th Edition, Hypothalamus and Pituitary, Ch 7, S. Melmed, R Auch us, A gold fine, RJ Koenig, C Fose, Eds, Elsevier, 2019.)

Blasties et al (543) suggest an alternative mechanism for fever induction in which PGE2 release into the preoptic region is mediated by norepinephrine, arising in noradrenergic (A2 cell group) neurons in the ventrolateral medulla.  This is based on the observation that in guinea pigs, the intra-preoptic microdialysis of α2-receptor antagonists potentiate the febrile response to LPS (544).   The mechanism proposed involves activation of hepatic branches of the vagus nerve by mediators (possibly PGE2) produced by liver Kupffer cells following the systemic administration of LPS.  Vagal afferent signals are then carried to the nucleus tractus solitarius in the brainstem, and after projecting to noradrenergic neurons in the ventrolateral medulla (A2), ascend in the ventral noradrenergic pathway and medial forebrain bundle to terminate in the preoptic region.  Ek et al (544) have also demonstrated in the rat that the intravenous administration of interleukin-1 is capable of activating vagal sensory neurons in the nodose ganglion and can be attenuated by inhibitors of prostaglandin synthesis.

 

In addition to inducing fever, endotoxin simultaneously activates an endogenous, counterregulatory, antipyretic response, to prevent body temperature from rising too severely.  This is largely achieved by stimulating the hypothalamic-pituitary-adrenal axis (see above) that exerts a dampening effect on the cytokine response, but more specifically by the direct antipyretic actions of α-MSH within the CNS (545).  The latter situation occurs only in association with cytokine activation, as α-MSH has no effect on temperature regulation in the absence of fever (545,546).  Alpha-MSH arises from the neuronal population in the hypothalamic arcuate nucleus (288), and while it is unknown precisely where α-MSH exerts its actions, the preoptic region including the VMPO is heavily innervated by axon terminals containing -MSH, suggesting a direct effect on thermosensitive neurons (547).  Alpha-MSH is also contained in axons that heavily innervate autonomic regulatory neurons in the parvocellular PVN and the hypothalamic DMN, providing an alternative route for regulatory control over vasomotor responses and heat generation.

   

Circadian Rhythmicity

 

Circadian rhythms are genetically determined, cyclic modifications of specific physiological functions and behaviors, generated through endogenous mechanisms in nearly all living organisms (548,549).  The basic organization of the circadian timing system includes an endogenous rhythm generator or pacemaker (also called endogenous clock or zeitgeber), a light-dark receptive system to entrain the endogenous clock to the time of day mediated by retinal photoreceptors (mainly cones) and visual pathways (retinohypothalamic pathway), and an efferent neural system coupling the pacemaker activity with effector systems in the brain that give rise to specific physiological functions and behaviors (548,549).  The master clock in mammals is the hypothalamic suprachiasmatic nucleus (SCN), a small, paired nucleus embedded in the dorsal surface of the optic chiasm.  Contained within this nucleus are multiple, small neurons that produce autonomous, self-sustaining oscillations synchronously firing to generate a common rhythmic output, perhaps mediated by the local release of GABA (550,551).  If the SCN is lesioned bilaterally, “free-running circadian rhythmicity” is produced, characterized by disruption of the sleep-wake cycle and loss of predictable daily oscillations in feeding, drinking, melatonin secretion and the secretion of some anterior pituitary hormones (552,553). Normal rhythmicity can be restored if the SCN is transplanted back into the lesioned animals (554).

 

Molecular mechanisms for the endogenous pacemaker activity of SCN neurons have been attributed to clock genes that include period (per), Clock, Cryptochrome (Cry), and Bmal (548,549).  Circadian oscillations in a number of other gene products mediated by microRNA (miR) have also been described in other tissues such as the liver (miR-122), retina (miR-26) and brain circuitries involved in locomotion (miR279) without any requirement for miRNA rhythmicity.  Presumably this mechanism involves translational regulation of clock protein mRNA by miR accumulation, and/or functional heterogeneity of miRNA species in a single, constitutively expressed miR population (555).  In addition, beyond transcriptional-translational feed-back loops occurring intracellularly, increasing evidence suggests that timekeeping mechanisms can be also controlled through non-transcriptional oscillators (NTO).  Examples of NTO in mammals are the redox based rhythms in post-translational modification of the antioxidant peroxiredoxin (PRX) proteins found in mouse liver and human red blood cells, suggesting that NTO can be coupled to classical transcriptional-translational feedback loops to regulate circadian rhythmicity (556).

 

Two different subdivisions of the SCN have been described, a ventrolateral and dorsomedial subdivision (548).  The ventrolateral subdivision or “core”, receives the major input to the SCN, including a massive projection of pituitary adenyl cyclase-activating peptide (PACAP)- and nitric oxide (NO)-containing axons from the retinohypothalamic pathway, GABA- and NPY-containing axonal projections from the intergeniculate leaflet of the thalamus, and serotonin neurons from the midbrain raphe (548,549).  These inputs have an important role in modulating the endogenous rhythms of the individual SCN pacemaker cells during the day / night alternance and as a result of changes in locomotor activity (557).  The dorsomedial subdivision or “shell”, primarily serves as the field for afferent information coming from the limbic system (hippocampus, bed nucleus of the stria terminalis, septum) and the hypothalamus, itself.  It is likely that through these inputs, cognitive and emotional information may exert phase-shifting effects on SCN pacemaker activity (528).  Both subdivisions are composed of a heterogeneous population of immunocytochemically distinct neurons.  The ventrolateral SCN contains neurons that express vasoactive intestinal polypeptide (VIP), gastric-releasing peptide and GABA (558).  The VIP-containing population seems to play a role in coordinating the different SCN neuronal groups involved in entraining different cyclic activities, thus ensuring intra-SCN synchrony (548).  Dorsomedial neurons express arginine vasopressin (AVP), angiotensin II, somatostatin, GABA (548) and prokineticin 2 (PK2) (559).  PK2 neurons have a distribution similar to AVP cells, and would be active during the light phase to favor locomotor patterns and thermoregulation, whereas they would remain silent at night (560).  However, while ventrolateral subdivision neurons receive light information, most of these neurons do not produce rhythmic patterns (561).  In contrast, the dorsomedial subdivision does contain rhythmic neurons, particularly apparent for AVP-producing neurons in which the peptide peaks during the day and is lowest at night (562).  This rhythmic pattern is partly secondary to the presence of binding sites for clock genes in the AVP promoter region (563), but also dependent upon synaptic transmission from other SCN neurons (564), perhaps those in the ventrolateral subdivision through intra-SCN connections (565) where VIP-containing cells are the best candidates (559).

 

The SCN has massive projections to three major regions of the diencephalon.  The most important is the hypothalamic subparaventricular zone (SPVZ).  Projections from the dorsal SPVZ reach the medial preoptic hypothalamus and are involved in the regulation of body temperature set-point and food-dependent energy intake (558).  In contrast, projections from the ventral SPVZ heavily innervate the hypothalamic dorsomedial nucleus and, to lesser extent, the midline thalamus, midbrain reticular formation and basal forebrain.  These outputs entrain photic stimuli with changes in food intake, rest/locomotion behavior, sleep-wake phases and pituitary hormone secretions. The second major projection is a GABAergic fiber tract to the hypothalamic PVN, and is primarily related to the secretion of melatonin from the pineal gland (558,566,567) by way of a multisynaptic pathway involving dorsal parvocellular neurons in the PVN, preganglionic cholinergic neurons in the intermediolateral cell column of the spinal cord, and postganglionic noradrenergic neurons in the superior cervical ganglion (567,568).  Melatonin is of importance as a humoral signal that feeds back on the SCN through melatonin receptors expressed in this nucleus, to facilitate sleep onset by communicating information concerning initiation and length of the dark phase (450,452). In addition, it regulates immune function, is of particular importance for reproductive activity in animals with seasonal breeding patterns (569,570), and participates in accommodating pituitary function with the shift to torpor in hibernators (571,572).  In homeothermic mammals, melatonin has been implicated in the inhibition of pituitary TSH biosynthesis at night (559).  A direct projection to the PVN may also mediate the day / night shift of anterior pituitary hormone secretion.  In rats, the SCN inhibits hypophysiotrophic CRH release through excitatory AVP outputs impinging onto GABAergic PVN interneurons.  In contrast, through direct SCN AVP outputs to tuberoinfundibular CRH cells (and possibly glutammateric inputs), release of CRH is triggered just before awaking, establishing circadian oscillation in the ACTH-glucocorticoid axis.  At the same time, autonomic PVN neurons are activated to stimulate the downstream, spinal, sympathetic outflow to the adrenal gland, resulting in increased ACTH sensitivity of the zona fasciculata (573,574).  However, circadian oscillations in CRH, ACTH and glucocorticoid release can also be regulated by the endogenous clock genes, per1, per2 and Bmal1, that exhibit antiphasic patterns in the PVN and adrenal cortex with respect to the pituitary corticotrophes.  The expression of these three, clock genes, in fact, can be differentially influenced by restricted feeding, acting as a metabolic effector independent of SCN outputs (575).  Similar to the sympathetic projections to the adrenal, the thyroid gland is also believed to receive an indirect SCN input via PVN neurons, activating sympathetic spinal outflow that would contribute to circadian regulation of thyroid hormone secretion (559).  A third major projection is directed to the medial and lateral tuberal hypothalamus, primarily the ventromedial nucleus, arcuate nucleus and lateral hypothalamic area.  These fibers are believed to influence the regulation of the neuroendocrine tuberoinfundibular and neurohypophysial secretions.  Figure 40 schematically depicts an integrated view of the mammalian circadian timing system and the main physiological functions and behaviors it controls.

Figure 40. Schematic drawing showing an integrated view of the mammalian circadian timing system and the main neuroendocrine responses, physiological functions and behaviors under its control. AII = angiotensin II; APv = anterior periventricular nucleus of the hypothalamus; AVP = arginine vasopressin; BNST = bed nucleus of the stria terminalis; CAL = calretinin; ENK = enkephalin; GABA = aminobutyric acid; GRP = gastrin-releasing peptide; GLU = glutamic acid; 5-HT = 5-hydroxytryptamine or serotonin; HYP = hypothalamus, IGL = intergeniculate leaflet; NO = nitric oxide; NPY = neuropeptide Y; PACAP = pituitary adenylyl cyclase-activating peptide; PK2= prokineticin 2; PTA = pretectal area; PVN = hypothalamic paraventricular nucleus; rht = retinohypothalamic tract; SCN = suprachiasmatic nucleus; SP = substance P; SPVZ = hypothalamic subparaventricular zone; SRIF = somatostatin; VIP = vasoactive intestinal polypeptide.

Sleep-Wake Cycle

 

Sleep is a natural state of altered consciousness, easily reversible, self-regulating and characterized by a stereotypic posture, decrease in voluntary motor activity and increase in arousal threshold.  In mammals and man, sleep periods are cyclically coupled to periods of wakefulness, giving rise to a circadian sleep-wake cycle.  Electrophysiologically, sleep is characterized by a progressively slower, higher voltage, and more synchronized electrical activity of the cortex (alpha waves – stage 1, spindle and k-complexes – stage 2, delta waves – stages 3 and 4) as opposed to wakefulness where fast, low voltage, and desynchronized electrical activity prevails (beta waves).  Only relatively brief times are spent in sleep-wake transitions.  Episodes of partial arousal without wakefulness occur during sleep, and are characterized by desynchronized electrical cortical activity resembling the EEG pattern of wakefulness and the initial sleep phase (theta waves).  This arousal is coupled to rapid eye movements (REM) and loss of muscle tone (except for respiratory and inner ear muscles).  In contrast, non-REM or NREM sleep is devoid of involuntary eye movements and muscle tone resumes, leading to deep sleep (576).

 

The basic neural organization of the sleep-wake cycle relies on two adjacent areas of the neuraxis, the diencephalon-basal forebrain and the mid-rostral brainstem, collectively expressing two, stable, firing states to produce either rest or arousal, with a tendency to avoid intermediate conditions (flip-flop switch).  In this manner, inappropriate behavioral fluctuations that might endanger survival are avoided, favoring discrete and rapid changes between sleep and waking profiles (or between REM and NREM sleep) above a background of slow and continuous variations in circadian and homeostatic inputs (either photic or non-photic autonomic, endocrine-metabolic and immune stimuli) (576,577).

 

The neural structures participating in this flip-flop switch establish reciprocal, feedback circuitries and can be classified as sleep- and wakefulness-promoting centers, the latter including specific cell groups that trigger and shut off the REM arousal state during sleep.  The primary sleep center is localized in the preoptic hypothalamus, and involves GABA- and galanin-containing neurons in the ventrolateral preoptic nucleus or VLPO (578).  A secondary sleep center is located in the midline thalamus (visceral or limbic thalamus), primarily in the dorsomedial (579) and reticular (580) thalamic nuclei. 

 

Wakefulness centers are numerous and in large part belong to the ascending reticular activating system of Moruzzi and Magoun (581).  This system can be subdivided in two different components, including monoaminergic and cholinergic cell groups in the pontine and mesencephalic (or limbic midbrain area) reticular formation.  The monoaminergic neurons comprise the noradrenergic locus coeruleus (LC), the serotoninergic median and dorsal raphe (DR) and parabrachial nucleus (PBN) (including some neurons that co-contain glutamage), and the dopaminergic ventral periaqueductal grey (vPAG) in the tegmentum of the mesencephalon. The cholinergic neurons are located in the pontine tegmentum, specifically in the laterodorsal (LDT) and peduncolopontine tegmental (PPT) nuclei, respectively.  In addition to pontine and mesencephalic reticular nuclei, wakefulness centers also involve histaminergic neurons in the posterior hypothalamus (tuberomammillary nucleus or TMN), peptidergic cell groups (orexin/hypocretin and melanin-concentrating hormone or MCH) in lateral hypothalamic area (LHA)/perifornical area (PF), and cholinergic and GABAergic magnocellular neurons in the basal forebrain (nucleus basalis of Maynert in the substantia innominata, magnocellular preoptic nucleus, medial septal nucleus, nucleus of the diagonal band of Broca) (572).

 

Axons from the primary sleep center (VLPO) travel caudally towards the wakefulness centers of the posterior hypothalamus (TMN) and ponto-mesencephalic reticular formation (LC, DR) via the medial forebrain bundle (MFB) (582).  Their cells of origin can be traced primarily to the VLPO core (VLPOc), but also extend to the periphery of this nuclear group (VLPOex) that innervate the LC, DR and mesopontine tegmentum (LDT and PPT).  Synaptic contacts in the LC and DR are primarily established by galanin-containing and to a lesser extent, GABAergic VPLO inputs (583-586).  VPLO synaptic contacts in the LDT and PPT are made with interneurons, likely disinhibiting inhibitory influences originating in TMN, LC and DR.  The signals are then directed to the principal cholinergic cells of the mesopontine tegmentum (557,558).

 

Fibers from the secondary sleep center (thalamic DM and reticular nuclei) course either in the periventricular system or in the MFB (thalamic peduncle of the ansa peduncolaris) to reach the periventricular and lateral preoptic hypothalamus (582) and mesopontine tegmental nuclei (588), respectively. Some of these axons contain glutamate and may enter the corona radiata to innervate the prefrontal cortex, that reproject back to the lateral hypothalamus (588).

 

Axons from the wakefulness cell groups (ponto-mesencephalic, hypothalamic and telencephalic) enter the MFB and travel rostrally through 2 pathways.  The first is through a dorsal route, mainly provided by cholinergic mesopontine tegmental nuclei (LDT and PPT) and, to a lesser extent, by cholinergic and GABAergic basal forebrain neurons.  Axons innervate primarily the intralaminar and reticular thalamic nuclei, that diffusely reproject to the cortex.  The second is through a ventral route arising from aminergic/glutamatergic pontine and mesencephalic nuclei (LC, PC, DR-PBN, vPAG), aminergic (histamine) and peptidergic (orexin/hypocretin and MCH) cell groups in the posterior and lateral hypothalamus (TMN and LHA/PF, respectively), as well as by the majority of cholinergic and GABAergic basal forebrain neurons.  These fibers cross the lateral hypothalamus and basal forebrain to reach all cortical areas (576,589).  However, only the PBN and paracoeruleus (PC) glutamateric projections diffusely innervate the magnocellular nuclei in the basal forebrain (590).  Finally, peptidergic (orexin/hypocretin and MCH) neurons in the LHA/PF also enter the MFB to heavily innervate aminergic and cholinergic cell groups in the posterior hypothalamus (TMN), pons-mesencephalon (LC, DR) and pontine tegmentum (LDT, PPT), respectively (564).

 

Initiation of sleep and maintenance of deep sleep are driven by the VLPO, via inhibition of monoaminergic centers in the posterior hypothalamus (TMN) and ponto-mesencephalic reticular formation (primarily LC and DR).  Rodents with excitotoxic lesions of the VLPO show a reduction of NREM sleep that closely correlates with the loss of Fos-immunoreactive neurons in the VLPOc (586,587).  Indeed, pontine and mesencephalic reticular nuclei (including the vPAG) and the cholinergic basal forebrain cells are responsible for electrical brain resynchronization, arousal and the waking state, through their excitatory dorsal- and ventral-projecting axonal pathways to the cortex (591,592).  Specifically, glutamatergic projections from the PBN and PC, mediated by basal forebrain centers, play a key role in maintaining wakefulnees and REM sleep depending on activation or inhibition of the ascending monoaminergic arousal system (590).  Such a possibility is consistent with clinical evidence that in humans, long lasting coma and a persistent vegetative state correlate with hemorrhage in the PBN region (593).  In contrast, reactivation of the PBN-PC complex by lesions of the inhibitory, mesopontine tegmentum, may trigger dream-like states with intense visual experiences in awake subjects at inappropriate times (so called peduncolar hallucinosis), mimicking cortical REM-like behavior in a state of vigilance (594).

      

Orexin/hypocretin cells in the LHA/PF contribute to the waking state by stimulating the posterior hypothalamic (TMN) and ponto-mesencephalic (LC, DR) aminergic waking centers, thus reinforcing cortical arousal.  Excitatory orexin 1 and 2 receptors have been found in all brainstem and basal forebrain wakefulness centers (595,596).  Injection of orexin/hypocretin into these areas increases neuronal firing (597,598), while its administration into the preoptic hypothalamus presynaptically inhibits VLPO excitability (599).  In addition, gene knockout for orexin/hypocretin, mutations in the orexin 2 receptor gene or absence of CSF orexin are associated with narcolepsy in mammals and man (600-602).

 

The VLPO also stimulates cholinergic neurons in the LDT and PPT to induce REM bursts, thus favoring arousal without wakefulness.  In particular, outputs from LDT and PPT (and possibly from part of the basal forebrain cells) are excitatory to thalamic neurons projecting to the cortex.  When the VLPO activates the reticular pontotegmental nuclei, the transthalamic sensory transmission may easily diffuse to the cortical mantle, leading to enhancement of cortical arousal during conditions of synchronized brain activity (NREM to REM shift) (576,591).  Conversely, loss of Fos-immunoreactive neurons in the VLPOex correlates with a reduction in REM sleep episodes (594,595).

 

In contrast, cholinergic neurons in the basal forebrain (medial septum and diagonal band of Broca) are implicated in the generation of specific electrical activity during REM episodes (theta waves) in response to stimulation by brainstem aminergic inputs (603) such as from the PBN-PC complex (590).   Also, MCH neurons in the LHA/PF contribute to the REM sleep by inhibiting the ponto-mesencephalic monoaminergic inputs to the cortex.  This inhibition amplifies arousal without wakefulness (REM phase) mediated by mesopontine tegmental centers (LDT and PPT) (576).  A reciprocal, negative feedback circuitry is established between pontine aminergic cell groups (LC area and tegmental area), leading to episodic switch between NREM and REM phases (605).  Finally, thalamic DM and reticular neurons likely come into play to coordinate either REM or NREM sleep with other behavioral and endocrine regulations (605), as well as to increase arousal threshold by reinforcing the inhibitory action of the VLPO on rostral mesencephalic waking centers (580).  Consistently, excitotoxic lesions of the thalamic DM induce persistent insomnia in cats (606) and its degeneration in humans gives rise to fatal familial insomnia, a disorder characterized by loss of rhythmicity in sleep-wake cycle, body temperature, blood pressure and anterior pituitary secretions (607).  Figure 41 shows a simplified and integrated view of the neural circuitry controlling the mammalian sleep-wake cycle.

Figure 41. Schematic drawing showing a simplified and integrated view of the neural circuitry controlling the mammalian sleep-wake cycle. Different colors highlight the pathways for wakefulness (red and pink), NREM sleep (blue) and REM sleep (green). Continuous lines indicate primary circuitries for initiation of the sleep and waking state, dotted and hatched lines permissive circuitries for different sleep phases (NREM vs REM) and behavioral arousal, mixed colors different patterns of activity of the same center in relation to either sleep phases or wakefulness. Ach = acetylcholine; DA = dopamine; NDBB = nucleus of the diagonal band of Broca; DM = thalamic dorsomedial nucleus; DR = dorsal raphe; GABA =  aminobutyric acid; GAL = galanin; Glut = glutamic acid; His = histamine; 5HT = 5-hydroxytryptamine or serotonin; LC = locus coeruleus; LDT = laterodorsal tegmental nucleus; MCH = melanocortin-concentrating hormone; MPO = magnocellular preoptic nucleus; MSN = medial septal nucleus; NA = noradrenaline; NBM = nucleus basalis of Maynert; ORX = orexin/hypocretin; PBN = parabrachial nucleus; PPT = peduncolopontine tegmental nucleus; Reticular = thalamic reticular nucleus; vPGA = ventral periacqueductal grey; VPLO = hypothalamic ventrolateral preoptic nucleus, VPLOc = VPLO core; VPLOex = VPLO extended; TMN = hypothalamic tuberomammillary nucleus; + = stimulation; - = inhibition

Major regulators of the neural machinery for the sleep-wake cycle are the circadian timing system (CTS), feedback regulation exerted by locomotor activity and sleep-wake cycle itself onto the CTS, and homeostatic mechanisms endogenous to the sleep and wakefulness neural circuitries (sleep homeostat) (576) including the activity of the glymphatic system (212).  The CTS is primarily governed by the hypothalamic suprachiasmatic nucleus (SCN) and its widespread CNS projections, including those that trigger melatonin secretion from the pineal gland (see section F. Circadian Rhythmicity).  In rats, sleep-wake rhythmicity is adaptively coordinated with feeding behavior.  In fact, light sensitive, SCN projections to the ventral subparaventricular zone (608) innervate food-entrainable neurons in the hypothalamic dorsomedial nucleus (608,609) that sends stimulatory glutamate-containing inputs to LHA orexin neurons and inhibitory GABAergic inputs to VLPO neurons (610).  In this manner, photic-dependent stimuli can be integrated with nonphotic stimuli to establish a rest/sleep-locomotion/wakefulness cycle that is ideal for nutritional success (611).  In turn, locomotor activity may feed back onto the SCN by activating NPY-containing outputs in the intergeniculate leaflet of the thalamus and serotoninergic projections in the median raphe nucleus to entrain the sleep-wake cycle with levels of exploratory behavior (612).  In humans, disruption of this locomotor-circadian rhythm circuitry has been implicated as a potential cause for development of cognitive decline and neurodegeneration.  In support, recent evidence in Drosophila shows that stable, long-term memory depends on circadian cycles in rest and activity, leading to impairment in memory consolidation when sleep disruption occurs.  In fact, increased locomotion and waking state results in loss of synaptic remodeling at critical brain sites (613) such as the hypocretin/orexin system in the LHA where the number of synapses oscillates with light and dark phases (614).  In addition, stress has been associated with increased cFos expression in a number of limbic areas (infralimbic cortex, central nucleus of the amygdala, bed nucleus of the stria terminalis) projecting to both activating (VLPO) and inhibiting (LC, TMN) sleep centers.  These inputs may be important for maintaining a waking state during behavioral arousal, such as an emergency occurring during normal sleep. Their activation by anxiety may contribute to stress-induced insomnia (615).  Hyperactivation of corticolimbic sites has also been shown in human subjects with insomnia and might contribute to the excessive high frequency EEG activity seen during NREM sleep, including their sensation of being awake even when the EEG appears to be in NREM, a condition known as “sleep state misperception” (616).

 

Finally, some cellular and molecular mechanisms may serve as an internal homeostat to inhibit aminergic waking centers and activate the VLPO (613,617).  In particular, in conditions of sleep deprivation, rat astrocytes have been found to release adenosine in the perineuronal space of LC and orexigenic LHA/PF to shut off monoaminergic excitatory systems via A1 inhibitory adenosine receptors. This inhibition of noradrenergic arousal mechanisms would also favor activation of the hypothalamic glymphatic flow by increasing the interstial space, and relieving the restraining effect of catecholaminergic inputs to the choroid plexus, resulting in increased CSF production.  Thus, neurotoxic waste products could be more removed, and the brain neurons cleared as during a regular sleep (212). Extraneuronal adenosine may also reduce presynaptic inhibition of VLPO neurons via A2 excitatory adenosine receptors, thereby triggering compensatory sleep (613).

 

This and a number of circulating endocrine, metabolic and immune inputs controlled by the CTS may influence circadian clock genes (576,618) that in turn, influence the sleep-wake cycle.  In particular, knockout mice for Clock, Cry1/Cry2, and Bmal1 in the SCN and related neural pathways show either an increase (Clock) or decrease (Cry and Bmal1) in NREM sleep (619-621).  In rodents, Clock and Bmal1 deactivation also reduces orexin outputs in the LHA, giving rise to a hyperphagic, obese and dysmetabolic phenotype.  Other gene candidates involved in this regulation include REV-Erba1, whose impairment leads to altered locomotor activity in either constant light or darkness, and PGC-1α / PGC-1β, that control metabolic rate in liver and muscle, body temperature and locomotor activity in the dark phase (622).  Collectively, clock gene activation / deactivation phases by the CTS during the sleep-wake cycle may play a key role in regulating synaptic plasticity and metabolic balance.

 

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Fetal and Neonatal Sterol Metabolism

ABSTRACT

 

Cholesterol is critical during the development of embryos, fetuses and neonates to support their growth and development. Cholesterol is a structural component of membranes in every cell, it is involved with numerous signaling events, and it is the precursor for key steroid hormones.  All individuals, either in utero or post-partum, have two sources of cholesterol, endogenous and exogenous. In the embryo and fetus, endogenous cholesterol comes from de novo synthesis and exogenous sources originate in the maternal circulation; maternal cholesterol-carrying lipoproteins are taken up from the maternal circulation by the placenta or yolk sac, processed, and transported across cells to the embryo or fetus. In the neonate, endogenous cholesterol is also synthesized de novo whereas exogenous cholesterol is derived from the diet. Changes in maternal metabolism (diabetes or obesity) or adverse pregnancy outcomes (preterm births or preeclampsia) could lead to altered fetal sterol metabolism. In this review, we will examine fetal and neonatal cholesterol metabolism in complicated and uncomplicated pregnancies. Early identification of neonatal cholesterol abnormalities could identify infants in need of immediate treatments, mostly due to genetic disorders, and infants that could be at long-term risk of metabolic diseases.

 

SOURCES OF FETAL CHOLESTEROL 

 

A significant amount of cholesterol is accrued during gestation.  A newborn that weighs ≈4.5 kg requires ≈12 g of cholesterol with concentrations ranging from ≈2.2 mg cholesterol/g liver and peripheral tissues and ≈8 mg cholesterol/g neuronal tissues [reviewed in (1,2)].  Cholesterol is not only needed to maintain structural integrity but is also required for a variety of signaling events and as precursor of steroid hormones. Signaling that depends on cholesterol is varied, and includes the presence of cholesterol in specific regions of the membranes (lipid rafts) to allow signaling proteins to aggregate and bind specific scaffold proteins and to form endosomes (3-7), the formation of unique covalent bonds between cholesterol and Hedgehog (HH) and Smoothened (8,9), and the conversion of cholesterol to active oxysterols (10,11). The fetus has two sources of cholesterol, that synthesized de novo and that obtained from the maternal circulation. 

 

Sterol Synthesis 

 

Sterol synthesis rates are much greater in the fetus than in the adult in several species (2,12-16), including humans (2).  Rates are high enough to account for a significant proportion of the fetal cholesterol in rodents (12,17-19).  Synthesis rates vary between different fetal tissues and is greatest in the liver early in gestation.  As gestation progresses, hepatic synthesis decreases to rates similar to other tissues by late in gestation (13).  While the brain has the greatest cholesterol concentration, synthesis rates are not extremely elevated as cholesterol is turned over at very low rates in the brain (1). 

 

Sterol biosynthesis is regulated at several different steps in the biosynthetic pathway primarily by the processing of transcription factor sterol regulatory element-binding protein-2 (SREBP-2) to the mature form. When cellular cholesterol concentrations are elevated in adult tissues, sterol synthesis rates and mature SREBP-2 levels are decreased (14,20). In contrast, when cellular cholesterol concentrations are elevated in the fetus, sterol synthesis rates are suppressed only marginally and mature SREBP-2 levels do not decrease (14), suggesting constitutive processing of SREBP, and higher synthesis rates in the fetus. This same lack of regulation in fetal tissues was found when fetal hepatocytes were treated with lipoprotein-cholesterol (21) and when fetuses were exposed to polyunsaturated fatty acids in vivo (22). Interestingly, sterol synthesis rates can be stimulated in vitro by hormones synthesized by the placenta, including estrogens and progesterone, possibly to ensure that essential lipids are abundantly present (23). 

 

Maternally-Derived Cholesterol

 

The second source of fetal cholesterol originates in the maternal circulation. Several lines of evidence support the presence of maternally-derived cholesterol in the fetal circulation. First, while there is no correlation between maternal and newborn cholesterol concentrations in term or late preterm infants, there is a direct relationship between maternal and fetal plasma cholesterol concentrations early in gestation (24).  Second, correlations between maternal and fetal concentrations occur when maternal plasma concentrations are correlated to fetal arterial and not fetal venous plasma concentrations (25). Third, fetuses of mothers with higher plasma cholesterol levels have increased intimal plaque (24).  Fourth, there are significant amounts of plant sterols in the newborn circulation, 40-50% of that found in the maternal circulation (26).  As these sterols are only obtained from the diet of the mother, they must cross the placental barrier. Fifth, fetuses lacking the ability to synthesize cholesterol due to a null/null mutation in one of the enzymes of the cholesterol biosynthetic pathway, such as dehydrocholesterol-7 reductase, have measurable, though low, amounts of cholesterol at birth (27,28).  Finally, using a 4-vessel sampling method in pregnant women, researchers measured substantial uptake of cholesterol by the fetus with more maternal HDL-C being taken up by the fetus vs maternal LDL-C (29). 

 

The route by which maternally-derived cholesterol is delivered to the fetus differs as the maternal-fetal interface changes during gestation (see Figure 1).  Very early in gestation (≈first 5 weeks), endocrine gland secretions containing maternally-derived cholesterol as lipid droplets bathe the blastocyst as they invade the uterine wall and are the main source of maternally-derived lipids, and overall histotrophic nutrition (30).  As gestation progresses (≈5th to ≈10th week of gestation), the newly formed secondary yolk sac of the embryo floats in the nutrient-rich exocoleom cavity (31) (Fig. 1A).  Nutrition at this stage is still primarily histotrophic and consists primarily of lipid-containing secretions from uterine glands and possibly some maternal lipoproteins from maternal blood which has seeped into the exocoleomic cavity (30). The human yolk sacs are not inverted, as they are in rodents, such that the highly absorptive apical side of the yolk sac faces inward (30-32), and the lipids would need to enter the yolk sac cavity via lipoprotein or endocytic receptors or other carriers (33-36).  Once taken up, the cholesterol from the lipids or lipoproteins (37) are repackaged into nascent lipoproteins (34,38,39), which are secreted into the vitelline duct artery which is integrated into the midgut of the embryo (30,31,40).  In rodents, an inability to form lipoproteins in the yolk sac is lethal (41).

Figure 1. Scheme of the sources of cholesterol from different times of gestation. A. From about 5-10 weeks of gestation, the primary source of nutrition for the embryo/fetus is from uterine gland secretions in the form of lipid droplets (dark blue circles). There is a small amount of maternal lipoproteins (green and orange circles) that is also present in the exocoleum cavity from leakage from spiral arteries. The lipids diffuse into the yolk sac cavity and are taken up by the apical side of the yolk sac’s endoderm cells via receptor- and receptor-independent mechanisms. The cholesterol is released from other components in lysosomes and repackaged into APOB-containing lipoproteins (and perhaps other lipoproteins) and secreted into the vitteline vessels which combine with the fetal circulation in the mid-gut. B. From 10 weeks of gestation to parturition, the fetus obtains its cholesterol from the maternal circulation in the placenta. The maternal cholesterol-carrying lipoproteins are taken up by the apical side of multi-nucleated syncytialized trophoblasts, is released from other components of the lipoproteins in lysosomes, and transported to the basolateral side of the trophoblasts. The cholesterol exits the trophoblasts to the stroma or cells within the stroma, is taken up by the fetal endothelial cells, is processed or transported to the opposite side where the cholesterol exits the cells. The routes of exit from the trophoblasts or endothelial cells are discussed in Figure 2.

As gestation progresses to the second and third trimesters, nutrition becomes hemotrophic meaning nutrition is obtained from maternal blood.  Early in gestation, the placenta does not transport nutrients as the spiral arteries that supply the placenta with maternal lipoprotein-containing blood are “plugged” by extravillous trophoblasts, blocking maternal blood from entering placental spaces that surround the trophoblasts (reviewed in (42,43)).  At about 10 weeks of gestation, the “plugs” disintegrate, allowing maternal blood to enter the intervillous spaces of the placenta, directly bathing the syncytialized trophoblasts (Fig. 1B); the syncytiotrophoblasts of the placenta are polarized and take up nutrients from the maternal circulation from its apical side. The maternal blood within the intervillous space that bathes the trophoblasts exchanges 3-4 times each minute, making this an excellent source of nutrients.  The maternally-derived lipoproteins are taken up via receptor-independent and receptor-dependent processes, including the LDL receptor, the VLDL receptor, the class A scavenger receptor, the LDL receptor-related protein (LRP), the APOE receptor 2, megalin, cubilin, and the scavenger receptor class B type I (SR-BI) (35,42).  The sterol-containing lipoproteins are then transported to lysosomes where the sterol is released from lipoproteins via numerous lysosomal hydrolases and transported to the basolateral side of the trophoblasts by carrier and transport proteins (37).  On the basolateral (fetal-facing) side of trophoblasts, the sterols exit the trophoblasts into the stroma, are subsequently taken up by and cross fetal endothelial cells, and ultimately exit these cells and enter the fetal circulation. It also is possible that the LDL or HDL are transcytosed across trophoblasts and endothelial cells as whole particles (44,45).  

 

There are several routes by which cholesterol can exit the basolateral side of trophoblasts and fetal endothelial cells (Figure 2), including secretion of particles and efflux of sterol to acceptors.  Both processes can be regulated at several points.  First, human placentas and cultured cells secrete newly synthesized APOB-containing lipoproteins (46,47) and APOA1 and APOE (48).  As in other cells that secrete lipoproteins (hepatocytes and enterocytes), cellular cholesterol can drive lipoprotein-cholesterol secretion from trophoblasts (49).  It is likely that other substrates would increase lipoprotein secretion from these cells.  Estradiol, which is elevated during pregnancy, also increases secretion of nascent APOB-containing lipoproteins from cultured trophoblasts (47).  Second, cholesterol can be effluxed from cells by either aqueous diffusion or by ATP binding cassette subfamily A member 1 (ABCA1), ABCG1, or SR-BI, all proteins which are expressed in trophoblasts (42,50).  Regulation of efflux occurs at the level of cellular proteins that mediate efflux, including SR-BI, ABCA1, and ABCG1 (50-54), and by the level and type of acceptor in the circulation (55).  The regulatory protein, liver X receptor (LXR), is a key mediator of ABCA1 and ABCG1 (56) (57). The levels of LXR are enhanced by oxysterols (58).  Thus, changes in cellular oxysterols can enhance efflux via ABCA1/G1 (see Adverse pregnancy outcomes).  The movement of cholesterol by SR-BI is regulated by cholesterol concentrations and phospholipids in the cells and in the accepting HDL (59).  The expression of SR-BI also is regulated by a number of factors, including cellular sterol levels (60).  Efflux is not only regulated by the proteins that enhance efflux, but also by the type and concentration of acceptors in endothelial spaces and circulation, with the amount of lipid-poor APOE or APOA1 and the composition of HDL being important.  For example, we found that lipid-poor HDL from a fetus with the Smith-Lemli-Opitz Syndrome (SLOS) that is unable to synthesize cholesterol is a better acceptor of trophoblast cholesterol than a non-SLOS fetal HDL (61).  Likewise, when HDL was changed to a better sterol-accepting particle by the phospholipid transfer protein, efflux from endothelial cells increased (62,63).  One other aspect of HDL which affects efflux is the proteome (64-66). Fetal HDL does contain more APOE than adult HDL, less cholesteryl ester transfer protein (CETP), and equal lecithin cholesteryl acyl transferase (LCAT),a combination of proteins which support a larger particle that can efflux more cholesterol via SR-BI and ABCG1 and can’t obtain cholesterol from other lipoproteins via CETP (67). 

 

Figure 2. Routes of exit of cholesterol from trophoblasts and fetal endothelial cells. Cholesterol exits these cells by being effluxed out of cells to acceptors in the plasma or by being secreted. There are several routes for efflux to occur, and all proteins involved have been found in the cell types listed; aqueous diffusion to acceptors (with lipid-poor acceptors being most efficient), SR-BI mediated, ABCG1-mediated, and ABCA1-mediated. In trophoblasts, studies have shown that cells can secrete lipoproteins and apolipoproteins which will carry sterols to the circulation as they exit the cell. Finally, exosomes carry cholesterol as they exit cells.

FETAL LIPOPROTEIN CHOLESTEROL CONCENTRATIONS AND COMPOSITION 

 

The functions of lipoproteins are to transport lipids through the plasma since cholesterol, and other lipids, are lipophilic and therefore not water soluble. The two lipoproteins that carry most of the circulating cholesterol are low-density lipoprotein (LDL) and high-density lipoprotein (HDL), with lower amounts being carried as very low-density lipoproteins (VLDL).  According to the National Health and Nutrition Examination Survey (NHANES), adults with an average age of 49±18 years have an average total cholesterol concentration of 193±42 mg/dl.  A majority of the plasma cholesterol in adults is carried as LDL (115±35 mg/dl) with HDL carrying less cholesterol (53±15 mg/dl), making an average LDL-C/HDL-C ratio in adults of 2.17 (68).  In contrast, plasma total cholesterol concentrations range from 51.4-96.8 mg/dl in term infants (69-80).  A greater proportion of cholesterol is carried as HDL (22.1-44.9 mg/dl) versus LDL (22.0-44.9 mg/dl) in the fetus compared to the adult leading to a ratio of LDL-C/HDL-C of 0.56-1.55 in the fetus/newborn, with an average ratio of 0.99 in term infants (69,71-76,79,81). 

 

Fetal plasma cholesterol concentrations are not constant throughout gestation, and most studies show concentrations to decrease as gestation progresses (75,82-84).  The biggest decreases appear to occur with LDL-C, possibly due to increased uptake of LDL by enhanced hepatic LDL receptor activity late in gestation (85).  Decreases are detected even when only term infants are compared by gestational ages, and decrease from ratios of 1.61 at 37-38 weeks of gestation to 1.27 at 41-42 weeks of gestation (83).  Not all studies measure a decrease in fetal plasma cholesterol with gestational age, such as a study in Korea (86), possibly due to the location of the study since most other studies were in resource-rich settings. 

 

Lipoproteins (HDL, LDL, VLDL) are not comprised of just one size and type of particle, but are comprised of a spectrum of sizes (subfractions) and subspecies that carry different proteins and have different functions (64-66).  This is especially true for HDL particles as over 250 distinct proteins have been associated with HDL with different combinations of protein leading to a myriad of functions (64-66,87).  Not surprisingly, fetal vs adult lipoproteins differ in composition and subfraction concentrations as well as total lipoprotein-cholesterol concentrations.  For example, fetal HDL particles are larger than adult HDL particles (88-90) and, small-dense LDL particles are more abundant in fetal compared to adult circulations (91).  In adults, the proteins carried by HDL are involved in oxidation, inflammation, hemostasis, vitamin transport, immunity, energy balance, and lipid transport (66,92).  In contrast, fetal HDL particles are enriched in proteins involved in coagulation and transport, and is lacking in proteins involved in anti-oxidative processes, such as paraoxonase I (PON1) (90).  The lack of PON1 on fetal HDL suggests that these particles do not have the same anti-oxidative capacity as that found in adults (90).  In addition, fetal HDL is enriched in APOE.  The excess APOE could enhance the uptake of fetal HDL into fetal tissues by members of the LDL receptor family, enhance efflux of cholesterol out of endothelial cells, and affect genes related to sterol metabolism and oxidation in fetal endothelial cells (93).  Unlike HDL, fetal VLDL and LDL compositions have not been studied in any detail as of yet.

 

REGULATION OF FETAL LIPOPROTEIN CHOLESTEROL CONCENTRATIONS

 

In the fetus as in the adult, plasma lipoprotein-cholesterol levels are regulated by the amount of cholesterol entering versus that exiting the circulation.  Adults in steady state have an equal amount of cholesterol entering and exiting the plasma unlike the fetus where the amount of cholesterol entering vs that exiting is not equal.  The lower levels of cholesterol in fetal plasma suggests less cholesterol entering the plasma or more exiting the plasma. 

 

Low-Density Lipoprotein (LDL) 

 

LDL-C originally enters the plasma after the liver synthesizes and secretes VLDL which is converted to LDL in the circulation.  Since the liver is not functionally developed in utero (94,95), lipoprotein production and secretion could be low, being at least part of the cause of the low fetal LDL-C levels.  The lower levels of circulating fetal cholesterol levels could also be due to an increase in uptake of lipoprotein cholesterol from the circulation by LDL receptors.  Using the in vivo catheterized pregnant sheep model, it was found that uptake of cholesterol by tissues is greater in utero than in the post-partum neonatal lamb (96).  This is not unexpected as fetal tissues require significant amounts of cholesterol for membrane formation and for steroid hormone synthesis (97-99). 

 

High-Density Lipoprotein (HDL) 

 

Interestingly, HDL-C levels are relatively elevated in the fetus.  Unlike VLDL and LDL, HDL is produced in the circulation and as such is not dependent upon the fetal liver for lipoprotein production. To produce HDL, cholesterol is effluxed from cells by lipid-poor APOA1 or APOE, followed by esterification of the cholesterol by lecithin cholesterol acyl transferase (LCAT), all of which are present in the fetal circulation (90).

 

ABNORMAL FETAL STEROL METABOLISM; IMPACT OF GENETIC ALTERATIONS AND ADVERSE PREGNANCY OUTCOMES   

 

Abnormal fetal sterol metabolism can come about by genetic alterations in the fetus and by influences of maternal factors (maternal obesity, diabetes, dyslipidemia, preeclampsia) on fetal metabolism. 

 

Genetic 

 

Even though two sources of cholesterol exist for the fetus, a majority of fetal cholesterol is likely derived from de novo synthesis.  Thus, changes in sterol synthesis could lead to unfavorable development.  There are several known genetic defects in the post-squalene cholesterol biosynthetic pathway that result in altered fetal phenotypes [reviewed in (50,100-102)]; one pre-squalene defect occurs (103).  Of these metabolic disorders, the most common is the SLOS.  Individuals with SLOS have affected midline facial features, multiple organ and limb malformations, and intellectual disability.  As sonic hedgehog (SHH) is expressed as early as 3 weeks after fertilization, and SHH is essential in a number of key developmental processes (104,105), changes in activation could have very early and significant effects.  Indeed, lower SHH signaling has been associated with altered signaling that occurs in individuals with SLOS (106).  Lower sterol synthesis rates in individuals with SLOS could also lead to reduced growth rates and intrauterine growth retardation (IUGR) (107).  Though it was originally thought that the syndrome was due to a lack of cholesterol, the accumulation of 7-dehydrocholesterol (DHC) likely plays a role in the progression of the disease as well (108). Interestingly, a large percentage of individuals with SLOS are autistic (109) and some individuals with autism have been shown to have altered cholesterol metabolism (110) and dyslipidemia (111,112).  Disruption of enzymes that occur pre-mevalonate in the sterol biosynthesis pathway has not been documented in live newborns, and are associated with embryonic lethality in murine deletion models [reviewed in (50)]. 

 

Adverse Pregnancy Outcomes 

 

Pregnancies complicated with diabetes, obesity, or preeclampsia often have adverse outcomes, including preterm births, altered growth rates, and in the most severe cases, stillbirths and infant mortality. The link between the altered metabolism in the pregnant females and the fetuses are often unknown but are hypothesized to be related to inflammation or oxidative stress within the placenta or fetus. Oxidative stress increases in pregnancy, and especially in pregnancies associated with diabetes, obesity, and preeclampsia (113,114).  There is an increase in oxygen species during oxidative stress which are involved in the conversion of cholesterol to oxysterols (115,116). 

 

Placenta and Fetal Endothelial Cells

 

Oxysterols are detrimental during development as these cholesterol derivatives affect a number of signaling pathways including activation of the liver X receptor (LXR) (117) and inhibition of hedgehog signaling (118).  The oxysterol-induced increase in LXR activation enhances cholesterol and oxysterol efflux from these cell types.  Indeed, fetal endothelial cells of women with gestational diabetes had increases in LXR target genes, ABCA1 and ABCG1, and increased cholesterol efflux (119).  Likewise, HDL-mediated cholesterol efflux and placental 27-hydroxycholesterol were increased in women with preeclampsia (120). 

 

Studies have shown reduced HDL-C and elevated LDL-C levels in preeclamptic infants (121) and increased oxidative modifications of LDL and HDL associated with decreased PON1 activity (122).  Changes in the subfraction concentrations have been detected, as well, and infants of women with type I diabetes had greater HDL2-C and -phospholipid concentrations vs women without diabetes (123). 

 

These changes in sterol metabolism in the placenta, endothelial cells and fetus can lead to a variety of outcomes ranging from beneficial to adverse.  First, an increase in efflux due to increased placental oxysterol levels would increase fetal cholesterol and oxysterol levels, which could be deleterious to the fetus as oxysterols can inhibit hedgehog signaling (118).  In contrast, this same increase in efflux from cells with increased oxysterol could reduce the sterol concentrations in the placenta, possibly protecting the cells from a build-up of oxysterols, which could be improve placental metabolism. 

 

NEONATAL LIPOPROTEIN CHOLESTEROL CONCENTRATIONS AND CHOLESTEROL METABOLISM

 

The three major sources of nutrition in the United States during neonatal and early infancy are human milk, cow milk-based formulas, and soy milk-based formulas. The composition of these types of diet differs in several factors that may theoretically influence cholesterol homeostasis including cholesterol content, polyunsaturated/saturated fatty acid ratio (P/S ratio), protein composition, phytoestrogen content, and the presence of hormones specific to breast milk.  More recent components of milk which also can affect metabolism include miRNAs, prebiotics, and extracellular vesicles (124-126). 

 

As with the fetus, neonates are in a rapid growth phase and require significant cholesterol for growth, energy, and normal cellular function. Infants fed human milk receive much greater quantities of cholesterol than those fed commercial formulas. Human milk contains between 10-15 mg/dl of cholesterol, cow milk-based formulas contain 1-4 mg/dl of cholesterol, and soy -based formulas contain no cholesterol. The soy-based formulas contain phytosterols (plant sterols), which actually inhibit cholesterol absorption (127).  Not unexpectedly, breast-fed infants have higher serum cholesterol concentrations compared to formula-fed infants (128,129). In contrast to the fetus which does not suppress sterol synthesis rates, rapidly-growing neonates do suppress sterol synthesis (130-132). 

 

LONG-TERM IMPACT OF ALTERED FETAL AND NEONATAL STEROL METABOLISM    

 

In the early 1990s, Dr. David Barker discovered that persons growing up in less affluent areas of England and Wales were at an increased risk for infant mortality and long-term ischemic heart disease compared to persons in more affluent areas (133).  Specifically, the adverse long-term consequences of heart disease were related to low birthweights. This relationship was confirmed by others [reviewed in (134,135)], and was expanded to also include infants who are born large for gestational age (LGA), forming a U-shaped curve.  Because of his early seminal work in this area, the “programming” of metabolism by early life environment has been coined the “Barker hypothesis” or DOHaD (Developmental Origins of Health and Disease). The importance of early nutrition has been labeled “1000 days” as that is the time from conception to the second birthday when much growth and development (and programming) (136).

 

It is difficult to identify any long-term effects that are specific to cholesterol as changes in cholesterol levels in the newborn or in utero are often associated with the oxidative stress which accompanies the adverse outcomes it is associated with.  For example, some studies have shown infants of preeclamptic mothers or preterm infants to be at an increased risk of heart disease later in life (137-143).  The long-term changes in metabolism that lead to programming in adulthood are likely epigenetic changes in genes controlling metabolism [reviewed in (144)].  Indeed, the greatest epigenetic activity occurs in the first 1000 days of life (145).  There are some recent treatments that are directed at changing the epigenome postnatally (not for newborns or neonates), including statins which are proposed to modify histones and various dietary regimes which can affect methylation status (146), and prenatally, including anti-oxidant compounds to reverse programming (147).

 

It is not only the in utero environment which has the potential to lead to programming of metabolic disease or heart disease, but also the type of diet fed to the newborn (148).  Since breast milk and formulas vary more than just in their cholesterol content, it is almost impossible to determine if early life cholesterol due to consumption of breast milk vs soy-based formulas affects age-related development of heart disease due to so many other non-sterol-based factors.  However, if one were to focus solely on cholesterol, one hypothesis would be that Infants fed cholesterol-containing human milk could be protective.  Support for this is that adult men and women who were breast-fed in infancy had lower serum cholesterol concentrations (149) or higher HDL-C levels (150) compared to adults who were not fed breastfed; BMI was also lower in adults that had been breast-fed (150).  Likewise, plasma total cholesterol was significantly higher in adult males that were breast fed for the shortest period of time when compared to those who were breast fed for longer times (151).  In contrast, plasma cholesterol concentrations in children and baboons fed either breast milk or formula had either no difference in plasma cholesterol levels or lower plasma cholesterol levels after being fed formula (152).  A review of the literature suggests that the differences in studies were due to studies using exclusive breastmilk versus those using both breast milk and formula (153), plus other outcomes could be important, including intellect and BMI (154).  Future studies are needed to better characterize the long-term effects of early cholesterol exposure on cholesterol metabolism in later childhood and adulthood.

 

CLINICAL SIGNIFICANCE OF FTAL AND NEWBORN PLASMA CHOLESTEROL CONCENTRATIONS

 

There are a few definitive clinical identifications that can be diagnosed with early life plasma cholesterol concentrations.  As discussed earlier, plasma cholesterol levels are lower in the newborn and quite variable, making it difficult to identify infants at risk of becoming hypercholesterolemic, even newborns that are heterozygous for familial hypercholesterolemia (155).  By one year of age, however, plasma levels are more stable and hypercholesterolemia becomes more obvious (155), taking into account the consumption of cholesterol-containing breastmilk at that time. This might be especially important in infants of women with altered metabolic conditions associated with oxidative stress.  The problem is that these cholesterol levels are either not routinely measured or not reported.

 

The plasma sterol concentrations, however, can be used to define various genetic disorders.  As discussed previously, there are known defects in the post-squalene cholesterol biosynthetic pathway that result in altered fetal phenotypes [reviewed in (50,100-102)], each with unique sterol compositions depending on where the defect in the sterol biosynthetic pathway occurs.  Thus, these syndromes can be identified by assaying for the specific sterols (see Table 1).  This is especially useful in the milder phenotypes that might be missed, especially SLOS due to its mild form and higher prevalence. Assays for these dehydrocholesterols must be done by gas chromatography to measure non-cholesterol sterol levels, not the commonly used enzymatic assay which measures sterol levels and not type. 

 

Table 1. Disorders of Cholesterol Biosynthesis*

Disease

Inheritance

Gene Defect

Laboratory Findings

Phenotype

Smith-Lemli-Optiz syndrome

AR

7-dehydrocholesterol reductase gene (DHCR7)

Elevated 7- dehydrocholesterol (DHC) and 8-DHC levels

 

Characteristic craniofacial appearance (i.e., ptosis, small upturned nose, and micrognathia, cleft palate); microcephaly; limb anomalies (proximally placed thumbs, polydactyly, and 2–3 toe syndactyly); slow growth and poor weight gain; potential cardiac and gastrointestinal anomalies and intellectual disability; severity depends on mutation (null to leaky)

Sterol-4-demethylase complex

AR

SC4MOL gene defect

Elevated 4,4’-demethyl- & 4-monomethyl-sterols

Microcephaly; cataracts; slow grow; dermatitis (scaling, erythroderma)

Desmosterolosis

AR

DHCR24

Very rare with only a few patients reported.

Elevated desmosterol

Craniofacial (dysmorphic features, i.e., micro/macrocephaly, cleft palate), ambiguous genitalia; short limbs and osteosclerosis; slow growth

Lathosterolosis

AR

Lathosterol 5-desaturase (SC5D)

Very rare with only a few patients reported.

Elevated lathosterol

 

SLOS like phenotype; craniofacial (subtle dysmorphic features, i.e., microcephaly, upturned nose); micrognathia; ptosis; cataracts; polysyndactyly or syndactyly; hypospadius

Chondrodysplasia punctata (Conradi-Hȕnermann syndrome; CDPX2)

X linked

Emopamil binding protein (EBP)

Elevated 8-DHC and 8(9)-cholestanol

 

Lethal in males

Females: craniofacial (asymmetric dysmorphic features); skin (generalized congenital ichthyosis on erythrothematous base), skeletal (stippling, rhizomelic limb shortening, scoliosis); ocular (cataracts); occasional malformations (cleft palate, hearing loss)

Congenital hemidysplasia with ichthyosiform erythroderma and limb defects (CHILD syndrome)

X linked

NADH steroid dehydrogenase-like (NSDHL) or EBP

Elevated 4-dimetyl, 4,4-dimethyl, and 4-carboxysterol intermediates (i.e., 4,4-dimethylcholesta-8, 24 dien-3β-ol)

 

Similar defects to CDPX2 but unilateral defects and no cataracts; lethal in males.

Females: striking unilateral distribution of anomalies. Generalized congenital ichthyosiform erythroderma and limb deformities (right >left). Internal malformations including CNS, renal and cardiac.

Hydrops-ectopic calcification-“moth eaten” skeletal dysplasia (HEM skeletal dysplasia, Greenberg dysplasia)

AR or AD

Lamin B receptor (LBR) with DHCR14 defect

Elevated 8(9), 14-dien- 3β-ol and cholesta-8(9),14,24-ien-3β-ol

Dysmorphic facial features, hydrops fetalis, cystic hydroma, lung abnormalities, severe short-limbed dwarfism with markedly disorganized cartilaginous and bony architecture (Moth eaten appearance of long bones)

Antley-Bixler syndrome

AR

CYP51A1-associated P450 cytochrome oxidoreductase (POR) gene

elevated levels of lanosterol and dihydrolanosterol

Craniosynostosis; choanal atresia; limb abnormalities (i.e., radio humeral synostosis, and femoral bowing); ambiguous genitalia

 

  *The disorders listed are post-squalene.  There is one defect in the pre-squalene pathway for cholesterol biosynthesis, Mevalonic Aciduria.

 

Though cholesterol levels are not often measured until 9-11 years of age per current recommendations for universal lipid screening per the American Academy of Pediatrics, earlier screening is appropriate if there is a strong family history of high cholesterol or early cardiovascular events. It should be noted infants associated with pregnancies complicated with adverse outcomes are at a higher risk to develop heart disease later in life (137-143,156-159).  Knowing this, interventions directed at improving cardiovascular risk, including maintaining a normal BMI, ideal blood pressure, ideal LDL-C etc., could be started earlier to prevent diseases from developing. 

 

SUMMARY

 

Cholesterol is essential for normal growth and development from the blastocyst through infancy. The cholesterol originates from an endogenous source (de novo synthesis) and an exogenous source (maternal lipoproteins and diet).  Due to its critical role in development, sterol synthesis rates are regulated less in the fetus than neonates.  If synthesis is reduced, possibly due to a genetic defect in the sterol biosynthetic pathway, abnormal development can occur.  Fetal cholesterol levels can be altered, including oxysterols, in pregnant women with various metabolic disorders, mostly those linked to oxidative stress.  The consequences of these changes are unknown because even though these infants are at an increased risk to develop age-related diseases later in life (130-136, 149-152), it is not known if the long-term effects are mediated by an early exposure to cholesterol/oxysterol or other factors associated with oxidative stress.  Regardless, offspring of mothers with hypercholesterolemia, preeclampsia, diabetes, obesity, or are born preterm should be monitored for future cardiovascular disease.      

 

ACKNOWLEDGEMENTS

 

We would like to acknowledge the contributions of the late James E. Heubi MD who was co-author on the original version of this chapter.

 

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Fine-Needle Aspiration of the Thyroid Gland

ABSTRACT

 

Thyroid nodules are common in clinical practice and the majority are benign with the risk of malignancy varying from 7 to 15%. Clinical evaluation includes careful history and physical examination, laboratory tests, neck ultrasound (US), and a fine-needle aspiration (FNA). Thyroid FNA or biopsy is an accurate test for determining malignancy in a nodule and is an integral part of current thyroid nodule evaluation. Results are superior when FNA is performed with ultrasound-guidance (USFNA). Herein, we describe techniques used for US-guided FNA. FNA results are classified as diagnostic (satisfactory) or nondiagnostic (unsatisfactory). Unsatisfactory smears (5-10%) result from hypocellular specimens usually caused by cystic fluid, bloody smears, or suboptimal preparation. Diagnostic smears are conventionally classified into benign, indeterminate, or malignant. A benign cytology is negative for malignancy, and includes cysts, colloid nodule, or Hashimoto thyroiditis. Malignant (or suspicious for malignancy) cytology is usually positive for malignancy on histology, and includes primary thyroid tumors or, less frequently, nonthyroidal metastatic cancers. Papillary thyroid carcinoma (PTC) is the most common malignancy, characterized by increased cellularity, sheets of cells, and typical nuclear abnormalities. Indeterminate or suspicious specimens include atypical changes, Hürthle (oncocytic) cells or follicular neoplasms, typically with absent or scant colloid, hypercellularity, and sometimes a microfollicular arrangement. The Bethesda Cytologic Classification has a 6-category classification. Overall, the indeterminate category Bethesda III category has a risk of malignancy of 6-18% if Non-invasive follicular thyroid neoplasm with papillary-like nuclear features (NIFTP) is not considered cancer. Advances in molecular testing can help further separate benign from malignant nodules with an indeterminate cytology.

 

INTRODUCTION

 

Thyroid nodules are common in clinical practice with a prevalence of up to 60%. The majority is benign and the risk of malignancy is between 7 to 15% (1).

 

Fine-needle aspiration biopsy (FNAB) of the thyroid gland is an accurate diagnostic test used routinely in the initial evaluation of nodular thyroid disease (2-6). Epidemiologic studies suggest that nodular thyroid disease is a common clinical problem, with a prevalence of 4% to 7% in the adult population in North America and an annual incidence of 0.1%, which translates into approximately 300,000 new nodules in the United States (3). In patients with a single palpable nodule, additional nodules can be detected in about 20-48% by ultrasonography (7).

 

A survey of clinical members of the American Thyroid Association revealed that most endocrinologists (96%) perform FNA for diagnosis of thyroid nodules (8). In addition, FNA with ultrasonographic guidance (US-FNA) is used routinely in follow-up surveillance of patients with thyroid cancer. Therefore, the importance of FNA biopsy in thyroid practice cannot be overemphasized.

 

This chapter describes biopsy techniques, cytologic diagnosis, complications, FNA results, diagnostic pitfalls, and other information that may be useful to clinicians who manage patients with nodular thyroid disease.

 

DEFINITIONS/HISTORY

 

The diagnosis of thyroid nodules by needle biopsy was first described by Martin and Ellis (9) in 1930, who used an 18-gauge–needle aspiration technique. Subsequently, cutting needle biopsy with Silverman or Tru-Cut needles was used for tissue examination. None of these techniques gained wide acceptance because of fear of malignant implants in the needle track, false-negative results, and serious complications. However, Scandinavian investigators introduced small‑needle aspiration biopsy of the thyroid in the 1960s, and this technique came into widespread use in North America in the 1980s (10).

 

For FNA biopsy, most use fine or thin (22- to 27-gauge) needles, most commonly 25 or 27-gauge needles. As the name indicates, the biopsy technique uses aspiration to obtain cells or fluid from a mass. In contrast to percutaneous large‑needle biopsy, which obtains tissue specimens and requires histologic fixation, aspiration biopsy offers cytological examination of the specimen. Another technique, fine‑needle non-aspiration (FNNA) biopsy, also referred to as capillary technique, avoids aspiration but obtains representative cytologic samples.

 

Although the FNA technique appears simple, considerable time and experience are required to acquire and maintain skillful biopsy technique. Debate continues about who is best qualified to perform FNA biopsy, but the best results are obtained if the person performing the biopsy has appropriate technique and volume. In the opinion of the authors, individuals performing biopsies should have appropriate knowledge of thyroid pathologies in order to relate the findings to the clinical context.

 

EQUIPMENT

 

The basic equipment needed to perform FNA biopsy is simple and relatively inexpensive (2, 4, 11) The following items are necessary to have but many are not essential (Table 1).

 

Table 1. FNA Biopsy Equipment – Figure 1

1.

Disposable 3-10-mL plastic syringes

2.

Disposable 25- or 27-gauge needles, 1.5 inches long [shorter needles can be used for more superficial nodules]

3.

Alcohol prep sponges

4.

Sterile gauze

5.

Gloves

6.

Probe cover

7.

Sterile gel

8.

Lidocaine—1% for those who prefer biopsy with local anesthesia

9.

Glass slides, with 1 end frosted on 1 side, 1-mm thin (Gold Seal, Erie Scientific Company)

10.

Alcohol swabs and bandaid for post procedure

 

Additional tools: For sample procesing

11.

Containers for (cystic) fluid collection and transportation to the cytology laboratory

12.

Laboratory slips with the patient’s name, clinic number, biopsy sites, and other relevant information to be transferred to the cytology laboratory

13.

Alcohol bottles for immediate wet fixation of smears

14.

Rarely used nowadays: A syringe holder or syringe pistol—most commonly used is the Cameco syringe pistol (Belpro Medical). The pencil-grip syringe holder is another syringe-holding device (Tao and Tao Technology, Incorporated).-

 

Figure 1. FNA biopsy equipment is simple and inexpensive. It includes alcohol wipes or disinfectant, gauze pads, plastic syringes, 23- to 27-gauge needles, glass slides, a fixative solution, and, optionally a pistol- grip mechanical syringe holder. Many experts use cell-preserving solutions to wash out the needles for the preparation of cytoblocs.

THE PATIENT

 

The thyroid gland should be palpated carefully and the nodule(s) to be biopsied identified under sonographic guidance. The consent process is important. It should fully explain the procedure including risks and benefits, and address all questions raised by the patient. The procedure can be done with local anesthesia or without. Per nodule, typically 3 informative passes are obtained, in particular if rapid on-site evaluation (ROSE) by a cytopathologist is not available.  In experienced hands, no serious complications are expected. Mild pain, minor bleeding or infection can occur but are unlikely to happen. Very rarely, transient hoarseness due to recurrent laryngeal nerve injury has been reported. With the appropriate caution, the procedure can usually be performed in patients with blood thinners.

 

The procedure is performed in the outpatient setting with the patient lying on an adjustable examination bed or chair. The procedure can be performed by a single person, but the presence of a nurse or clinical assistant is encouraged, if available. The patient may be seated or supine; we prefer the supine position. The patient is placed supine with the neck hyperextended to expose the thyroid; for support, a pillow is placed under the shoulders (Fig. 2 A). The patient is asked not to swallow, talk, or move during the procedure. It is best to talk to the patient and keep them informed of the progress of the biopsy. Once completed, firm pressure is maintained on the biopsy site(s) then the area is cleaned and a Band-Aid applied. It is best to observe patients for a few minutes for any side effects. This time can be used to counsel on after-procedure care instructions and potential results, if available including written instructions. Subsequently, the patient can be discharged.

Figure 2. A) Patient position during fine-needle aspiration (FNA). A supine position and a pillow under the patient’s shoulder allow hyperextension of the neck and maximal exposure. B) Syringe is placed in syringe holder. C) The nodule is identified and stabilized with operator’s the nonaspirating hand. The operator stands on the side of the patient opposite that of the thyroid nodule. Current Occupational Safety and Health Administration regulations require the use of gloves because of concern about bloodborne diseases. D) With a quick motion, the needle passes through the skin and enters the nodule. Immediate mild suction follows. As soon as aspirate appears, suction is released and the needle is withdrawn.

THE TECHNIQUES

 

FNA Biopsy

 

Numerous reports, reviews, and even textbooks provide detailed descriptions of various FNA biopsy techniques (11-15). Although most reports agree on the principles of the technique, variations have been described to improve results. It is important to position the patient correctly, identify and locate the mass, provide adequate light during the biopsy, and have a clinical assistant available for help if needed. The physician performing the biopsy should be positioned at the patient’s side, preferably contralateral to the lesion. The nodule(s) to be aspirated is identified, and the overlying skin is cleansed with alcohol. The use of povidone-iodine or sterile technique is not necessary but encouraged.

 

A retrospective study across multiple sites of the Mayo Clinic compared ultrasound-guided thyroid FNA using no anesthetic, subcutaneous injectable anesthetic, and topical anesthetic to compare the degree of pain/discomfort (16). The study found patient discomfort associated with FNA was comparable during and after the procedure regardless of the use of anesthetic or the type. However, others reported that FNA-associated pain is frequent and that the use of local anesthesia is beneficial (17)

 

In the method illustrated here, a 10‑mL plastic syringe is attached to a Cameco syringe holder and held in the right hand by a right‑handed operator (Fig. 2 B). Two fingers of the free (left) hand firmly grasp the nodule while the other hand holds a pistol-grip syringe holder (Fig. 2 C). The needle is then inserted through the skin and into the nodule. Once the needle tip is in the nodule, gentle suction is applied while the needle is moved in and out within the nodule vertically (Fig. 2 D). This maneuver allows the dislodging of cellular material and easy suction into the needle. During this period of 5 to 10 seconds, suction is maintained, and as soon as fluid or aspirate appears in the hub of the needle, the suction is released, and the needle is withdrawn. Of note, many operators do not use the handle; in this case, simply using a syringe with needle may suffice using the same maneuver.

 

Nowadays, ultrasound evaluation identifies cystic and partially cystic lesions. The appearance of fluid suggests that the nodule is cystic; suction is maintained, and as much fluid as possible is aspirated. It is important to release the syringe plunger and remove the vacuum before withdrawing the needle; this allows the aspirate to remain in the needle and not be sucked into the syringe. Next, the needle is detached from the syringe (Fig. 3 A), and 5 mL of air is drawn into the syringe (Fig. 3 B). The needle is reattached to the syringe, and with the bevel facing down, 1 drop of aspirated material is ejected onto each of several glass slides (Fig. 3 C). It is important that all slides be labeled and placed in order on a nearby table before the aspiration begins.

 

Smears are prepared by using a second glass slide in a manner similar to that of making blood smears (Fig. 3 D). The slides for wet fixation should be placed immediately in 95% alcohol for staining with the Papanicolaou stain. For Giemsa staining, air-dried smears are necessary, and prepared slides are left unfixed and transported to the laboratory.

 

Rapid on-site evaluation (ROSE) of cytology slides to evaluate for adequacy by cytopathologists may lower non-diagnostic rates and the number of necessary needle passes (18). This may, however, add more time to complete the procedure.

 

Figure 3. A) The needle is removed quickly from the syringe. B) Five ml of air is aspirated into the syringe, and the needle is placed back on the syringe. C) With the needle bevel facing down, 1 drop of aspirated material is expelled onto each of several glass slides. Slides are labeled and placed on the table before aspiration, ready for use. D) With a second slide, smears are prepared in a manner similar to that for blood smears. Slides are then immediately wet fixed by placing them in an alcohol bottle.

Usually, 3 to 6 aspirations are made (13, 14), some authors suggest at least 6 (19). Additional passes might be needed for molecular testing if decisions were made to obtain those. However, needle washouts typically provide sufficient materials for molecular analyses.  Preferably, the aspirates should be obtained from the peripheral areas and different parts of the nodule in a sequential manner to ensure representative sampling (13). For larger nodules, the deep center of the mass should be avoided because it is more likely to contain degeneration and fluid, decreasing the chance of a diagnostic specimen. For cystic lesions, the fluid should be completely aspirated and FNA attempted on residual solid tissue if present. Aspirated fluid should be placed in a plastic cup and saved for cytology evaluation. For each pass, one should use a new needle and syringe.

 

The needle can be inserted in parallel or perpendicular way to the ultrasound probe. In the parallel approach, the US image can see the entire needle path. The perpendicular approach is generally simpler and the needle travels shorter distance; however, only needle tip can be seen in the nodule. Both techniques are equally effective.

 

Generally, minor procedures such as thyroid FNA, can be safely performed while patients are on antiplatelets/anticoagulation (20). Special attention should be made to use a smaller gauge needle (27-gauge needle), minimize the number of passes, and monitor the patient for a few minutes for signs of bleeding. In certain situations, INR might need to be less than 2- 2.5 at the day of the procedure per certain operator preferences. Overall, the risk of stopping anticoagulation for the purpose of FNA procedure must always be weighed against the risk of complication related to discontinuing the medication for few days. The overall data suggest low risk of bleeding when doing the biopsy on anticoagulation and antiplatelet therapy with hematoma only occurred in 0.89% (21).

 

FNNA Biopsy

 

The FNNA, also referred to as fine-needle capillary (FNC) sampling technique, has been described by several authors (2, 22). This technique is thought to minimize trauma to thyroid tissue and to reduce blood contamination. For this technique, patient preparation is similar to that for FNA. However, no syringe or suction is necessary. The hub of a 27-gauge needle is held in a pencil-grip fashion, and the needle is gently inserted into the nodule and then moved in and out for 5 to 10 seconds. Aspirate flows into the needle through capillary action, and as soon as aspirate appears in the hub, the needle is withdrawn and attached to a syringe with air inside. Next, the plunger is used to expel the material onto glass slides. The procedure is repeated several times, and the slides are prepared as described above for FNA.

 

Other techniques such as Core-needle biopsy (23) or Large-needle aspiration biopsy (24) are used less commonly as first-line procedure. They can be associated with a higher risk of complications such as pain and bleeding, but they have some utility with repeatedly non-diagnostic FNA or when lymphoma, which requires additional analyses such as flow cytometry, is suspected.

 

POST BIOPSY PROCEDURE

 

After the biopsy has been completed, firm pressure is applied to the biopsy site(s) with a 4×4-inch gauze pad. Once bleeding has stopped, an adhesive bandage is placed on the puncture site(s), and the patient is observed for a few minutes. If there are no problems, the patient is allowed to leave.

 

COMPLICATIONS

 

Thyroid FNA biopsy, particularly using US-FNA, is very safe. No serious complications such as tumor seeding, nerve damage, tissue trauma, or vascular injury have been reported (11-15). Needle puncture may cause slight discomfort and possible skin ecchymosis at the aspiration site(s). However, even a minor hematoma is uncommon. Patient use of anticoagulants or salicylates does not preclude FNA biopsy. Needle track implantation of thyroid carcinoma is extremely rare and appears to be an exceptional complication (25). Post aspiration hemorrhage within a cystic lesion is uncommon.

 

CYTOLOGIC DIAGNOSIS

 

Aspirates from normal glands often have scant thyroid follicular cells and colloid. Wet‑fixed smears are usually prepared with a modified Papanicolaou stain, which shows nuclear details. Air-dried smears are often prepared with a Romanovsky stain. May‑Grünwald-Giemsa is a modified Romanovsky staining procedure that is sometimes used in thyroid cytologic preparations. The six Bethesda Classification System categories of cytology results include: Non-diagnostic (unsatisfactory), Benign, Atypia or undetermined significance (or follicular lesion of undetermined significance), Follicular neoplasm or suspicious for follicular neoplasm, suspicious for malignancy, and malignant (Table 7).

 

Benign Cytology

 

Aspirates obtained from multinodular goiters, a benign microfollicular adenoma, or normal thyroid are referred to as colloid nodules and show loosely cohesive sheaths of follicular epithelium, colloid, blood, and rare macrophages. Colloid nodules are the most common cytology and contain an abundance of colloid with sparse follicular cells. There is considerable variation in the number of cells, as well as the type and amount of colloid present (Fig. 4).

Figure 4. Colloid nodule. Sheath of normal thyroid epithelium shows uniform nuclei and pale cytoplasm (Papanicolaou, ×100).

Another benign diagnosis is Hashimoto thyroiditis. It has typically a characteristic pattern on FNA smears, showing hypercellularity with lymphocytes, Hürthle cells, and minimal or no colloid (Fig. 5).

Figure 5. Hashimoto thyroiditis. A) Group of Hürthle cells with large cytoplasm and prominent nuclei, surrounded by a teratogeneous population of lymphocytes (Papanicolaou, ×60). B) Hypercellular aspirate with lymphocytes and Hürthle cells (May-Grünwald-Giemsa, ×250).

Subacute (granulomatous) thyroiditis is a rare condition with a benign aspirate. Typically, the smear shows multinucleated giant cells, epithelioid histiocytes, and scattered inflammatory cells.

 

Malignant Cytology

 

Papillary carcinoma, the most common thyroid malignancy, is readily diagnosed by FNA. Typically, cytology shows large irregular nuclei, and nuclear grooves. Psammoma bodies may or may not be present, but if present, they are highly suggestive of papillary thyroid carcinoma (Fig. 6).

Figure 6. Papillary thyroid carcinoma. A) Follicular cells with large irregular nuclei, nuclear grooving, and pale chromatin (Papanicolaou, ×400). B) Histologic preparation showing typical papillary configurations (hematoxylin-eosin, ×50).

Medullary thyroid carcinoma accounts for 5% to 10% of thyroid cancers and may present as a thyroid nodule or neck mass. Typically, aspirates from a medullary thyroid carcinoma are hypercellular, composed of large, poorly cohesive cells, and predominantly spindle shaped. Amyloid is often, but not invariably, present, and there is no colloid (Fig. 7).

Figure 7. Medullary thyroid carcinoma. A) Cellular specimen staining positively for calcitonin by immunohistochemistry (×100). B) Loosely cohesive fragments of spindle-shaped cells. Amyloid is present as amorphous blue material intimately associated with neoplastic cells (Papanicolaou, ×400).

High-grade carcinoma can be diagnosed cytologically, but distinguishing between primary and metastatic cancer is not easy.

 

FNA RESULTS

 

The accumulated experience of the past 4 decades has confirmed the reliability and usefulness of FNA as a diagnostic test (2-4, 11-15, 26-31). The role of FNA biopsy in the evaluation of thyroid nodules is now firmly established, and FNA has become the initial test because it is both safe and cost effective. In most clinics, FNA has become a standard test, performed most often by an endocrinologist.

 

Diagnostic Cytology

 

An adequate specimen of good technical quality is considered diagnostic or satisfactory and may be benign, suspicious, or malignant. A benign (negative) cytologic diagnosis is reported for 50% to 90% of the specimens (average, 70%) (13, 15, 27, 32), 10-30% of FNA cytologic specimens may be suspicious for malignancy (indeterminate) (average, 20%) (32, 33). A malignant (positive) cytologic diagnosis is made in about 1% to 10% of cases (average, 5%). For example, Caruso and Mazzaferri (33) reported the following results from 9 series that included more than 9,000 patients: benign, 74%; malignant, 4%; inadequate, 11%; and suspicious, 11%. We reviewed more than 18,000 specimens from 7 large series and obtained similar cytologic results: benign, 69%; malignant, 4%; suspicious, 10%; and nondiagnostic, 17% (32).

 

False Negative Rates

 

False-negative results reflects missed malignancy. False-negative rates generally occur in 1.5% to 11.5% (average, <5%) (19, 30, 33, 34). The false-negative rate is defined as the percentage of patients with a benign cytology in whom malignant lesions are later confirmed on thyroidectomy. The frequency of false-negative cytologic diagnosis depends on the number of patients who subsequently have surgery and histologic review. In most retrospective series, less than 10% of patients with a benign cytologic diagnosis subsequently undergo thyroid surgery, suggesting that false-negative rates should be interpreted with some skepticism (33, 35). Despite this note of caution, most authorities agree that the true false-negative rate is less than 5% if all patients undergo thyroid surgery. False-negative rates are lower in centers experienced with the procedure and with cytologic interpretation by expert cytopathologists.

 

False Positive Rates

 

False-positive rates vary from 0% to 8% (average, 3%) (30, 32, 33). A false‑positive diagnosis indicates that a patient with a malignant FNA result was found on histologic examination to have benign lesions.

 

Causes of False Diagnoses

 

Interpretive or sampling errors account for false diagnoses (14, 32, 34). Hashimoto thyroiditis is probably the most common cause of a false‑positive cytology. Misclassification of follicular and Hürthle cell adenomas as papillary carcinomas accounts for other errors. FNA biopsy of thyroid lymphomas may yield lymphocytes that can be interpreted as Hashimoto thyroiditis, accounting for a false‑negative diagnosis. Inadequate or improper sampling accounts for some false-negative errors. For example, nodules smaller than 1 cm may be too small for accurate needle placement, and nodules larger than 4 cm may be too large to allow proper sampling from all areas, thereby increasing the likelihood of misdiagnosis. Finally, the cytopathologist should establish and observe criteria to exclude a diagnosis of malignancy (2, 4, 11, 26).

 

The Problem of Cellular Tumors

 

Hypercellular specimens from follicular or Hürthle cell lesions may have features suggestive of, but not diagnostic for malignancy (3, 11, 14, 27). Thus, the cytopathologist labels these suspicious for malignancy because cytologic features neither confirm nor rule out malignancy. Histologic examination is necessary for definitive diagnosis. Hypercellularity may be seen with non-neoplastic lesions, and Hürthle cell changes may be seen in patients with lymphocytic thyroiditis. The diagnosis of follicular neoplasm is indicative of an underlying malignancy in 14% of cases and Hürthle cell neoplasm in 15% (29, 32). Many pathologists maintain that benign and malignant follicular tumors cannot be distinguished on the basis of aspirated cells only, and the lesion must be removed for histopathologic examination (4, 14, 35). However, Kini et al (36) believes that follicular adenomas and follicular carcinomas usually can be differentiated on the basis of nuclear size.

 

Several authors have discussed the problem of follicular neoplasm. In a study of 149 patients with the cytologic diagnosis of follicular neoplasm, Tuttle et al. (37) reported that risk of malignancy was higher in men, solitary nodules, and nodules larger than 4 cm. In a study of 219 patients with follicular neoplasm, Schlinkert et al. (38) showed that nodules are more likely malignant in younger patients, in men, if the nodule is solitary, and if it is larger than 4 cm. Baloch et al. (39) studied 184 cases of follicular neoplasm and reported that risk factors for malignancy included male sex, older age (>40 years), and larger nodules (>3 cm). Overall, they found that 70% of these lesions are benign.

 

Molecular studies are now routinely used with thyroid nodule evaluation and biopsy to help further asses the likelihood of malignancy in thyroid nodules in nodules with undetermined cytology with reasonable sensitivity and specificity [see section below].

 

Non-Diagnostic Cytology

 

Inadequate specimens are labeled non-diagnostic or unsatisfactory and account for 2% to 20% of specimens (average, 10%) (32, 33). Several factors influence non-diagnostic rates for FNA results, including the skill of the operator, vascularity of the nodule, criteria used to judge adequacy of the specimen, and the cystic component of the nodule (40-43). Overall, a satisfactory smear contains at least 6 clusters of well‑preserved cells, with each group consisting of at least 10 to 15 cells. Re-aspirations with US-FNA yields satisfactory specimens in more than 50% of cases with a non-diagnostic initial FNA (19, 35).

 

Chow et al. found a 7% malignancy rate in 153 patients with initial non-diagnostic smears (44). Among 27 patients treated surgically, 37% had cancer. Re-aspiration with US-FNA was diagnostic in 66% and 56% without US; overall, 62% of re-aspirations were diagnostic.

For patients with non-diagnostic FNA biopsy, FNA can be repeated few weeks later. A repeat ultrasound-guided FNA will yield a diagnostic cytology specimen in 75% of solid nodules and 50% of cystic nodules (45).

 

If a patient has two nondiagnostic FNAs, ultrasound-guided core-needle biopsy can be considered as it has higher diagnostic yield compared to further repeating FNA (46, 47). However, the prevalence of cancer in non-diagnostic results is lower than in the general population. Nodules with repeatedly non-diagnostic FNA results typically have a low risk of malignancy and can be monitored if suspicious sonographic features are lacking (48).

 

DIAGNOSTIC ACCURACY

 

Analysis of the data reveals that the sensitivity of FNA ranges from 65% to 98% (mean 83%), and specificity ranges from 72% to 100% (mean 92%) (13, 30, 33). The predictive value of a positive or suspicious cytologic result is approximately 50%. The overall accuracy for cytologic diagnosis approaches 95% (Table 2).

 

 

Table 2. Summary Data From Literature Survey on Thyroid FNA

Feature

Mean

Range

Definition

Sensitivity (%)

83

65-98

Likelihood that a patient who has disease has a positive test result

Specificity (%)

92

72-100

Likelihood that a patient without disease has a negative test result

Positive predictive value (%)

75

50-96

Fraction of patients who have a positive test who have disease

False-negative rate (%)

5

1-11

FNA negative; histology positive for cancer

FNA, fine-needle aspiration.

*From Gharib et al. (4). Used with permission.

 

 

FNA GUIDELINES

 

Several guidelines and reviews have been published to help improve the adequacy and accuracy of cytology specimens (4, 49-51).

 

FNA biopsy should be performed by individuals who have had training in both thyroid ultrasound examination and thyroid biopsy. Thyroid FNA in the hands of experienced operators achieves high diagnostic accuracy. Aspirates should be obtained from different portions of the nodule, preferably peripheral areas, in an organized and sequential manner. It is essential to ensure that an adequate number of follicular cells are present. A cytopathologist, preferably one with experience in thyroid cytology, should review and interpret the slides. If re-aspiration yields insufficient material, a core biopsy is the next step. In the event that the final result is still insufficient, surgical excision is warranted for nodules with suspicious features.

 

Several reports have offered suggestions to minimize false-negative rates (3, 4, 19, 32). In a review on thyroid FNA, Belfiore and La Rosa suggested acquiring biopsy expertise, avoid suboptimal sampling, and repeat FNA during follow up especially if sonographically suspicious to reduce false-negative results (11).

 

To minimize false‑negative results, we follow the steps summarized in Table 3.

 

Table 3. Steps to Improve Accuracy of FNA and Lead to Better Nodule Management

Step

Explanation

Biopsy performed by expert in thyroid pathologies

Offers better thyroid examination; accumulates experience with FNA

Experienced cytopathologist reviews slides

Improves cytologic interpretation

Caution with small (<1 cm) or large (>4 cm) nodules

Increased chance of misdiagnosis;

US FNA improves accuracy

3-6 aspirates from different nodule sites

Improves cytologic sampling

Re-biopsy if cytology is nondiagnostic

About 50% will be diagnostic on re-aspiration

Nondiagnostic cytology is not negative

Risk of cancer is low but not ruled out

Aspirates with no follicular cells are nondiagnostic

These should not be considered negative for malignancy

Excise nodules yielding suspicious cytology

20-40% chance of malignancy

Excise clinically suspicious, cytologically benign nodules

Clinical impression overrides FNA diagnosis

FNA, fine-needle aspiration; US-FNA, FNA with ultrasonographic guidance.

*Modified from Gharib (2). By permission of Mayo Foundation for Medical Education and Research.

 

US-FNA BIOPSY

 

Published thyroid guidelines and reviews state that thyroid US should not be used as a screening test in the general population (3, 4). However, US is recommended for all patients with a single palpable nodule or a multinodular goiter or in a patient suspected of having a nodule (3) (Table 4). US machines are safe, easy to use, relatively inexpensive, have high resolution, and are widely available. It is important to note that US results are quite operator dependent.

 

Table 4. Indications for Thyroid Ultrasound Examination*

Palpable solitary nodule

Palpable multinodular goiter

Suspicion of nodule(s) in patient with difficult neck palpation

Prior history of neck radiation

Family history of medullary thyroid carcinoma, multiple endocrine neoplasia type 2, or papillary thyroid carcinoma

Unexplained cervical adenopathy

Preoperative thyroidectomy for cancer; long-term postoperative surveillance

*Data from Gharib et al. (4).

 

THYROID ULTRASOUND AND SONOGRAPHIC RISK STRATIFICATION SYSTEMS

 

Thyroid US is the imaging modality of choice for the evaluation of thyroid nodule(s). High-resolution neck US is safe and provides excellent imaging results with no significant cost, and can be done in the outpatient settings. Sonographic features used to characterize thyroid nodule risk of malignancy focus on five major sonographic criteria: echogenicity, composition, shape, echogenic foci, and margins (Table 5). Vascularity is debatable and therefor, not currently included in those criteria. US can also identify concerning lymph nodes. Features such as hypoechogenicity, irregular/infiltrative border, microcalcification, and a taller-than-wide shape in the transverse view, individually or in combination, are suggestive of malignancy especially if cervical lymph node involvement is seen. The diagnostic sensitivity and specificity of each of these features is variable and none of them alone can reliably distinguish malignant lesion from otherwise (52).

 

Table 5. Sonographic Characteristics of Thyroid Nodules

1

            Echogenicity: hypo- iso,or hyperechoic

2

            Calcifications: micro- or macrocalcifications

3

            Margins: well-defined/smooth or irregular

4

            Vascularity: high or low

5

            Shape: taller than wide

6

            Composition: Solid, Cystic, Mixed

 

 

Professional organizations such as the American Thyroid Association (51) and the American College of Radiology (50) developed ultrasound based risk stratification systems based on the above criteria and assigned a value or points to each of those when increasing the risk of malignancy, and assigning cutoff size when deciding FNA and to avoid unnecessary over diagnosis. There are several other Thyroid Imaging Reporting and Data Systems (TIRADS) and current efforts aim at developing an international TIRADS to unify lexicons and definitions and ultimately unify recommendations.

 

Neck ultrasound also plays a predominant role in the follow-up of thyroid nodules and thyroid cancer, including active surveillance of small papillary thyroid carcinomas.

 

An ever-increasing number of practicing endocrinologists are training to use US in routine practice. US is now used to supplement physical examination, when a thyroid mass is present, when a nodule needs careful measurement, or when an impalpable thyroid lesion is suspected. As a result of this widespread use, many small (<1.5 cm) thyroid incidentalomas are detected, creating what has been referred to as a “thyroid nodule epidemic” (3, 7, 53). Such a finding has been an unintended consequence of thyroid US use and has created a management dilemma for the clinicians.

 

The overall predictive value of US for malignancy based on a systematic review and meta-analysis of multiple studies is summarized in Table 6 (54). Although no single US feature is diagnostic for malignancy, the specificity is highest for taller-than-wide and microcalcifications, and lowest for echogenicity. The presence of at least 2 suspicious US criteria reliably identifies 85% to 93% of thyroid malignancies (3).

 

 

Table 6. Value of US Features Predicting Thyroid Malignancy*

US Feature

 

Sensitivity, %

 

Specificity, %

 

Microcalcifications

39.5

 

87.8

 

Hypoechogenicity

62.7

 

62.3

 

Irregular margins

50.5

 

83.1

 

Solid

72.7

 

53.2

 

Intranodular vascularity

45.9

 

78.0

 

Taller than wide

26.7

 

96.6

 

*Adapted and modified from Remonti et al. (54)

 

Sensitivity, positive predictive value, and negative predictive value increase significantly with US-FNA (3, 55-58). Nowadays, FNA should be exclusively performed with US-guidance. US-FNA permits precise needle placement in a nodule, thereby increasing both the rate of satisfactory aspirates and the diagnostic accuracy (3, 55-58).

 

FNA PITFALLS

 

The experience as well as the expertise of the cytopathologist is critical in avoiding pitfalls. Determining the adequacy of an aspirate, cellular atypia, performing and interpreting immunostains, and differentiation of lymphocytic thyroiditis from lymphoma are but a few of the challenges. Larger nodules are more likely to yield false‑negative results. To improve sampling, aspirates should be obtained from multiple sites of the nodule rather than repeatedly from a single spot. The absence of malignant cells in an otherwise acellular specimen does not exclude malignancy. It is good practice to biopsy all suspicious nodules in a multinodular gland (3, 4).

 

RE-BIOPSY

 

Opinions on indications for re-aspiration are divided, some favoring (11, 59), others not favoring (4, 60) routine re-biopsy. Lucas et al. (60) reported no advantage in routine re-biopsy, whereas Chehade et al. (59) found that repeated biopsy may decrease the rate of false-negative FNA from an average of 5.2% to less than 1.3%. Thyroid nodule guidelines from the American Association of Clinical Endocrinologists and the Associazione Medici Endocrinologi (4)did not suggest routine re-biopsy of FNA-benign nodules. The American Thyroid Association also recommends against routine re-biopsy (51). Repeat FNA for nodules that grow during serial sonographic follow-up can be done although nodule growth can be defined variably due to interobserver variation. Minimally significant change in nodule size of 50% increase in volume may warrant repeat FNA (61). Additional indications for re-biopsy are a non-diagnostic initial FNA, indeterminate cytology, and sonographically suspicious nodules with a benign cytology. In such instances, the current ATA guidelines recommend repeat biopsy within 1 year.

 

BETHESDA SYSTEM

 

The Bethesda System for reporting diagnostic criteria is shown in table 7 and the risk of malignancy for each diagnostic criteria in table 8.

 

 

Table 7. The Bethesda System for Reporting Thyroid Cytopathology: Recommended Diagnostic Categories

I.

Nondiagnostic or unsatisfactory

·       Cyst fluid only

·       Virtually acellular specimen

·       Other (obscuring blood, clotting artifact, etc.)

II.

Benign

·       Consistent with a benign follicular nodule (includes adenomatoid nodule, colloid nodule, etc.)

·       Consistent with lymphocytic thyroiditis (Hashimoto) in the proper clinical context

·       Consistent with granulomatous thyroiditis (subacute)

·       Other

III.

Atypia of undetermined significance or follicular lesion of undetermined significance

IV.

Follicular neoplasm or suspicious for a follicular neoplasm

·       Specify if Hürthle cell type (oncocytic)

V.

Suspicious for malignancy

·       Suspicious for papillary carcinoma

·       Suspicious for medullary carcinoma

·       Suspicious for metastatic carcinoma

·       Suspicious for lymphoma

·       Other

VI.

Malignant

·       Papillary thyroid carcinoma

·       Poorly differentiated carcinoma

·       Medullary thyroid carcinoma

·       Undifferentiated carcinoma (anaplastic)

·       Squamous cell carcinoma

·       Carcinoma with mixed features (specify)

·       Metastatic carcinoma

·       Non-Hodgkin lymphoma

·       Other

*Adapted with permission from Cibas and Ali (62).

 

 

Table 8. The Bethesda System for Reporting Thyroid Cytopathology: Risk of Malignancy and Recommended Clinical Management

Diagnostic Category

Risk of Malignancy (%)**

Usual Management

Nondiagnostic or unsatisfactory

5-10

Repeat FNA with ultrasound guidance

Benign            

0-3

Clinical follow-up

Atypia of undetermined significance or follicular lesion of undetermined significance                        

6-18

Repeat FNA, molecular testing, or lobectomy

Follicular neoplasm or suspicious for a follicular neoplasm                                         

10-40

Molecular testing, Lobectomy

Suspicious for malignancy

45-60

Near total thyroidectomy or lobectomy

Malignant       

94-96

Near total thyroidectomy or lobectomy

FNA-fine needle aspiration

*Adapted with permission from Cibas and Ali (62)

** When NIFTP is not considered cancer

 

 

THE UTILITY OF MOLECULAR TESTING IN THYROUD FNA/BIOPSY

 

Molecular testing is particularly useful in indeterminate cytology such as Bethesda class III or class IV that are expected to have a malignancy risk of 18 and 40% respectively (Table 8).

The use of molecular markers in indeterminate thyroid nodule cytology has lowered the need for diagnostic lobectomy in those cases. Repeat biopsy of Bethesda class III and IV can still be done to obtain more definitive diagnosis but the cytological assessment of a 2nd FNA only provide definitive diagnosis in about 40% (63).

 

Molecular testing of the thyroid FNA samples has significantly evolved since its introduction at the beginning of the 21st century. Multiple methods were developed for this approach and the tests are based on 3 main pathways: testing for somatic mutations, gene expression profiles, and microRNA (MiRNA) classifiers.

 

The most widely used molecular tests, ThyroSeq and Afirma assays have reasonable positive and negative predictive values suitable for using them when ruling-in and ruling-out thyroid cancer. Thyroseq V3 and Afirma GSC perform best to rule out malignancy (64)

 

Afirma molecular testing initially started as a microarray analysis of mRNA expression, currently a Genomic Sequencing Classifier (GSC) relying on RNA sequencing approach with a sensitivity of 96%, specificity of 68%, and positive predictive value of 47% (65).

 

The current version of ThyroSeq (version 3) is based on targeted next-generation sequencing analysis of 112 cancer related genes for point mutations, gene fusions, copy number alterations, and abnormal gene expression. This test has a reported sensitivity of 94% and a specificity of 82%, with a negative predictive value of 97%, and positive predictive value of 66% (66).

 

Other molecular tests may include a combination of more than one method such as those based on miRNA classification (ThyraMIR) and next-generation sequencing mutational analysis (ThyGeNEXT) which have excellent positive and negative predictive values (67).

 

When obtaining molecular testing, an additional dedicated needle pass can be useful. However, it is also possible to rinse the needles of all passes in the preservation fluid or cells from cytology slides. Furthermore, original cytology slides can be used in select cases such as in ThyGeNEXT/ThyraMIR (68).

 

THE USE OF US-GUIDED FNA WITH MINIMALLY INVASIVE THYROID PROCEDURES

 

Ultrasound-guided minimally invasive interventional techniques have been widely recognized and increasingly used over the last two decades. Those techniques include percutaneous ethanol injection (PEI) and thermal ablations such as laser and radiofrequency ablation. They can be used to treat both benign and malignant thyroid lesions. This includes the treatment of small papillary carcinomas, especially in patients who do not wish to pursue active surveillance, and in patients who are poor surgical candidates (69). Multiple international consensus statements were published to guide the use of these techniques with rapidly evolving indications (70-73).

 

Pre-procedural evaluation involves performing neck ultrasound, determining thyroid function status, and requiring two benign cytology for most solid nodules or one benign cytology for autonomously functioning thyroid nodules with low-risk thyroid ultrasound features (69).

 

PEI is used for predominantly cystic benign thyroid nodules. It was introduced in the early 1990s as successful treatment for benign thyroid nodules (74-76). With success rate defined as volume reduction of more than 50% with symptom control, PEI can reduce nodule volume from 50% to 98% (77, 78). Long-term outcomes of cystic nodule treated with PEI are excellent with minimum side effects and proven benefit. The procedure can be done in the outpatient setting under local anesthesia (69). Radiofrequency ablation and laser ablation can be also effectively used in the outpatient setting under local anesthesia for treating benign thyroid nodules, in particular autonomous nodules with a volume reduction range 50% to 85%, usually with better outcomes in smaller nodules (<10 mL) (69). Thermal ablation can also be performed in selective cases of thyroid malignancy such as low risk papillary thyroid microcarcinomas (79, 80). Complications include local pain, dysphonia, skin irritation, hematoma, and rarely nodule rupture (69).

 

 

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Testicular Cancer: Pathogenesis, Diagnosis and Management with Focus on Endocrine Aspects

ABSTRACT

 

Testicular cancer comprises different neoplasms, depending on the cell of origin and the typical age at presentation, but germ cell-derived tumors constitute the vast majority of cases. Testicular germ cell tumors (TGCT) can be diagnosed in every age group, but more than 90% of cases occur in young men. These tumors, comprising seminoma and nonseminoma, are derived from germ cell neoplasia in situ (GCNIS). Pathogenesis of TGCT associated with GCNIS partly overlaps with that of other developmental disorders of the male reproductive system within the testicular dysgenesis syndrome (TDS). Testicular somatic cell neoplasms, known as sex cord-stromal tumors, are relatively rare, but can have endocrine manifestations, such as precocious puberty or gynecomastia. In addition to its malignant features, cancer of the testis represents a developmental, endocrine, and reproductive problem. These issues are the focus of this chapter, and emphasis is given to aspects that are of interest to endocrinologists, including pediatric endocrinologists and andrologists. Management of invasive testicular tumors is largely handled by urologists and oncologists, thus only general information on surgical treatment, radiotherapy, and chemotherapy is presented. Impact of cancer treatment on the endocrine system, co-morbidities, fertility issues, and quality of life issues are also briefly reviewed.

 

INTRODUCTION

                                                           

Testicular cancer comprises a number of different neoplasms, depending on the cell of origin and the typical age at presentation (1, 2). Although several cell types in the testis can undergo neoplastic transformation, germ cell-derived tumors constitute the vast majority of cases of testicular neoplasms. The relative distribution depends on age: in young adult men nearly all tumors are germ cell tumors, whereas in patients aged 70 years or older, a large proportion of lymphomas and secondary carcinomas can be expected (2).  In other words, as explained in detail further in the text, germ cell cancer can be diagnosed in every age group, but more than 90% of cases occur in young men, and this subgroup is the main focus of this chapter. Pathogenesis of testicular germ cell tumors (TGCT) of young adults partly overlaps with that of other developmental disorders of the male reproductive system, within the testicular dysgenesis syndrome (TDS) (3, 4, 5). Somatic cell tumors in the testis, known as sex cord-stromal neoplasms are relatively rare, but are also discussed in this chapter. These neoplasms can have endocrine manifestations due to their origin from endocrine cells.

 

In addition to its malignant features, cancer of the testis represents a developmental, endocrine, and reproductive problem. These issues are the focus of this chapter, and emphasis is given to aspects that are of interest to endocrinologists, including pediatric endocrinologists and andrologists. The contribution of andrologists and endocrinologists to the overall management of patients with testicular cancer is very important, especially concerning early diagnosis, fertility issues, testosterone deficiency, and the impact of treatment on the quality of life of the patients, the majority of whom are young adults. We have to emphasize that only very general information on surgical and oncological treatment options (e.g., chemotherapy) is presented here. However, urologists and oncologists, who are responsible for the clinical management of testicular tumors, would also benefit from learning about the pathogenesis and andrological aspects of testicular cancer summarized in this chapter.

 

GERM CELL TUMORS (GCT)

 

Germ cell tumors (GCT) are characterized by extreme phenotypic heterogeneity (2). They display features of pluripotency and about half of them (nonseminomas) can differentiate into virtually any somatic tissue type within the so-called teratomas that recapitulate early embryonic differentiation (6, 7, 8). Although in comparison to other solid tissue cancers, GCTs are relatively rare, they constitute the most common form of solid tissue cancer of young age. The typical localization of GCT is the testis in males and ovary in females, but GCTs may also be found outside the gonads, thus these tumors are named extragonadal GCTs (8, 9).  Extragonadal GCTs occur most often in children of both genders, preferentially along the body midline (intracranial, pineal, mediastinal) but can occur also in adults (8, 9). An increased frequency of extragonadal GCTs, especially in mediastinum, has been associated with Klinefelter syndrome (10). It is important to remember that a large proportion of cases of extragonadal GCT in retroperitoneal locations are associated with pre-malignant changes in testicles, and can be assumed early metastases of testicular neoplasms, although a multi-site development of GCT cannot be completely excluded (8, 9, 11, 12). This chapter focuses on the testicular GCT. For the extragonadal GCT in children and adults, the reader should consult specialized literature.

 

Classification and Histopathology of Testicular Germ Cell Tumors (TGCT)

 

Testicular germ cell tumors (TGCT) are by far the most frequent neoplasms of the testis and comprise approximately 90-95% of cases. They may affect infants (rarely), young men (commonly) and elderly men (rarely). The TGCTs of childhood are mentioned only briefly at the end of this section. The diagnosis and management aspects of TGCT in adult men is the focus of this chapter.

 

The most commonly accepted and currently used classification is the WHO classification of testicular tumors. The main changes occurred in 2016 when the WHO consensus panel proposed a thorough revision of the classification, which for the first time was based on biological evidence (2). The most radical change was the new division of TGCT into two major groups according to the origin from germ cell neoplasia in situ (GCNIS), and coining the term GCNIS, replacing several previously used and confusing names (2, 13). The latest 2022 WHO classification update proposed only minor adjustments; the most important is recognition of gonadoblastoma as a precursor similar to GCNIS and proposing placing seminoma under the major category of germinomas (14).

 

For use by non-pathologists, a simplified division of TGCT shown in Table 1.

 

Table 1. Simplified Classification of Testicular Germ Cell Tumors (TGCT), Based on the WHO Classification.

·                GCT derived from germ cell neoplasia in situ (GCNIS)

o                 Non-invasive lesions: GCNIS (9064/2)* and gonadoblastoma (9073/1)

o                 Germinomas:

-                                                    Seminoma, pure (9061/3)

-                                                    Seminoma with syncythiotrophoblastic cells

o                 Nonseminomatous (non-germinomatous) GCT, pure

-                                                    Embryonal carcinoma (9070/3)

-                                                    Yolk sac tumor, postpubertal type (9071/3)

-                                                    Trophoblastic tumors, incl. choriocarcinoma (9100/3)

-                                                    Teratoma, postpubertal type (9080/3), incl. teratoma with somatic-type transformation (9084/3)

o                 Nonseminomatous (non-germinomatous) mixed germ cell tumors (9085/3)

o                 Regressed GCTs (9080/1)

·                GCT unrelated to GCNIS

o                 Spermatocytic tumor (9063/3)

o                 Prepubertal (pediatric) tumors

-                                                    Teratoma, prepubertal type (9084/0)

§                    Dermoid cyst

§                    Epidermoid cyst

-                                                    Yolk sac tumor, prepubertal type (9071/3)

-                                                    Prepubertal type testicular neuroendocrine tumor (8240/3)

-                                                    Mixed prepubertal type tumors (9085/3)

*Footnote: The codes in parentheses are from the International Classification of Diseases for Oncology (ICD-O-3).

 

Precursor Lesions

 

The TGCT of young adults originate from a common precursor, germ cell neoplasia in situ (GCNIS), initially termed carcinoma in situ (CIS) testis (13, 15). GCNIS is considered to originate from developmentally arrested immature germ cells (gonocytes) that fail to differentiate to spermatogonia (4, 16, 17). Accordingly, morphology of GCNIS cells resembles closely that of fetal gonocytes, but with more irregular chromatin in the nuclei. GCNIS cells are located inside seminiferous tubules, most frequently in a single row along the basement membrane (Figure 1).

 

Gonadoblastoma is a preinvasive lesion which occurs almost exclusively in individuals with disorders of sexual development (DSD). This lesion is most often found in female patients with mixed gonadal dysgenesis (45,X/46,XY) or Turner Syndrome but can also occur in males (2, 18, 19). Gonadoblastoma cells and GCNIS cells have a very similar gonocyte/oogonium-like phenotype, but the surrounding somatic cells are different; GCNIS cells are present inside seminiferous tubules, which are usually well developed but may be hypoplastic and contain immature Sertoli cells, while gonadoblastoma consists of groups of germ cells, which are nested in small stromal cells similar to granulosa cells (19, 20, 21, 22). GCNIS and gonadoblastoma can be present in the same gonad and there are also lesions with morphology in between the two entities (18, 19). The clinical course of pure gonadoblastoma may be benign, but it has a potential to transform into a malignant germ cell tumor, especially if accompanied by GCNIS and greater virilization of the patient (19, 22, 23, 24). 

Figure 1. Histology of germ cell neoplasia in situ (GCNIS). The upper panel (hematoxyllin-eosin, HE staining shows a low magnification view of GCNIS in a typical pattern with only GCNIS cells and Sertoli cells present inside tubules. The tubules with neoplasia have a smaller diameter than normal seminiferous tubules. On the right side of this image a few tubules with decreased spermatogenesis are visible. The lower left image shows a fragment of a tubule with GCNIS side-by-side with a tubule with preserved spermatogenesis; note the large GCNIS nuclei. The lower right image displays GCNIS cells visualized by immunohistochemical staining for placental-like alkaline phosphatase (PLAP).

 

The immunohistochemical profiles of GCNIS and gonadoblastoma cells are virtually identical and resemble very closely those of primordial germ cells and fetal gonocytes (21, 25, 26).  This was subsequently confirmed by comparative studies at the transcriptional level using microarrays (17, 27, 28).  Among many genes highly expressed in GCNIS cells (as well as gonadoblastoma, normal fetal germ cells and several TGCTs) the following should be mentioned because of their interesting biological function (germ cell survival or maintenance of embryonic stem cell pluripotency) and usefulness in histopathological diagnosis (24): OCT4 (29), AP2-gamma/TFAP2C (27, 30), NANOG (27, 31, 32), KIT (25, 33), TP53 (34), and LIN28 (35, 36).

 

In addition to protein-coding genes, GCNIS cells display a specific profile of embryonic-type micro-RNAs (miRNA); miR-371-3 cluster, miR-302 and miR-367 (37, 38). This miRNA profile is also detectable in overt TGCT, except teratoma (38), see the description in the section on serum markers. 

 

Testicular Germ Cell Tumors (TGCT) Derived From GCNIS

As mentioned in the introduction, TGCT of young adult men display very variable histology (some examples are shown in Figure 2) and are divided into seminomas (under the main GCT category of germinomas which occur in men and women) and nonseminomas (non-germinomas) (2, 14, 39).

Figure 2. Histology of main types of testicular germ cell tumors. The large images show a general histology pattern of a seminoma (upper panel) and two most often seen types of nonseminoma: undifferentiated embryonal carcinoma (middle panel) and teratoma, a tumor displaying differentiation into various somatic tissues (bottom panel). Small square pictures on the right show cellular characteristics in a greater magnification.  All sections are stained with hematoxylin-eosin (HE).

 

Seminomas are most often diagnosed in the 25- to 40-year-old age group, whereas nonseminomatous tumors occur in even younger men (adolescence to 30 years). Both types originate from GCNIS (2, 16). Seminoma resembles a mass of immature germ cells; the tumor cells are morphologically very close to GCNIS cells and proliferate as a homogeneous tumor, which retains features of germinal lineage. The gene expression profile of seminoma is similar to that of GCNIS and fetal gonocytes, and virtually identical to the female equivalent of germinoma, called dysgerminoma (26, 39).

 

Nonseminomatous tumors display a variety of histological forms and contain undifferentiated embryonal carcinoma and somatic components partly differentiated along embryonic lineage of any tissue type (1, 2, 8). Nonseminomas also contain extra-embryonic tissue components (yolk sac tumor and choriocarcinoma). The combined or mixed tumors contain elements of seminoma and nonseminoma but are classified and clinically treated as nonseminoma, which usually has more severe clinical course than seminoma (1, 2).

 

Testicular Germ Cell Tumors Not Associated with GCNIS

 

PREPUBERTAL (PEDIATRIC) TGCTs. 

 

These tumors occur in early childhood (between birth and approximately 5 years of age) and comprise two main histological types: yolk sac tumor of the prepubertal type and mature teratoma (including dermoid cyst) (Table 1). Prepubertal teratomas can contain secondary neuroendocrine elements, which can overgrow the tumor, hence, the latest WHO classification added this entity as the third subtype (14). The histology of the prepubertal tumors does not differ from the adult equivalents, which are components of nonseminoma (2).  Likewise, these tumors display similar characteristic transcriptome and micro-RNA profiles (40, 41). In contrast to the TGCT derived from GCNIS, the tumor genome does not display isochromosome 12p. The etiology and pathogenesis of infantile TGCT remain unknown. These tumors are assumed to originate from primordial germ cells (PGC) but there is no known precursor lesion of GCNIS/gonadoblastoma type, neither are there signs of testicular dysgenesis (2, 42, 43).

 

SPERMATOCYTIC TUMOR  

 

This rare tumor occurs primarily in older men (median age at diagnosis around 50-55 years, range 25-94) but occasionally can be diagnosed in men in in the third decade of life (44). Spermatocytic tumor has no extragonadal or ovarian counterpart, and occurs exclusively in post-pubertal testis (1, 2, 8). This tumor is not derived from GCNIS (45) and has the expression profile similar to spermatogonia B or early primary spermatocytes (26, 46, 47, 48). Spermatocytic tumors appear to grow from clonally expanding germ cells, which are committed to but have not yet entered meiosis. The following de novo genetic aberrations causing increased spermatogonial proliferation have been identified; amplifications in chromosome 9p encompassing DMRT1 locus (46), rare gain-of-function mutations in genes encoding FGFR2, FGFR3, HRAS, NRAS, PTPN11, and simultaneous whole chromosome gains of chromosome 9 and chromosome 20 combined with a loss of chromosome 7 (49, 50). Some of these mutations that occur spontaneously in germ cells of aging men have been depicted as “selfish mutations” because - if transmitted to next generation - can cause severe inborn skeletal abnormalities in the offspring, such as achondroplasia, hypochondroplasia, thanatophoric dysplasia or Costello syndrome (51).

 

Etiology and Pathogenesis of Testicular Germ Cell Cancer of Young Adults (Derived From GCNIS)

 

 

Epidemiology of testicular germ cell tumors (TGCT) has attracted the growing attention of researchers, because of the steadily rising incidence (51). The incidence is remarkably variable geographically and dependent on the ethnic background (Figure 3) (52). TGCT is currently the most common malignancy of young men of white European ancestry, while it is relatively rare among Asians and Africans (52, 53, 54). Interestingly, indigenous Maoris of New Zealand have a higher incidence of testicular cancer than the white population (55).

Figure 3. Global incidence rates of testicular cancer.  Age-standardized incidence rates for testicular cancer for men of all ages in selected countries of all regions of the world, extracted from national registries. National reporting systems varied by country, and data quality may have fluctuated between regions. Reprinted from Znaor et al., Eur Urol 2014 (52).

 

However, the incidence rates are not stable and have been changing over time. Within populations rapid changes have been observed in recent decades. For example, the highest rates of testicular cancer have historically been observed in Norway and Denmark but much lower in the Eastern and Southern Europe. While the incidence in Denmark has been attenuating since the 1970s, an alarming rise has been noted in Finland and in Slavic Balkan countries, especially Slovenia and Croatia (52, 53, 54, 56). Similarly, a rapid increase has been noted among the Hispanic/Latin population in the United States (57). Another interesting feature of epidemiology of testicular cancer is the so-called birth cohort effect; the rise in the incidence correlated with the calendar year of birth rather than with the age at diagnosis (58). For unexplained reasons, cohorts born at wartime had lower incidence than men born just before or after the war (58).

As mentioned before, testicular cancer has an unusual age-specific incidence rate with a small peak in the postnatal period and a major peak in young adult age, starting at puberty. These periods coincide with an activation of gonadal hormones, indicating there may be a possible connection between the hormonal factors and invasive transformation of germ cells. In certain risk groups, the incidence of testicular cancer is much increased. Individuals with developmental abnormalities of the gonads and sex differentiation (DSD) are at high risk of developing germ cell neoplasia. Among these, individuals with the so-called mixed gonadal dysgenesis and the 45,X/46,XY karyotype are at particular risk of harboring GCNIS or gonadoblastoma and developing TGCT in adolescence (18, 19, 20, 23, 59, 60). An association with testicular cancer has been noted in a number of developmental abnormalities, such as cryptorchidism (61, 62), Down syndrome (63) but also low birth weight and unspecific perinatal factors, e.g., premature birth, birth order, high levels of maternal estrogens or bleeding during pregnancy, high maternal age and neonatal jaundice (62, 64). A late age at puberty and tall stature were also associated with lower and higher risk of testicular cancer, respectively (65, 66).

 

For endocrinologists and andrologists it is essential to know that male infertility (the type linked to TDS) is one of the commonest risk factors for testicular cancer (67). Men with TGCT have poorer semen quality and significantly fewer children than controls prior to development of their tumor (68, 69), see also the section on TDS below.

 

Patients with a unilateral TGCT are also at an increased risk to develop a new primary testicular tumor of the contralateral testis. Depending on the studied population and the interval from the primary diagnosis, approximately 2 - 5% patients will be diagnosed with a second TGCT during their lifetime (70, 71, 72, 73). The majority of bilateral TGCT occur metachronously (> 6 months after the primary TGCT), some as late as 20-40 years after the primary TGCT (74). The histology of the primary tumor influences the risk only marginally, with the predominance of seminomas among the synchronous TGCTs but primary nonseminomas observed most often in younger patients with metachronous tumors developing after shorter intervals (70, 72). The presence of testicular atrophy increases the risk of bilateral neoplasia considerably (75, 76).

 

Testicular Dysgenesis Syndrome (TDS)

 

The association of testicular cancer with poor testicular function, cryptorchidism, hypospadias, and abnormal testicular development led to a hypothesis that poor gonadal development and testicular neoplasia are etiologically linked. A concept of TDS was proposed, in which testicular cancer is one of the symptoms, in addition to other phenotypes, including cryptorchidism, hypospadias, shortened anogenital distance (AGD), reduced Leydig cell function, and decreased spermatogenesis (3, 5). This hypothesis is supported by histological studies showing that dysgenetic features, such as undifferentiated tubules with visibly immature Sertoli cells, clusters of poorly differentiated tubules, or hyaline bodies, often seen in association with testicular cancer, are not uncommon among men referred to andrology clinics because of fertility problems (3, 5, 18, 71). It is important to underline that not all cases of genital malformations and infertility are a part of TDS. Milder phenotypes linked to impaired development of the testis in fetal life due to diverse environmental or lifestyle-related factors can be considered part of TDS (5, 77). Severe genital malformations caused by genetic disorders are clearly a part of DSD but there is a partial overlap between the two syndromes (18). However, TDS severity and prevalence are undoubtedly modulated by the genetic variability (polymorphisms) and epigenetics (5). A schematic representation of the pathogenesis and manifestations of TDS is depicted in Figure 4.

Figure 4. Schematic illustration of aetiology and pathogenesis of disorders grouped within Testicular Dysgenesis Syndrome (TDS). The TDS concept implicates disturbed function of testicular somatic cells (Leydig- and Sertoli cells) caused by inherited genetic variation (gene polymorphisms) in combination with environmental /lifestyle factors acting during early development. Dysfunction of the somatic cells results in disturbed hormonal homeostasis and causes impaired germ cell differentiation. Depending on the severity of the impairment, multiple outcomes or phenotypes may occur, ranging from reduced anogenital distance (AGD), genital malformations to testicular cancer. Note that the most severe forms of TDS (disorders of sex development with gonadoblastoma (GDB) or GCNIS are the least frequently seen, whereas the mildest forms, such as impaired spermatogenesis are quite common. Modified from Skakkebæk et al., Hum Reprod 2001 (3) and Physiol Rev 2016 (5).

 

Genomics of TGCT and Predisposing Polymorphisms  

 

Tumors derived from germ cells via GCNIS stage are characterized by the presence of a nearly universal aneuploidy (polyploidization) and amplification of chromosome 12p, often in the form of an isochromosome (8, 78). Additional secondary genomic aberrations in invasive TGCT include rare recurring chromosomal gains or losses (in particular loss of chromosome Y), and fusion transcripts (79, 80). Strikingly few oncogenic mutations have been reported in TGCTs, and the short list of affected genes includes only KIT (predominantly in seminomas) and KRAS (mainly in nonseminomas) (79, 81, 83).

 

Although testicular cancer in most cases is a sporadic disease, the familial risk of testicular GCT is among the highest when compared to other cancers; brothers and sons of TGCT cases have an 8-10-fold and 4-6-fold increased risk, respectively (84). A twin study from Nordic countries estimated the heritability of testicular cancer as 37%, with 24% attributed to shared environment (85). Recent studies using next generation sequencing technology confirmed the absence of specific oncogenic driver mutations that would explain a high heritable risk of testicular cancer (86). The bulk of inherited risk is instead caused by a constellation of unfavorable gene variants, which jointly account for estimated 44% of testicular cancer heritability (87). Men with a polygenic risk score in the 95th percentile have a 6.8-fold increased risk of TGCT compared to men with median scores (87). This estimation is based on numerous genome-wide association studies (GWAS) performed in recent decades, which revealed a large number of significant gene variants (markers) associated with TGCT risk (87, 88, 89, 90, 91, 92, 93). The strongest association, which was identified in all GWAS, and most interesting from the biological point of view, is with a cluster of single nucleotide polymorphisms (SNPs) within or near KIT ligand gene (KITLG) and in genes downstream of the KIT/KITLG/MAPK signaling pathway, e.g., SPRY4. This pathway is essential for germ cell migration and survival, is highly active in GCNIS, with the frequent secondary gain-of-function mutations identified in seminomas (33, 81, 82, 83, 89, 94, 95). Among other significant SNPs associated with TGCT risk, the most interesting are DMRT1, a transcription factor involved in sex differentiation and regulation of meiosis (96, 97), PRDM14 and DAZL, factors involved in primordial germ cell specification and differentiation, AMHR2, the receptor for anti-Mullerian hormone (AMH), AR, the androgen receptor, and several genes in the telomerase and DNA repair pathway (87, 90, 91, 92, 93). It is biologically important that several predisposing variants are potentially associated with germ cell differentiation and testis development, including hormone regulation, and there is an overlap with some pathways involved in TDS. 

Current Views on the Environmental Etiology of TGCT

In spite of significant recent inroads into the understanding of the pathogenesis of TGCT, etiology of these tumors, and especially the reason for the rise in incidence, remains obscure. The high incidence of testicular cancer in subjects with congenital errors of gonadal development strongly implicates the involvement of intrauterine factors and perinatal factors. We believe that the neoplastic transformation of male germ cells occurs during their pre-meiotic development, and this happens preferentially in individuals with genetic susceptibility. GCNIS cells and primordial germ cells share some distinct features, such as expression of embryonic pluripotency factors, low DNA methylation and constellation of miRNAs and histone modifications (4, 5, 17, 27, 28, 37, 39, 99, 100).

 

The mechanisms of neoplastic transformation of early germ cell are not known. There is a growing consensus that there may be multiple mechanisms and testicular cancer is a multifactorial and polygenic disorder. A disturbance in the fetal programming of gonadal development may be a result of an intrauterine hormonal imbalance, which in turn may be caused by a genetic disorder or by an impact of an exogenous factor targeting a key pathway, e.g., androgen signaling, KIT-KITLG signaling, DMRT1 signaling and regulation of meiosis, the TGF-beta superfamily regulation (including Nodal pathway) or the WNT pathway, leading to a delay in the testis development and maturation of fetal gonocytes (3, 4, 91, 98, 94, 101, 102, 103).

 

As mentioned above, the rising and quickly changing incidence of testicular cancer in well-developed countries suggests a possible adverse influence of environmental or lifestyle-related causative factors. In recent decades a great number of potent natural and synthetic hormones and hormone antagonists have been identified in environment. Observations in wildlife and experiments in laboratory animals exposed to synthetic hormones and a broad range of endocrine disrupters suggest that these substances can cause a disturbance of hormonal milieu of the developing gonad and disturb differentiation of early germ cells (3, 4, 5, 104, 105, 106).  Whether or not the endocrine disrupters have contributed to the rise in testicular cancer remains to be demonstrated. Human exposure studies are difficult, mainly because of the long interval between the vulnerable period of early development and manifestation of cancer development in adulthood. There is also the problem of the plethora of confounding factors, including mixtures of possible contaminating factors present in food, packaging, cosmetics, and other products of daily life. Therefore, the evidence for the role of endocrine disrupters in the etiology of TGCT remains scarce. Among few existing data one can mention a higher serum level of some persistent organic pollutants found in mothers of men with testicular cancer (107), and a greater burden of p,p′-DDE (a DDT metabolite) in serum of testicular cancer patients (108). For more information on the existing evidence and possible mechanisms the reader is referred to recent review articles on the subject (109, 110). It is clear that further studies in large cohorts of patients and controls are needed to identify the causative factors behind the observed testicular cancer epidemics. Few data exist concerning postnatal exposures and risk of TGCT. A heavy use of marijuana (cannabis) has been consistently reported as a risk factor for nonseminoma but the mechanism remains to be elucidated (111, 112).

 

Diagnosis and Staging of Testicular Germ Cell Neoplasms

PREINVASIVE LESIONS AND TESTICULAR BIOPSY


All attending physicians should consider a possibility of incipient germ cell neoplasia in men with infertility, especially those with small testes, a history of cryptorchidism, or previous testicular tumors, or in individuals from the high-risk group of DSD (5, 68, 69). The preinvasive stage of GCNIS is asymptomatic, so diagnosis at this early stage is sporadic. Ultrasonographic examination can be helpful in some cases. GCNIS or incipient TGCT are frequently associated with an irregular echo pattern or microcalcifications /microlithiasis (113, 114, 115, 116). However, ultrasonic microlithiasis is very common and can be present in normal men or patients with mild disorders, so it alone is not an indication for a testis biopsy. A biopsy is indicated if microlithiasis is accompanied by additional risk factors, e.g., history of cryptorchidism, a family history of testicular cancer, atrophic testis (<12 mL), or poor semen quality, especially azoospermia (117, 118). Surgical testicular biopsy is currently the only sure diagnostic procedure for GCNIS diagnosis (119). Experience in the use of needle biopsies for GCNIS diagnosis is limited and this method is not commonly used in the clinic. Regardless of the method of obtaining the testis tissue, examination for GCNIS by immunohistochemistry in a diagnostic biopsy or any leftover material after testicular sperm extraction in fertility clinics is now considered mandatory (119, 120, 121).

 

GCNIS is present in the testis contralateral to a testicular tumor in approximately 5% of cases, with a range of 4% to 8%, depending on the studied cohort (71, 75, 121, 122). Screening for the contralateral GCNIS to prevent the appearance of metachronous bilateral TGCT has been practiced in several countries, including nationwide in Denmark and in some centers in other European countries (Germany, Austria, the Netherlands). Most of other centers adopted a recommendation of the European Association of Urology (123) to take contralateral biopsies only in patients at risk for GCNIS presence, such as by a history of cryptorchidism, a small testis volume (<12 ml), or testicular microlithiasis (75, 76). In the USA and Canada, the contralateral biopsy is rarely practiced, and American guidelines recommend this procedure only if the contralateral testis is cryptorchid, shows marked atrophy, or suspicious ultrasonic changes, but not microlithiasis alone (124, 125). Our recommendation is to offer a contralateral biopsy to all patients at the time of surgery for the primary TGCT, perhaps with the exception of men older than 50, because of a minimal risk of GCNIS. Added benefits of a biopsy are a good assessment of the fertility potential of the other testicle, and the peace of mind for the patient concerning the possibility of bilateral cancer (126). Mild post-biopsy complications (3%) are rare and the procedure is well accepted by the patients (127). In young men with normal size testicles, two-site biopsies may be considered to decrease a chance of a false-negative biopsy (126). False-negative cases are relatively rare (128) but the procedure does not completely eliminate the risk of the second TGCT. In the Danish nationwide study, the cumulative incidence of the metachronous TGCT was 1.9% (after median 20-year follow-up) compared to 3.1% in a non-biopsied earlier cohort of patients (121). However, in a sub-cohort of Danish patients, in whom the contralateral biopsy was performed with a quality control and obligatory immunohistochemistry with GCNIS markers, the cumulative rate of the second cancer (after similar follow-up period rate) decreased to 0.95% (121).  

 

Technical aspects of surgical biopsy are important. The tissue fragment has to be sufficiently large (approx. 3x3x3 mm) and care has to be taken to avoid damage to the specimen, which should be dropped directly to a container with a fixative solution. For morphology evaluation Bouin's or similar solutions are preferred because formalin causes shrinkage artefacts, while for immunohistochemistry buffered formalin is preferred. As for any diagnostic testis biopsy, the contralateral biopsy evaluation must include immunohistochemical staining for at least one (better two) of the known markers for GCNIS, e.g., placental-like alkaline phosphatase (PLAP), OCT-3/4 (POU5F1), PDPN/M2A/D2-40, or AP2γ-TFP2AC (120, 122, 129). An example of immunohistochemical PLAP staining for GCNIS detection is shown in Figure 1.

SEMEN ANALYSIS

 

Poor spermatogenesis is a good indication that the patient may be at risk of harboring GCNIS (5, 68, 69, 75, 76, 130, 131). Semen analysis cannot as yet be used alone for detection of early stages of testicular cancer. However, it has been known for a long time that GCNIS cells may be occasionally found in semen (132). Over the years, progress has been made towards establishing better quality immunocytochemical detection of GCNIS or early invasive intratubular tumor cells in semen, and an improved automated double-staining assay has been developed (133, 134, 135). Unfortunately, the sensitivity of the cytological method is not high enough for screening, but it can be used as an additional part of semen analysis in experienced andrological centers performing immunohistochemistry (135). It is also not possible to use a micro-RNA (miRNA)-based assay, especially miRNA-371a-3p, a very promising serum marker for invasive TGCT, for detection of GCNIS in seminal fluid, despite that this embryonic-type miRNA is secreted by GCNIS cells (37). Even though some patients with GCNIS can have measurable miR-371a-3p in serum (136), the presence of the same miRNAs in normal germ cells in control patients with non-malignant conditions precludes using this assay in seminal fluid (137, 138, 139).

 

SERUM TUMOR MARKERS, DIAGNOSIS AND MONITORING OF OVERT TGCT

In the vast majority of cases a scrotal mass is usually the first presentation of testicular cancer, with tenderness reported by very few patients. In a few percent of testicular cancer cases, the presenting symptoms are the result of metastatic disease. They are usually uncharacteristic and may include lumbar pain, palpable abdominal mass, supra-clavicular lymph node enlargement, and in rare cases pulmonary symptoms (1).

 

The majority of primary and metastatic germ cell tumors secrete proteins and other biochemical products that can be detected in circulating blood. These biochemical serum tumor markers are very helpful in diagnosis and monitoring of testicular cancer (38, 124, 140).

 

The most important serum markers established in clinical practice are human chorionic gonadotropin (HCG), alpha-fetoprotein (AFP), and lactate dehydrogenase (LDH), the first two mainly useful to detect nonseminomas (1, 140). Among nonseminomatous tumors, choriocarcinoma, which resembles a gestational trophoblast, produces large quantities of HCG, while yolk sac tumor, which is similar in morphology to the embryonic yolk sac, secretes AFP (38, 140, 141). In addition, LDH may be secreted by both seminomas and nonseminomas. LDH levels in serum tend to be higher in patients harboring tumors with an increased copy number of chromosome 12p, consistent with the genomic location of the LDHB gene (142). Increased concentrations of LDH in the absence of AFP and HCG suggests the presence of seminoma. It is important to keep in mind that TGCT rarely occur in pure histological forms, and a subtype of seminoma with syncytiotrophoblastic cells can secrete HCG, which can be measurable in patients’ blood (14, 143). In preinvasive GCNIS and in most cases of pure seminoma, none of the above-mentioned markers are detectable in serum.

 

The most promising currently emerging serum markers are micro-RNAs (miRNA), among which miRNA 371a-3p is the best studied and most robust marker, and has already been proven valuable for detection of seminomas and nonseminomas, except for differentiated pure teratomas, in children and adults (38, 144, 145). Several large clinical studies clearly demonstrated that miRNA 371a-3p test has a much better specificity than the classical serum markers, and is especially useful for detection and monitoring of HCG- and AFP-negative seminomas (146, 147).

 

After diagnosis, careful clinical staging is necessary in each patient to decide for the most appropriate treatment strategy, and the measurements of circulating tumor markers are an important part of this process (1, 123, 124). There is a tendency for higher levels of tumor markers to be associated with a poorer prognosis. For example, the presence of syncytiotrophoblastic cells in the subtype of seminoma can lead to a mild increase of serum HCG, but the tumor responds well to treatment regardless of the presence of these cells, so more aggressive management should be avoided.

 

In addition to serum markers, scrotal ultrasonography is the first line diagnostic procedure. In general, seminoma is a homogenous tumor, whereas nonseminomas usually display heterogeneous patterns, with frequent hyperechoic calcified areas (148, 149). Additional imaging procedures help to evaluate the spread of disease, including CT scan of the chest and abdomen, or MRI (148, 149, 150).

 

Histopathological evaluation of the orchiectomy specimen is an essential part of the clinical staging. The important risk factors are tumor size, vascular/lymphatic invasion or the presence of tumor cells in rete testis, and the presence of pure embryonal carcinoma (152, 153).

 

The most commonly used staging and prognostic classification system is the TNM (tumor, node, metastases) System of the International Germ Cell Cancer Collaborative Group (GCCCG) and the American Joint Committee on Cancer (AJCC) (154). The stage grouping updated by the WHO Consensus (2), is shown in Table 2.

 

Table 2. Stage Grouping According to TNM Classification

Stage 0 (pTis): Germ cell neoplasia in situ

Stage IA (pT1, N0, M0, S0): Tumor limited to testis and epididymis

Stage IB (pT2-4): as IA but with vascular/lymphatic, tunica or scrotal invasion

Stage II (any pT, N1-3, M0, S0-1): Metastasis in lymph nodes, serum markers normal or moderately increased

      IIA (N1): lymph nodes <2 cm

     IIB (N2, S1): lymph nodes >2 cm but <5 cm

     IIC (N3, S1): lymph nodes >5 cm

Stage III (any pT, any N, M1, S0-3): Distant metastasis (spread beyond regional nodes)

     IIIA (M1a, S0-1): Spread to non-regional nodes or lung

     IIIB (M1a, S2): as IIIA but high serum markers

     IIIC (M1a-b, S3): distant metastasis to sites other than IIIA, or very high serum markers

Footnote: pT=primary tumor, N=regional lymph nodes, M=distant metastasis, S=serum tumor markers (X=unknown, not available)

 

Management of GCNIS and Testicular Germ Cell Cancer  

Early diagnosis of testicular neoplasia at the stage of GCNIS, followed by adequate treatment of GCNIS is capable of preventing progression to invasive tumors. Unfortunately, the vast majority of cases progress unnoticed to overt tumors. However, germ cell tumors are extremely radio- and chemo-sensitive and have apparently very high propensity to apoptosis, likely mediated by p53 (155, 156). Because of this sensitivity, and thanks to cisplatin-based chemotherapy regimens, TGCT is a highly curable malignancy, with more than 90% of patients reaching a sustained complete remission (157).

 

We give here only very general information concerning management of testicular cancer. The reader should consult specialized oncologic and urologic literature for management options pertinent to treatment-resistant tumors and metastatic disease.

 

TREATMENT OF GCNIS

 

Spontaneous regression of GCNIS has never been described and it is anticipated that all cases of GCNIS will eventually develop into TCGT. The following management options for GCNIS are available depending on a specific situation (158):

 

  • Orchiectomy - is the curative treatment with the highest assured success rate. It should always be performed on a testis with GCNIS or localized tumor when the second testis is not affected by malignancy (including GCNIS).
  • Radiotherapy - low dose radiotherapy is a good alternative to orchiectomy when GCNIS is present bilaterally or in the contralateral testis, so the patient can be spared a bilateral castration and lifelong androgen replacement therapy. The efficacy of radiotherapy with doses as low as 16 Gy was demonstrated in the early studies (159). Even though the lower dose better preserves the function of Leydig cells (160), more recent studies and current EAU guidelines recommend a dose of 18 Gy, given in fractions of 2Gy (123, 161). This dose of radiation will almost always destroy normal germ cells, so radiotherapy may be delayed in patients who wish to secure natural conception of a child.
  • Chemotherapy - is not an option to treat GCNIS, because a persistence or relapse has been reported in a high proportion of patients (121, 161). Furthermore, in some cases of extragonadal germ cell tumors treated with chemotherapy, testicular GCNIS progressed to metachronous overt testicular tumors (162). However, in patients with disseminated disease receiving chemotherapy, the risk of metachronous bilateral TGCT is lower (73, 163, 164).
  • Surveillance - is potentially hazardous since it increases the risk of metachronous bilateral TGCT (164) and GCNIS may progress to invasive cancer at any time. However, watchful surveillance may be an option after careful informed discussion of risks and monitoring with ultrasound examinations, especially if the patient wishes to defer treatment temporarily for the purpose of paternity.

 

In men who desire fatherhood, and in all very young men, cryopreservation of semen samples should be offered, if viable spermatozoa are detected.

 

TREATMENT OF OVERT SEMINOMAS AND NONSEMINOMAS

 

As far as the treatment of invasive germ cell tumors is concerned, the reader should consult the specialized urology and oncology guidelines.

 

Prior to surgery, all patients with TGCT should be offered full andrological evaluation and cryopreservation of semen. Endocrinologic evaluation of the patient should also preferably be done before surgery, with the reproductive hormone profile, including serum testosterone, gonadotropins, and inhibin B, if possible. This can be done together with the above-mentioned measurements of serum tumor markers. Pre-operative semen analysis and cryopreservation is especially important in patients with bilateral tumors or only one testicle. In the patients who have azoospermia or cryptozoospermia, and in whom it was impossible to retrieve sperm pre-operatively, testicular sperm extraction (TESE) at the time of orchiectomy (‘onco-TESE’) may be attempted in specialized centers (165). The best predicting factor of sperm retrieval is a small size of the tumor, because a chance of finding tubules with ongoing spermatogenesis increases with the distance from the tumor (166).

 

Radical orchiectomy remains the primary surgical treatment method of choice. Primary dissection of retroperitoneal lymph nodes (RPLND) was previously commonly practiced, especially in North America. The current consensus is to perform RPLND in experienced high-volume centers, and in selected cases, mainly in patients with nonseminoma and intermediate prognosis (1, 167, 168, 169). Nerve-sparing technique is preferred in order to avoid the loss of antegrade ejaculation, which is the commonest long-term complication of RPLND (169). 

 

Methods of post-surgical management of overt TGCT are variable, depending upon the histological type of tumor (seminoma vs nonseminoma), levels of serum markers and stage of disease and the presence of residual retroperitoneal masses (1, 115, 151, 167). Adjuvant radiotherapy, e.g., of the retroperitoneal/para-aortic field, which was previously routinely used, is no longer recommended, because of the long-term risk of secondary malignancies (1, 167, 168). 

 

Pure seminomas have a good prognosis and around 80% of patients with stage I seminoma (tumor confined to the testis) do not require any treatment after the surgery, thus most of the centers practice a surveillance strategy (151, 168, 170). Nonseminomas have a somewhat poorer prognosis (relapse rate is around 30%) and in some centers, patients with nonseminoma and high risk of relapse are treated with one course of adjuvant chemotherapy with cisplatin and etoposide (171, 172), but most centers currently recommend a surveillance strategy (1, 151, 152, 168, 172).

 

The most common post-surgical management of disseminated disease is systemic chemotherapy with a combination of cytotoxic drugs. The standard first line chemotherapy regimen is BEP (bleomycin, etoposide and cisplatin), administered in 3 or 4 cycles, depending on the patient’s prognosis (173, 174). It is very important to make a dynamic assessment of the progress of treatment through the early stages of chemotherapy, thus monitoring of serum markers is obligatory. Post-chemotherapy retroperitoneal surgery should be performed in patients with a residual tumor after BEP (151). In patients with relapse after first line treatment, salvage regimens and complex surgery for residual tumors need to be performed. Overall, the management is difficult, thus it should be carried out in specialized tertiary centers (1, 167).

 

The majority of relapses occur within 2 years of the initial treatment but late relapses are observed in some cases, therefore individual management of each patient and lifetime follow-up is advocated in some patients (1, 151, 167). Andrological follow-up should be coordinated with the post-surgery oncological management and controls (see the section on ‘Endocrine problems and late effects’).

 

SEX CORD-STROMAL TUMORS OF THE TESTIS

 

In adults, sex cord-stromal tumors of the testis are found in less than 5% of all testicular tumors, whereas in children, these tumors are more common and account for approximately 25% of cases (123, 175, 176, 177, 178). Most of these tumors are benign, only around 5% have malignant characteristics (2). The classification of the tumors by WHO (2016) is shown in a simplified form in Table 3 (2).

 

Sex cord-stromal tumors are derived from testicular somatic cells; Leydig cells, and Sertoli/granulosa cells. Despite a different cell of origin, some stromal tumors are sometimes misinterpreted as seminoma. A number of features can be used to distinguish sex cord-stromal tumors from germ cell tumors; Inhibin A and B are the best serum markers for this purpose (179, 180, 181). Inhibin A appears to be a common immunohistochemical marker for sex cord-stromal tumors, including Leydig cell, Sertoli cell and juvenile granulosa cell tumors (179, 182). Sertoli cell tumors are positive for anti-Mullerian hormone (183) and GATA-4 (184), while Leydig cell tumors express steroidogenic enzymes and INSL3 (185). Other useful immunohistochemical markers, include SOX9, calretinin, CD99, SF1 (2).

 

Table 3. Sex Cord-Stromal Tumors of the Testis, Adapted from WHO Classification (ref. 2)

 

·                Leydig cell tumor (8650/1)

Malignant Leydig cell tumor (8650/3)

·                Sertoli cell tumor (SCT) (8640/1)
Malignant SCT (8640/3)
Large cell calcifying SCT (8642/1)
Intratubular large cell calcifying SCT (8643/1)

·                Granulosa cell tumors

Juvenile-type granulosa cell tumor (8622/1)

Adult-type granulosa cell tumor (8620/1)

·                The fibroma-thecoma tumors (8600/0)

·                Mixed sex cord-stromal tumors (8592/1)

·                Unclassified sex cord-stromal tumors (8591/1)

*Footnote to Table 2: The codes in parentheses are from the International Classification of Diseases for Oncology (ICD-O-3).

 

Leydig Cell Hyperplasia and Tumors



Leydig cells are located in the interstitial compartment of the testis and are involved in the development of secondary male characteristics and maintenance of spermatogenesis by secretion of testosterone. Although Leydig cells in adult men are considered to be a terminally differentiated and mitotically quiescent cell type, in various disorders of testicular function, focal or diffuse Leydig cell hyperplasia is very common.  Micronodules of Leydig cells are frequently seen in certain conditions associated with severe decrease of spermatogenesis or germinal aplasia, such as the Sertoli-cell-only syndrome (Del Castillo syndrome), cryptorchidism, or Klinefelter syndrome, when the nodules can be particularly florid (186, 187). A term 'Leydig cell adenoma' is used when the size of a nodule exceeds several- fold the diameter of a seminiferous tubule. It is unknown whether Leydig cell adenomas can progress further to form overt Leydig cell tumors, but even if it were the case, it is exceedingly rare. Morphological heterogeneity of hyperplastic Leydig cells is noticeable in some cases, and it has been shown that the micronodules contain a large proportion of immature Leydig cells (186, 187).

 

The mechanism of Leydig cell hyperplasia and larger nodules in the human male is still poorly understood. Leydig cell nodules of variable-size are common in patients with TDS and infertility, and the functional insufficiency of Leydig cells is often reflected by decreased testosterone/LH ratio whereas patients with overt Leydig cell tumors usually have an increased testosterone/LH ratio and high estradiol (186, 188). The disruption of hypothalamo-pituitary-testicular axis leading to an excessive stimulation of Leydig cells by LH can play a central role (186). This in turn leads to an increased renewal of immature, adult-type Leydig cells from their precursors. The immature cells are characterized by low numbers of Reinke crystals, a relatively high expression of a mesenchymal factor DLK1 and low amounts of INSL3 (187, 189, 190). However, Leydig cell hyperplasia is distinct from tumors that are usually solitary. Leydig cell hyperplasia and adenomas can be easily induced in rodents by administration of estrogens, gonadotropins, and a wide range of chemical compounds. Whether or not humans would be similarly susceptible to environmental effects remains to be elucidated.

 

Leydig cell tumors account for up to 5% of testicular neoplasms and occur in all age groups (2, 178, 191). Approximately 20% are found in boys, most often between five and ten years of age. There is perception that the prevalence of benign Leydig cell tumors among the adults is greater than previously thought, possibly thanks to improved detection of small nonpalpable nodules by modern imaging methods. Higher incidence numbers have also been reported in fertility centers that actively scan the testes of infertile patients (192).

 

In a subset of cases of Leydig cell tumors, activating mutations of the LH receptor (193, 194, 195) or G proteins (196, 197) can be detected. Constitutively activating mutations of LH receptor cause early Leydig cell hyperplasia and precocious puberty (193, 195, 197). Similarly, constitutively activating mutations of Gs-protein in Leydig cells or inactivation of PKAR1A (protein kinase cyclic adenosine monophosphate-dependent regulatory type 1 alpha) lead to hyperplasia and endocrine hyperactivity (178, 197). In adult Leydig cell tumors, germline fumarate hydratase mutations have been identified in a few cases which also had hereditary leiomyomatosis and renal cell cancer (199). 

 

Precocious puberty (so-called testotoxicosis) is the presenting symptom in most of cases of Leydig cell adenomas or tumors in children, due to the excessive androgen production, mainly testosterone that causes growth of penis, pubic hair, accelerated skeletal and muscle growth, advancement of bone age, skin changes (acne, comedos, hair greasing), and adult-type odor of sweat. Androgen secretion in the pediatric cases is gonadotropin independent, and therefore LH and FSH remain low in spite of external signs of puberty (195). Approximately 10% of the boys also have gynecomastia that is caused by estrogens produced in excess due to aromatase activity in some of the tumors or peripheral aromatization of testosterone. It is important to keep in mind that transient gynecomastia or pseudo-gynecomastia can occur in newborns, in obese boys, and at puberty as a non-pathological condition (200). In adults, gynecomastia is a frequent condition with a reported prevalence of 32–65%, depending on the age and the criteria used for definition (summarized in 201). Gynecomastia is sometimes associated with loss of libido, impotence, and infertility (201). However, Leydig cell tumor is the cause in only 1-2% of cases, and the excessive androgen secretion by these tumors rarely causes notable effects in adults (202). Malignant tumors are hormonally active only in exceptional cases (2, 178).

 

In children, Leydig cell tumors are always benign and can be treated with surgical enucleation when the tumor is encapsulated (203). In adults malignant Leydig cell tumors have been found in 10-15 % of patients, and inguinal orchiectomy is often used (204), while testis-sparing enucleation remains an option, if there are no signs of malignancy in the frozen preparation (205). The presence of cytologic atypia, necrosis, angiolymphatic invasion, increased mitotic activity, atypical mitotic figures, infiltrative margins, extension beyond testicular parenchyma, and DNA aneuploidy are associated with metastatic behavior in Leydig cell tumors (178, 202, 206) (see Figure 5).

Figure 5. Histology of a Leydig cell tumor.  The appearance of tumor cells resembles normal Leydig cells. A section stained with hematoxylin-eosin (HE).

 

Malignant Leydig cell tumors do not respond favorably to conventional chemotherapy and irradiation (204). Survival time has ranged from 2 months to 17 years (median, 2 years), and metastases have been detected as late as nine years after the diagnosis (178, 202). Metastatic Leydig cell tumors require salvage surgery, radiotherapy and intensive chemotherapy regimens but in most cases the outcome is poor (188, 207). Therefore, follow-up of patients with malignant Leydig cell tumors has to be life-long. The remaining testis may be irreversibly damaged by longstanding high estrogen levels, resulting in both permanent infertility and hypoandrogenism (202, 206).

 

Testicular Adrenal Rest Tumors (TART)

 

Excessive secretion of adrenocorticotropin (ACTH) in 21-hydroxylase deficiency (congenital adrenal hyperplasia, CAH) or Nelson syndrome (post adrenalectomy status) may lead to development of hyperplastic interstitial nodules called testicular adrenal rests tumors (TART) resembling Leydig cell tumor or hyperplasia (191, 208, 209). These cells are hormonally active in secreting androgens. It is important to remember that the adrenal rests are almost invariably bilateral, whereas the Leydig cell tumors are usually unilateral. Adrenal rests can be treated by appropriate glucocorticoid substitution of the patient, which leads to gradual regression of the 'tumor' in 75 percent of cases (208, 209). TART have to be distinguished from benign hyperplasia, adenomas and malignant Leydig cell tumors (185).

 

Histopathological and endocrine evaluation covering both testicular and adrenal steroids and pituitary gonadotropins and ACTH are important in the differential diagnosis (185, 208). It would be an error to orchidectomize the CAH patients with TART, since the tumors are always benign and only some of them continue to be active after appropriate glucocorticoid substitution. In the patients who do not respond well to glucocorticoid replacement, or develop fibrosis, testis sparing surgery with enucleation of the larger nodules can be considered, if the testicles have become so large that they cause discomfort for the patient (209).

 

Sertoli Cell Tumors



Sertoli cells are the somatic cells in the seminiferous epithelium giving structural, metabolic, and hormonal support to spermatogenic cells. Sertoli cells cease their proliferation at puberty. In rare infantile cases, multiple foci of proliferating Sertoli cells have been described and proposed to be early intratubular forms of Sertoli cell tumors (210). The classification of these tumors according to the WHO (2, 178), is shown in Table 3.

 

Sertoli cell tumors often occur as a part of multiple neoplasia syndromes (see below). Rare Sertoli cell tumors which do not belong to a syndrome are called ‘not otherwise specified’ (NOS). About 5% of these tumors are malignant and can metastasize. The age of patients ranges from 18 to 80 years, but most of them are young adults (median age 30). Out of 60 patients, only four were younger than 20 years old in the series reviewed by Young et al. (211). The tumors typically are composed of sex cord cells with tubular differentiation, with a subset of tumors hyalinized, previously classified as sclerosing variant (2).  Some tumors often contain lipid droplets but do not show any endocrine activity. The molecular origin is known only in a small proportion of tumors with sclerosing appearance, in which CTNNB1mutations causing nuclear accumulation of β-catenin were identified (212). The tumors occurred in descended testes and were always unilateral. An infiltrative margin was found in four cases, but most of the tumors were well demarcated. The tumors were hormonally inactive, and only two patients with alcoholic cirrhosis also had gynecomastia. Eighteen pediatric cases were reported from the Kiel Pediatric Tumor Registry (176), but perhaps the histopathologic pattern was somewhat different, because the age of the children was very young, ranging from 0 to 14 months (median 4 months). Juvenile Sertoli cell tumors often showed infiltrative growth into adjacent tissue, dense cellularity and considerable proliferative activity. However, after surgical excision no local recurrences and no metastases occurred. Thus, these patients have a good prognosis. These Sertoli cell tumors can be treated by orchiectomy, and retroperitoneal lymphadenectomy is indicated only when there is radiographically detected retroperitoneal involvement (213).

 

Calcifying Sertoli cell tumors, are frequently found in association with two distinct multiple neoplasm syndromes, Carney complex and Peutz-Jeghers syndrome, however in the latter syndrome, the tumors belong to a distinct ‘intratubular’ morphological group (2, 178, 214). Association of large-cell calcifying Sertoli cell tumors with other neoplasms, particularly heart myxomas in Carney complex and gastrointestinal tumors in Peutz-Jeghers syndrome, should be kept in mind to reach an early diagnosis of these potentially fatal diseases.

 

The Carney complex is characterized by skin myxomas, heart myxomas, skin pigmentations, adrenal and testicular tumors, but other tumors can also occur (215). The testicular tumors are large-cell calcifying Sertoli cell tumors that are multifocal and bilateral, and should be distinguished from teratomas (Figure 6) (178, 216, 217). The tumors appear usually during the second decade of life (218). Only one malignant case has been reported in association with Carney complex (in an adult patient), whereas seven malignant tumors were reported in other patients with large-cell calcifying Sertoli cell tumors (218). These patients were older than 25 years. The malignant cases were unilateral and solitary in contrast to bilateral and multifocal occurrence of testicular tumors in Carney complex. Large-cell calcifying Sertoli cell tumors are usually not hormonally active, although elevated levels of serum inhibin B or testosterone have been reported, but other tumors of Carney complex, including Leydig cell tumors, can cause endocrine manifestations (181, 213, 214).

Figure 6. Large cell calcifying Sertoli cell tumor isolated from a 12-year-old boy. The neoplastic tubules contain only large pale Sertoli cells and visible calcifications in the lumen (stained with PAS). Adjacent normal tubules show advanced spermatogenesis.

 

Two genetic loci for Carney complex have been identified on chromosome 2p16 (196) and 17q23-24 (219, 220). Germline mutations identified in Carney complex most often occur in type I-alpha regulatory subunit of protein kinase A, PRKAR1A (221, 222). Inactivating mutations of phosphodiesterase 11A212 and phosphodiesterase 8B213 are associated with bilateral adrenocortical hyperplasia in Carney complex patients. Genetic variation of the phosphodiesterase 11A gene can modify the development of the testicular tumors (223). Molecular genetic diagnosis is available to many of these patients. However, only a part of the mutations occur in the germ line, and therefore genetic analysis should be performed on affected tissues, such as the tumors, in cases of somatic cell line mutations.

 

In Peutz-Jeghers syndrome Sertoli cell tumors are similar in appearance to those found in Carney complex patients, but can be distinguished by typical intratubular proliferation of lightly eosinophilic cells with prominent basement membrane deposits, and occasionally, features of ovarian sex-cord tumors with annular tubules (178). Thus, the tumors are described as intratubular large-cell hyalinizing Sertoli cell neoplasia. These tumors may have strong aromatase activity and therefore be associated with gynecomastia and advanced bone age (224). No malignant testicular tumors have been reported in Peutz-Jeghers patients, but they have a highly increased risk of other neoplasms, especially colorectal, breast, pancreatic and ovarian cancers (214). Germline loss-of-function mutations in the STK11/LKB1 gene that encodes for a serine-threonine kinase causes Peutz-Jeghers syndrome in the majority of patients, allowing molecular genetic diagnostics (214, 224, 225).

 

Patients with the Sertoli cell tumors should be treated conservatively during childhood to give them a possibility for sperm banking before orchiectomy comes necessary (226).  Autosomal dominant inheritance should be considered in genetic counselling. The patients should be frequently controlled with ultrasound examinations to follow changes in the tumors size, and reproductive hormone measurements. If precocious puberty and/or gynecomastia appear, aromatase inhibitors and antiandrogens can be used to prevent estrogen formation and androgen action (219, 226). There are currently no clear guidelines for the treatment of metastatic Sertoli cell cancers, but orchiectomy and retroperitoneal lymph node dissection are usually performed combined with individualized chemotherapy and radiotherapy (227). Without surgery, the metastatic disease progresses and 20-month median survival time of patients was reported (IQR: 6–30 months) (227).

 

 Granulosa Cell Tumors



Juvenile-type granulosa cell tumors are rare but are the most common somatic testicular tumors in infants and occur during the first 6 months after birth (2, 176, 178, 228). These tumors were described in patients with undescended testes with abnormal sex chromosomes and ambiguous genitalia (176). Prominent differentiation into follicles and immature nuclei distinguishes juvenile granulosa cell tumors from other Sertoli cell tumors that express tubular differentiation (178, 229). Most of the immunohistochemical markers in these tumor types are similar, e.g., inhibin, calretinin, but also distinct, e.g., expression of FOXL2 (229). Juvenile granulosa cell tumors always have a good prognosis (230). Testicular tumors do not show endocrine hyperactivity, in contrast to ovarian juvenile granulosa cell tumors. Aberrant WNT signaling (231) and stimulatory G-protein mediated signaling (232) have been linked with juvenile granulosa cell tumors. The patients should be managed comprehensively by a multidisciplinary DSD team, and the treatment of tumors may require orchiectomy.

 

Adult-type granulosa cell tumors are comparable to the ovarian tumors, but are extremely rare (2, 178, 233). These tumors occur in adults at an average age of 42 years. Twenty percent of the patients have shown gynecomastia due to the hormonal activity of the tumor. Most of the tumors are benign, but some malignant cases have also been reported (230). Mutations in FOXL2 have been reported in adult ovarian granulosa cell tumors but only few secondary mutations have been found in testicular granulosa cell tumors (234, 235). The treatment is primarily surgical.

 

Fibroma-Thecoma Tumors

These exceedingly rare neoplasms are composed of fibroblastic cells of testicular stroma or tunica albuginea (2). These tumors are reported to be benign.

 

Mixed and Unclassified Sex Cord-Stromal Tumors

Tumors consisting of more than one stromal or tubular component or have indeterminate morphology are classified as mixed and unclassified sex cord-stromal tumors (2). Sex cord-stromal tumors can contain combinations of Leydig, Sertoli, granulosa, and theca cells, and are therefore called mixed tumors (178). Leydig cells can be difficult to recognize in these tumors. These tumors are rare and can occur at any age. Depending on the predominant cell type the tumors may behave differently. Gynecomastia, as a sign of endocrine activity, can be found in 10% of patients (2). These tumors are always benign in children, but in adults, malignancy can be found (232). Thus, most of the patients can be treated by orchiectomy, and lymph node dissection is indicated only in cases with overt malignant features on microscopic examination.

 

OTHER TESTICULAR TUMORS

 

Other tumors occurring in the testis are divided into miscellaneous and hematolymphoid tumors (2, 178). The first group includes ovarian epithelial-type tumors, serous or mucinous cystadenomas, adenocarcinomas, Brenner tumor, xantogranuloma, and hemangioma. The hematolymphoid tumors comprise malignant lymphomas (B-cell, NK/T-cell or follicular), plasmacytoma, myeloid sarcoma and Rosai-Dorfman disease (2, 178). In addition, testicular spread of malignant acute leukemia is common in young boys, and metastases from other solid tumors including the prostate gland, colon, kidney, stomach, pancreas, and malignant melanoma can be found in the testis of adults.

 

ENDOCRINE PROBLEMS AND LATE EFFECTS IN TESTICULAR CANCER PATIENTS

 

Testis Dysfunction and Fertility Issues

 

Relative imbalance of androgen signaling (excess or deficiency) causes the most pronounced secondary endocrine symptoms associated with testicular tumors. Testosterone is produced by tumors, such as Leydig cell tumors, or by normal Leydig cells stimulated by large amounts of hCG from some germ cell tumors. Excess of androgens would lead to precocious puberty in children (193, 194, 195). In addition, aromatization of androgens leads to a relative excess of estrogens, which causes impairment of spermatogenesis in adults and gynecomastia at any age (224, 236).

 

Testicular dysfunction in young adult patients with testicular cancer, who usually are in their best reproductive age, is a serious clinical problem. Patients with TGCT have poor spermatogenesis and decreased fertility even before the overt tumor has developed (67, 68, 69, 130) and before cytotoxic treatment (237, 238). Pathological features can include oligozoospermia or azoospermia, moderately decreased testosterone and elevated LH levels. If testicular biopsies are taken, a variable degree of testicular dysgenesis or atrophy is often seen, and in some cases further complicated by the presence of GCNIS. Examination of a contralateral biopsy in a patient with a unilateral tumor may show a similar picture; with at least 5-7% risk of the presence of GCNIS cells (71, 126).

 

Testicular function is further disturbed by treatment of malignancy. In recent years there is growing concern about adverse late effects of irradiation and chemotherapy, which induce severe impairment of spermatogenesis and DNA damage (1, 167, 168, 239, 240).  Refinement of the dosage must be considered in each patient individually, to eradicate the neoplasm with least possible damage to the endocrine function. The eradication of GCNIS or a tumor by irradiation in bilateral cancer cases leads also invariably to the disappearance of all germ cells and sterility. This underlines the importance of semen cryopreservation before treatment, which will allow assisted reproduction treatment, if needed (238, 241).

 

All patients treated for testicular cancer require assessment of their reproductive hormones and spermatogenic capacity by semen analysis with respect to their future fertility. If semen banking or pre-operative sperm retrieval is not possible or if the patient has azoospermia or cryptozoospermia, testicular sperm extraction (TESE) at the time of orchiectomy (‘onco-TESE’) may be the only chance of fertility, and can be attempted in specialized centers (165, 166). TESE and subsequent intracytoplasmic sperm injection (ICSI) may be also an option for fertility treatment in some cases of post-chemotherapy azoospermia (242).

 

Fertility preservation is a serious challenge in children and young adolescents. In the adolescent boys who are unable to ejaculate, penile vibratory stimulation or electroejaculation can be considered (243). However, there is currently no treatment for prepubertal boys. There are ongoing studies attempting to optimize protocols of cryopreservation of immature testis tissue before cytotoxic treatment or orchiectomy (244). This approach would require in vitro or in vivoinduction of spermatogenesis and gametogenesis, which has not yet been achieved satisfactorily in humans, but studies in experimental animals, including nonhuman primates are promising (245).

 

Long-Term Sequelae and Quality of Life

 

All patients treated for testicular cancer require monitoring of their reproductive hormone profiles not only with respect to their fertility, if paternity is desired, but also risk of testosterone deficiency and ensuing symptoms (246, 247, 248).

 

An increased risk of cardiovascular disease is present in TGCT survivors who have been treated with radio- or chemotherapy (249, 250) but a recent Danish study found that the risk decreases during long-term follow-up, although it remains elevated (251). Additional problems in survivors of TGCT treated with radiotherapy or chemotherapy are increased risk of peripheral neuropathy or ototoxicity (after chemotherapy) and sexual dysfunction (after chemotherapy and radiotherapy) (239, 240, 250, 251, 252). 

 

Survivors of metastatic TGCT have increased mortality rates when compared to the general male population. A study from Norway reported that most of the excess deaths occurred within a decade from diagnosis due to the testicular cancer, but during a longer follow-up, additional excess deaths appeared in patients treated with radiotherapy or cisplatin-based chemotherapy, mainly due to non-TGCT second cancers; primarily gastric, pancreatic or bladder tumors (253, 254). A population-based large study from the US found an increased risk of leukemia after chemotherapy and a marked excess of solid tumors in patients treated with radiotherapy, which can appear after long follow-up (255). This study confirmed previously published worrying reports from several centers, which called for reducing the use of radiotherapy and radiologic imaging procedures during the follow-up (256).

 

Of importance for the testicular cancer survivors are also quality of life issues related to prolonged anxiety, depression and psychological stress, and loss in socioeconomic status or unemployment, leading to excess of suicide among the patients (167, 252, 254, 257, 258, 255, 259, 260). Hence, a psychologist/social advisor should be added to the multidisciplinary team of experts caring for survivors of TGCT. Clearly, the focus of the current comprehensive care has moved from survival to survivorship of the patients after their recovery from testicular cancer.

 

CONCLUSION

 

Key take home points are shown in figure 7.

Figure 7. Key take home points.

 

ACKNOWLEDGEMENTS  

 

The authors thank Prof. Niels E. Skakkebæk for his mentorship, and the research and clinical teams at their departments for the contribution to the studies summarized in this review. The work was supported by grants from numerous foundations, with the biggest contributions from the Danish Cancer Society, the Lundbeck Foundation, the Svend Andersen Foundation, the Danish Advanced Technology Foundation, Sigrid Juselius Foundation and Novo Nordisk Foundation.

 

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Estrogens, Male Reproduction and Beyond

ABSTRACT

 

In males, estrogens exert pleiotropic effects by acting on several tissue and organs, including the male reproductive system. The action of estrogens is manifest from prenatal life during which the exposure to estrogen excess might influence the development of some structures of the male reproductive tract. Male fertility is under the control of estrogens, especially in rodents. The loss of function of estrogen receptor alpha and/or of the aromatase enzyme leads to infertility in mice. In men, estrogens are able to exert their actions at several levels through the reproductive tract and on several different reproductive cells. However, the regulation of human male reproduction is complex, and the role of estrogens is less clear compared to mice. During fetal and perinatal life, estrogen acts on the central nervous system by modulating the development of some areas within the brain that are committed to controlling male sexual behavior in terms of setting gender identity, sexual orientation development and the evolution of normal adult male sexual behavior. This organizational, central effect of estrogens is of particular significance in other species (especially rodents and rams), but probably less important in men where psychosocial factors become more determining. Other relevant, non-reproductive physiological events, such as bone maturation and mineralization and glucose metabolism, depend on estrogen in men and an increasing body of evidence is disclosing new non-reproductive estrogen function. In this chapter we provide an update of estrogen’s role by reviewing the physiological actions of estrogen on male reproduction and the pathophysiology related to estrogen deficiency and estrogen excess. Phenotypes associated with estrogen deficiency and excess in rodents and in man have shed new light on the mechanisms involved in male reproduction, challenging the perception of the predominant importance of androgens in men. It is now clear that the imbalance between estrogen and androgen in men might affect male reproductive function even in presence of normal circulating androgens. Some uncertainties still remain, especially regarding the impact of abnormal serum estrogen levels on male health, particularly due to the fact that estrogen is not routinely measured in men in clinical practice. Advancements in methods to precisely measure estrogens in men, together with a reduction of their costs, should provide better evidence on this issue and inform clinical practice. In parallel, new basic, genetic, and clinical research is required to improve our knowledge on the role of estrogen in male reproductive function and men’s health in general.

 

INTRODUCTION

 

From an historical perspective, estrogens were identified about 85 years ago and estradiol was identified in 1940, reviewed in (1,2). The first evidence of estrogen production in the male was provided in 1934 by Zondek (3), who documented that male stallions excrete high levels of estrogens in the urine and hypothesized that estrogen production in the male occurs via the intratesticular conversion of androgens into estrogens (1,3,4).

 

In men, the conversion of androgens into estrogens was first demonstrated a few years later, when an increase in urinary estrogens after the administration of exogenous testosterone was recorded in normal men (5) (Figure 1).

 

Figure 1. Milestones in the advancement of research in the area of estrogens in men.
[E2: 17β-estradiol; ER: estrogen receptor; ERKO: Estrogen Receptor Knock out; ARKO: Aromatase Knock out]

A more detailed demonstration of estrogen production in the human male was provided several years later in 1979 by MacDonald et al. who showed that the aromatization of androgens to estrogens can occur also peripherally in several tissues other than in the testes (2,6).

 

Prior to the demonstration of estrogen production in males, the effects of estrogen excess on the development of male reproductive organs had been evident since the 1930s (7). Thus, the concept that male tissues are responsive to estrogens was not new, but it was thought that only a great amount of estrogens was able to induce such changes in males (2).

 

Notwithstanding the large amount of data accumulated in the last eighty years, research in the field of estrogen excess and its role on male reproductive system is still ongoing (8) (Figure 1).

 

The pioneering studies of Zondek and MacDonald opened the way for an appreciation of the physiological roles of estrogens in the male beyond their effects during embryogenesis (2). Several studies, year after year, provided further data on estrogen’s role in men (9-12), since the first pilot studies on estrogens and male reproductive function (13,14).

 

The progressive development of immunohistochemical studies and the subsequent progress in the field of molecular biology highlighted the actions of estrogens in the male [for further details see (4)] and opened the way for the creation of estrogen null mice, a useful animal model to study the physiological role of estrogens in vivo (15) (Figure 1).

 

The detailed characterization of estrogen receptors’ structure and function (15,16) together with the discovery and the characterization of genes involved in estrogens synthesis (17) disclosed the biomolecular mechanisms and related pathways involved in estrogen function and dysfunction. It is now clear that estrogen effects in the male are not confined to reproductive organs but are pleiotropic (18).

 

In addition, the development of male transgenic mice lacking functional estrogen receptors or the aromatase enzyme (responsible for estrogen biosynthesis) further contributed to advancements in this field (15,16). Finally, the discovery of mutations in both the human estrogen receptor alpha (19) and aromatase (20,21) genes contributed to an understanding of estrogen’s role in human male physiology and pathophysiology (11,12,22-25) (Figure 1).

 

Nowadays, notwithstanding this long history of studies, reviewed in (26-28), the role of estrogens in the physiology of the male reproductive tract is still not fully understood. The presence of estrogens in the human testis is well documented (29,30), and there is clear evidence that estrogens exert a wide range of biological effects in both men and women (10,12,18,24,25,31).

 

PHYSIOLOGY

 

Estrogen Biosynthesis in Males

 

The term estrogen refers to any substance, natural or synthetic, able to interact with the estrogen receptor (ER) (32,33). 17β-estradiol (estradiol) is the prevalent endogenous estrogen form in mammals, although many of its metabolites could be detected with several degrees of estrogenic activity (34). In humans, the three major endogenous estrogens are estrone (E1), estradiol (E2), and estriol (E3) (33) (Figure 2). In males, estrogens mainly derive from circulating androgens. The key step in estrogen biosynthesis is the aromatization of the C19 androgens, testosterone and androstenedione, to form estradiol and estrone, respectively (32). This step is under the control of the aromatase enzyme (32,35) (Figure 2).

Figure 2. Biochemical pathway of testosterone conversion into estrogen.

However, a wide number of other endogenous products belongs to the category of estrogenic compounds, such as 27-hydroxycholesterol, dehydroepiandrosterone (DHEA), 7-oxo-DHEA, 7α-hydroxy-DHEA, 16α-hydroxy-DHEA, 7β-hydroxyepiandrosterone, Δ4-androstenedione, Δ5-androstenediol, 3α-androstanediol (3α-Adiol), 3β-androstanediol (3β-Adiol), 2-hydroxyestradiol, 2-hydroxyestrone, 4-hydroxyestradiol, and 4-hydroxyestrone and 16α-hydroxyestrone(33). In particular, dihydrotestosterone (DHT), an androgenic metabolite of testosterone that is synthesized by the enzyme 5 alpha reductase, can be metabolized into 3 β-Adiol, an intermediate metabolite with estrogenic activity (32,36). All these molecules differ in terms of ER affinity (33). Various exogenous substances also show estrogenic activity, such as bisphenol A, metalloestrogens, phytoestrogens (e.g., coumestrol, daidzein, genistein, miroestrol) and mycoestrogens (e.g., zeranol) (37). These exogenous estrogens can influence human physiology via environmental exposure or ingestion, however the real impact in vivo as well as critical thresholds and cumulative amount of exposure remain to be fully elucidated (38).

 

The aromatase enzyme is a P450 mono-oxygenase enzyme complex (17) present in the smooth endoplasmic reticulum, which acts through three consecutive hydroxylation reactions, with the final reaction being the aromatization of the A ring of androgens (17,34) (Figure 2). This enzymatic complex is composed of a ubiquitous and non-specific NADPH-cytochrome P450 reductase, together with the regulated form of cytochrome P450 aromatase (17,29). The latter is highly specific for androgens (39,40). The conversion of androgens into estrogens takes place mainly in the testes, adipose tissue and muscle tissue, even though other male tissues are also involved to a lesser extent (17,34,35) (Figure 2).

 

The P450 aromatase enzyme is encoded by the CYP19A1 gene: a gene of 123 kb of length, which consists of at least 16 exons and is located on the long arm of chromosome 15 in the q21.2 region in humans (9,17,34) (Figure 3). This gene belongs to the cytochrome P450 superfamily, similar to other enzymes involved in steroidogenesis (32).

 

Figure 3. Schematic representation of the human aromatase (CYP19) gene.
[Red bars: first exons associated with upstream alternative, tissue-specific promoters; yellow bars: coding exons; black bar: heme-binding region].

Circulating estrogens are mainly reversibly bound to sex hormone binding globulin (SHBG), a β-globulin, and, to a lesser degree, to albumin (41). The amount of circulating free estradiol depends on several factors, of which the concentrations of albumin and SHBG are the most important (41). Serum free estradiol may be calculated by a complicated formula using total estradiol, SHBG, and albumin levels or may be measured by means of equilibrium dialysis or centrifugal ultrafiltration methodology; both, however, are too time consuming and expensive to be employed in routine clinical practice (41). When calculating free estradiol, the reliability of the value of total serum estradiol should be considered, since assays commonly used for estradiol in clinical laboratories have poor accuracy when measuring the low serum estrogen characteristic in males (42-44).

 

Estrogen Actions in Males

 

Estrogen action is mediated by interaction with specific nuclear estrogen receptors (ERs), which are ligand-inducible transcription factors regulating the expression of target genes after hormone binding (10,34,45). Two subtypes of ERs have been described: estrogen receptor α (ERα) and the more recently discovered estrogen receptor β (ERβ) (34,45). These two ER subtypes show different ligand specificity and transcriptional activity, and mediate the classical, direct, ligand-dependent pathway involving estrogen response elements in the promoters of targets genes and protein-protein interactions with several transcription factors (45). These two different ERs have different transcriptional activity (46). In particular, ERβ shows a weaker transcriptional activity compared to ERα (45). This difference is due to the presence of different ERβ isoforms, which can modulate estrogen signaling using different pathways and lead to different impacts on the regulation of target genes (45,46). In addition, it should be remarked that the co-expression of both ERα and ERβ in the same cell determines a complex cross-talk finally resulting in the antagonistic effect exerted by ERβ on ERα-dependent transcription (45,46). Thus, the presence/absence of ER subtypes together with their cross-talk determines a cell’s ability to respond to different ligands as well as the regulation of transcription of different target genes (45).

 

ERα in humans is encoded by the ESR1 gene located on the long arm of chromosome 6, while the ESR2 gene encodes ERβ and is located on band q22-24 of human chromosome 14 (45,46). The two ER proteins have a high degree of homology at the amino acid level (45) (Figure 4).

Figure 4. Estrogen receptor gene structure showing the 9 exons (lower panel), cDNA domains (indicating exons), and protein structures of both ERα and ERβ (upper panels: colored boxes denote the different functional domains of the protein).

ERs are nuclear receptors in which structurally and functionally distinct domains are recognized. Estrogens bind the COOH-terminal multifunctional ligand-binding domain (LBD), whereas the DNA-binding domain recognizes and binds DNA (45,46). The NH2-terminal domain, the most variable domain, is involved in the transcriptional activation (45). This domain recruits a range of coregulatory protein complexes to the DNA-bound receptor (45). The two ER forms share a high degree of sequence homology except in their NH2-terminal domains. This specificity accounts for different transcriptional effects on different target genes (45,46). The ER genomic pathway begins with the binding of estrogen to ER (45). This interaction induces conformational changes in the ER, allowing receptor dimerization and subsequent nuclear translocation prior to binding to estrogen response elements or to other regulatory sites within target genes (45,46). Thereafter, the availability of several coregulatory proteins influences the transcriptional response to estrogen (45,46).

 

While it is clear that estrogens regulate transcription via nuclear interaction with their receptors, a non-genomic action of estrogens has been also demonstrated, suggesting a different molecular mechanism involved in some estrogen actions (34,45-48). In vitro studies show a very short latency time between the administration of estrogens and the appearance of its biological effects. These actions seem to be mediated by a cell-surface G protein-coupled receptor, known as GPR30, that does not act through a transcriptional mechanism (34,47,48). Rapid effects of estrogens result from the actions of specific receptors localized most often to the plasma membrane; in particular it seems that a monomeric portion of the ERα is translocated from the nucleus to the plasma membrane (47,48).

 

Recently, immunohistochemical analysis of murine tissues reported the presence of GPR30 in the male reproductive tract, including testes, epididymis, vas deferens, seminal vesicles and prostate (49). Furthermore, a rapid response to estradiol suggests that non-genomic estrogen actions are involved also in human spermatozoa (50,51). The different intracellular pathways of estrogen action are summarized in Table 1.

 

Table 1. Characteristics of Estrogen Actions and Related Biomolecular Pathways

Estrogen Actions

Receptors

Mechanism/Pathway

Final effect

Features

 

 

 

Genomic

(Nuclear actions) 

ERα

Transcriptional: nuclear interaction with estrogen-responsive elements 

Modulation of estrogen target gene expression

Slow effects (minutes or hours)

ERβ

Transcriptional: nuclear interaction with estrogen-responsive elements 

Modulation of estrogen target gene expression

Slow effects (minutes or hours)

Non-genomic (cell membranes actions)

Estrogen receptors on cells membrane (GPR30) 

Cells membrane changes

Changes in ionic transport through cell surface

Rapid effects (seconds)

[ERα: estrogen receptor alpha; ERβ: estrogen receptor beta].

 

Aromatase enzyme and ERs are widely expressed in the male reproductive tract both in animals and humans (52,53), implying that estrogen biosynthesis occurs at this site and that both locally produced and circulating estrogens may interact with ERs in an intracrine/paracrine and/or endocrine fashion (34). Today, it is clear that not only testicular somatic cells, but also germ cells constitute a source of estrogens in human (29,54). Thus, the concept of a key role for estrogen in the male reproductive tract is strongly supported by the ability of the male reproductive structures to produce and respond to estrogens (26,52). In men, the aromatase enzyme and ERs are expressed in several tissues including those involved in male reproduction. The distribution and expression of aromatase and ERs described below concerns the male reproductive organs.

 

Aromatase and ERs in the Male Reproductive Tract

 

The distribution of ERs and aromatase in both the developing and adult male reproductive tract of rodents and humans is summarized below.

 

DISTRIBUTION OF ERs AND AROMATASE IN FETAL RODENTS

 

Aromatase and ERs are found at a very early stage of development in the rodent testis, thus suggesting a role for estrogens in influencing testicular development (4,26,55-57).

 

Leydig cells in fetal rodent testis express ERα before the androgen receptor. Moreover, ERα is abundant in the developing efferent ductules, which are the first male reproductive structures to express ERs during fetal development (58-60). Furthermore, the epididymis also expresses ERα in the fetal rodent. By contrast, it is unclear whether ERα is present within the seminiferous tubules of the fetal testis since conflicting results have been reported in literature (26,29,57).

 

ERβ is found early in fetal testis, particularly in gonocytes, Sertoli and Leydig cells, with the gonocytes showing the highest expression between 10-16 days post coitum (61). This suggests a role for estrogens in their maturation. In addition, ERβ is expressed by rat Wolffian ducts, the structures from which the efferent ductules and epididymis arise (26,57). ERα is widely expressed in efferent ductules from fetal life to adulthood, implying a crucial role in male reproduction that has been well documented in adult rodents (27,52,60). On the other hand, ERβ is mainly expressed during fetal life, suggesting a major role in the development of male reproductive structures until birth (26).

 

A recent study suggests that estradiol is also able to increase the production of stem cell factors by fetal human Sertoli cells, finally resulting in the proliferation and growth of spermatogonial stem cells (62). With this in view, estrogen deficiency during fetal life may conditioning the total amount of spermatogonia available in the future for the spermatogenetic maturation.

 

Aromatase is expressed in both Leydig and Sertoli cells in the fetal rodent testis, but not in gonocytes and immature structures of the seminal tract. ER and aromatase distribution in the fetal testes as summarized in Table 2. The presence of both aromatase and ERs in the developing fetal testis implies a possible involvement of estrogens in the process of differentiation and maturation of developing rodent testis just starting from an early stage of embryogenesis, with ERβ possibly playing a greater role than ERα (53,55,56).

 

Both ERα and ERβ are expressed in the fetal penile tissue and estrogens seem to be important for penile growth as well as for the normal differentiation of the terminal part of the urethra (63,64). In particular estrogen takes part together with androgens in the final fusion of the penile urethra (64) and estrogen deficiency due to both ERs disruption and aromatase deficiency may cause hypospadias in rodents (63-65).

 

Table 2. ERs and Aromatase Distribution in the Rodent Fetal Testis and Efferent Ducts

 

ERα

ERβ

Aromatase

Leydig cells

++

++

+

Sertoli cells

-

++

++

Gonocytes

-

+++

-

Efferent Ducts

+

+

-

Penile tissue

++

++

?

The proposed distribution is based on information from various studies including immunohistochemical and mRNA expression studies.

[ERα: estrogen receptor alpha; ERβ: estrogen receptor beta].

 

DISTRIBUTION OF ERs AND AROMATASE IN ADULT RODENT REPRODUCTIVE TRACT     

 

ERα is expressed (both in terms of mRNA and protein) in the Leydig cells of both adult rats and mice (66) but not in Sertoli cells, and is mainly expressed in the proximal (rete testis, efferent ductules, proximal epididymis), rather than in the distal (corpus and cauda of the epididymis, vas deferens) reproductive ducts (26). However, in neonatal and prepubertal rats, estradiol increases the expression of proteins involved in the proliferation and differentiation of Sertoli cells and of proteins involved in the adhesion of germ cells to Sertoli cells (67). Furthermore, ERα has been immunolocalized in ciliated and non-ciliated cell nuclei of the epididymal epithelium (59,68). This peculiar distribution explains several important estrogen actions in the proximal ducts, especially within the efferent ductules that are small and convoluted tubules connecting the rete testis (an anastomosing network of intricate and tenuous tubules located in the hilum of the testis) to the epididymis (60). In the efferent ductules, estrogens promote fluid reabsorption (52,60,69). Finally, the full-length form of ERα has been detected in purified rat germ cells, using a specific antibody directed against the C-terminal region of the protein (70) (Table 3).

 

ERβ is expressed (both in terms of mRNA and protein) in Leydig and Sertoli cells in adult rodents (26,57,60) and in monkey germ cells (71); furthermore, it is expressed also in epithelial and peritubular cells of efferent ducts (59,68). For many years the presence of ERβ in rodent germ cells has been the subject of some debate due to discrepancies in the results of different immunohistochemical studies (72). Immunolocalization of ERβ in differentiated germ cells of adult rodents has been revealed in various studies (61,73). Conversely, no ERβ immunoreactivity was found in rodent germ cells in other studies (74), while mRNA expression seems to decline from fetal life to adulthood in the rat (72). Nevertheless, ERβ seem to be involved in the regulation of gonocyte multiplication, which is under the influence of growth factors and estradiol (16), suggesting a functional role for ERβ at least in immature male germ cells. In addition, several studies have recently identified several pathways involving the ERβ in germ cells confirming both its presence and activity of these cells (75,76).

 

Table 3. ERs and Aromatase Distribution in the Adult Rodent Testis and Efferent Ducts

 

ERα

ERβ

GPR30

Aromatase

Leydig cells

+

+ / -

+

+++

Sertoli cells

-

+

+

+

Germ cells

Spermatogonia

Pachytene Spermatocytes

Round Spermatids

Spermatozoa

+

+

+

+

+

++

+

+

+

+

+

+

+

+

?

++++

+

+

++

+

Efferent ductules

++++

+

?

+

The proposed distribution is based on information from various studies including immunohistochemical and mRNA expression studies.

[ER α: estrogen receptor alpha; ERβ: estrogen receptor beta; GPR30: G protein-coupled receptor].

 

GPR30 is widely expressed (both in terms of mRNA and protein) in rodent testis (77). In particular, this receptor is expressed in rat Leydig cells (78) and Sertoli cells (79,80), in the spermatogonia GC-1 cell line (81), in rat pachytene spermatocytes (70), and in round spermatids (82).

 

Rodent Leydig cells show higher aromatase expression than Sertoli cells (83). Aromatase is also expressed at high levels in germ cells throughout all stages of maturation, with its expression increasing as germ cells mature into spermatids. Aromatase mRNA expression and enzyme activity  are present in both rat and mouse germ cells from the pachytene spermatocyte stage, and during their subsequent maturation into round spermatids (57,60,83) (Table 3). Carreau et al. demonstrated that aromatase activity in germ cells was more than 50% of that of the whole testis (29). This intensive activity suggests that germ cells may be a major source of estrogen in adult rodents (57,60,83) (Table 3). Specifically, when fully developed spermatids are released from the epithelium, aromatase is present in the residual body (the remains of the spermatid cytoplasm that is removed during spermiation) and is subsequently phagocytosed by the Sertoli cell. Aromatase activity also remains detectable in the cytoplasmic droplet attached to the flagellum when sperm passes through the epididymis, suggesting that mature spermatozoa are able to synthesize their own estrogen as they pass through the efferent ducts (29,84). The ability to synthesize estrogen gradually decreases as the droplet slowly moves to the end of the tail during epididymal transit until it is finally lost. The demonstration of aromatase in sperm is important as it suggests that the sperm itself could control the levels of estrogen present in the luminal fluid, and might directly modulate some functions such as the reabsorption of fluid from the efferent ductules (60).

 

DISTRIBUTION OF ERs AND AROMATASE IN THE HUMAN MALE REPRODUCTIVE SYSTEM

 

ERs are present in human testis and reproductive tract (29,60,85,86). In the male fetus both ERβ and aromatase are expressed in Sertoli, Leydig and germ cells from 13 to 24 weeks, whereas ERα expression is absent (86,87). Furthermore, ERβ immunoreactivity in the epididymis suggests a putative role for locally produced estrogens, the actions of which are likely mediated by ERβ in this site. This supports the importance of estrogens for the prenatal development and function of male reproductive structures, which is well documented in literature (87). In particular, estrogens play an important role in the development of the rete testis, efferent ductules, epididymis, and vas deferens (88).

Aromatase and ERβ, but not ERα, continue to be expressed (both in terms of mRNA and protein) during the prepubertal period in men, but their function during infancy remains unclear, especially if the very low  levels of both circulating and locally produced sex steroids in this period of life is taken into account (89).

 

In adult men, ERα is expressed only in Leydig cells, while ERβ has been documented in both Leydig and Sertoli cells and in the efferent ducts (74) (Table 4). The presence of ERs in the human epididymis is still a matter of debate (27), even though ERα has been detected in the nuclei of epithelial cells of the caput of the epididymis (90), and recent data confirms its presence in the epididymis (86). Both ERs (ERα and β) have been identified in isolated immature germ cells (29). Furthermore, they were localized in mature spermatozoa (91) and in ejaculated spermatozoa (92). Luconi et al. first described an estrogen receptor-related protein in the sperm membrane (50,51). This protein is able to bind steroid hormones and may act through a calcium-calmodulin dependent pathway, accounting for a well-documented rapid non-genomic action (50,51). Subsequently, the expression (both in terms of mRNA and protein) of both ERs in human ejaculated spermatozoa (92,93) reinforced the concept that estrogens are able to modulate the spermatogenic process from its onset within the testes through to the final process of sperm maturation after ejaculation (4,29,92,93). The ERα and ERβ localize to different regions in human sperm, with ERα present in the compact zone in the equatorial segment of the upper post-acrosomal region of the sperm head, and ERβ in the mid-piece, at the site of the mitochondria (57). This confirms that each type of receptor probably has a distinct role in sperm physiology and in the process of fertilization (75,94).

 

Table 4. ERs and Aromatase Distribution in the Human Testis and Efferent Ductules

 

ERα

ERβ

GPR30

Aromatase

Leydig cells

+

+ / -

+

+

Sertoli cells

-

+

+

+

Germ cells

Spermatogonia

Pachytene Spermatocytes

Round Spermatids

Spermatozoa

 

-

+

+

+

 

+

+

+

++

 

+

-

-

-

 

ND

+

+

+

Efferent ductules

+

+

?

+

The proposed distribution is based on information from various studies including immunohistochemical and mRNA expression studies.

[ERα: estrogen receptor alpha; ERβ: estrogen receptor beta; GPR30: G protein-coupled receptor].

 

Of particular interest is the demonstration of differential expression in the human testis of wild type ERβ (ERβ1) and of a human variant form of ERβ, the latter arising from alternate splicing (known as ERβcx, or ERβ2), (95,96). ERβ2 expression seems to be associated with prevalent, negative inhibition of ER action by inhibiting ERα–induced transactivation (97); it is highest in spermatogonia and Sertoli cells in adult men, suggesting that these cells may be "protected" from estrogen action (95,96). Wild type ERβ1 was mostly present in pachytene spermatocytes and round spermatids, which have been proposed to be more estrogen sensitive (26), yet ERβ1 was low in less mature germ cells (95). In addition, the discovery of several splice variants of ERβ (including ERβ4) in human testicular cells suggests a specific and more complex estrogen action on spermatogenesis (96).

 

Besides, the cellular distribution of non-genomic GPR30 estrogen receptor in human testicular biopsies was examined (98). Immunohistochemical analysis of testicular sections identified the GPR30 receptor in the cytoplasm of Leydig cells, Sertoli cells and spermatogonia (98). This pattern of localization was further demonstrated by the analysis of GPR30 expression (both in terms of mRNA and protein) in isolated germ cells and in Sertoli cell culture (98). This peculiar distribution suggests that GPR30 may be involved in germ cell differentiation (98). Furthermore, the presence of GPR30 in human spermatozoa has been confirmed at both the mRNA and protein level, with this receptor being localized in the sperm mid-piece (99). The co-expression of the two classic ERs and of the GPR30 receptor in the same area within the spermatozoa (mid-piece and acrosome region) suggests a complex cross-talk among all these receptors able to influence physiological processes and pathological implications, such as tumorigenesis (100).

 

Aromatase expression in the human testis is present in both somatic and germ cells (53,88). Specifically, it is expressed in Leydig and Sertoli cells (101,102), in immature germ cells, from pachytene spermatocytes through elongated spermatids (57,101), and ejaculated sperm cells (103). Locally produced estrogens in sperm are proposed to exert a protective action on sperm DNA by preventing sperm DNA damage (104), thus accounting for estrogen’s potential role as a survival factor during sperm transit through the seminal vesicles (105). Unlike rodents, aromatase expression in human gametes persists during the transit through the genital tracts, since P450 aromatase has been demonstrated in human ejaculated spermatozoa at three different functional levels: mRNA expression, protein production and activity (92). Therefore, as in rodents, human sperm are considered a potential site of estrogen biosynthesis (4,92,101,102,104). The presence of functional aromatase in human spermatozoa allows the conversion of androgens into estrogens as they transit the reproductive tract, providing free estrogens in the seminal fluid able to act on the cells of the reproductive ducts. Thus, human spermatozoa should be considered a mobile endocrine unit (53,54,88,106).

 

In summary, the testes are able to synthesize and respond to estrogens throughout their development (53,88). The localization of ERα, ERβ and aromatase suggests that estrogen action is likely to be important for testicular and efferent ductule function. Differences among various polymorphisms of ER genes may account for different responses to estrogens in term of sperm count and sperm quality (107,108). The role of estrogens in the male reproductive system is clearer in rodents (see below), and the mapping of ERs and aromatase distribution in the human male reproductive system has led to the suggestion that estrogen plays a role in human male reproduction (4,53,55). As a consequence, a new field of research has evolved, aimed at improving our knowledge on estrogen action on male reproduction, and the molecular mechanisms involved in both animal models and in men.

 

ROLE OF ESTROGENS IN MALE REPRODUCTION

 

Estrogens in Animal Male Reproduction: Effects of Estrogen Deficiency

 

Estrogen-deficient knockout mice are useful models to investigate estrogen action in rodents (16,26). At present, four different lines of estrogen receptor-deficient knockout mice have been generated: 1) ERα knockout (α-ERKO) mice with disrupted ERα gene (109-111); 2) ERβ knockout (β-ERKO) mice, with an inactivated Erβ (112), 3) double ERα and ERβ knockout (αβ-ERKO) mice with non-functioning ERα and ERβ (16), and 4) GPR30 knockout mice (113-115). The αERKO, βERKO and αβERKO mice provide very helpful information on the loss of ER function, leading to estrogen resistance. The knockout of the aromatase gene in aromatase knockout (ArKO) mice is an experimental model useful for investigating the congenital lack of both circulating and locally produced estradiol (16,26,116,117). Estrogen-resistant mice (αERKO, βERKO, and αβERKO) have high levels of circulating estrogens with the non-genomic pathway still likely functional. Aromatase-deficient mice have no circulating estradiol however estrogen receptors could be activated by other estrogenic compounds produced outside the aromatase pathway (e.g. 3β-Adiol) or introduced by diet (e.g. phytoestrogens) (26). Furthermore, in 2009, Sinkevicius et al. created transgenic mice with a G525L point mutation in the ligand-binding domain of ERα (ENERKI mice) (118). This allows differentiation of ligand-dependent vs ligand-independent ER actions since these two different pathways could lead to different actions in vivo. The study of fertility of the ENERKI mouse shows that the efferent ductule fluid reabsorption is regulated by ligand-independent actions of ERα, whereas germ cell production and/or viability requires ligand-dependent ERα actions (118). Recently, Yao et al. mapped the Era-binding sites in the efferent ductules of male mice and they found 12105 peaks, of which about 50% were shared by the androgen receptor (119).

 

Recently, the creation of the knockout mice lacking GPR30 estrogen receptor (113,115) allowed an investigation of the reproductive phenotype of mice lacking a functional GPR30, with the results suggesting a minor role of this receptor in male fertility. GPR30 knockout mice did not show abnormalities of endocrine organs, alterations of spermatogenesis and mating behavior, or decreased fertility (114,120). A detailed study of spermatogenesis in this mouse model is, however, still lacking.

 

Studies on transgenic mice lacking ERs or the aromatase enzyme demonstrate that the lack of estrogen action is compatible with life (22,121). Congenital estrogen deficiency in mice leads to an impairment of male reproductive function ranging from normal fertility with a fully male phenotype in βERKO mice, to complete infertility in both αERKO and αβERKO mice. An intermediate pattern exists for the ArKO mice in which spermatogenesis is normal in young mice, but progressively worsens during aging (16,26,60,69,109-112,116,122). Reproductive characteristics of male mouse models are summarized in Table 5.

 

Table 5. Reproductive Phenotype of Male Mouse Models of Estrogen Deficiency

αERKO 

βERKO 

αβERKO 

ArKO 

Infertility

Fully fertile

Similar to αERKO mice

Normal fertility in young mice, infertility with advancing age

Normal FSH
Elevated LH
Elevated testosterone

Elevated estradiol

 

 

--

 

 

--

Normal FSH
Elevated LH
Elevated testosterone
Undetectable estradiol

Germ cell loss and dilated seminiferous tubules 

Normal testicular histology 

Testicular histology similar to αERKO mice 

Histology of the testis is disrupted with advancing age

Impairment of sexual behavior

Normal sexual behavior

Complete suppression of sexual behavior 

Impairment of sexual behavior

The G protein-coupled receptor (GPR30) knockout mice have normal reproductive phenotype.

[ERKO: estrogen receptor knockout mice; α: estrogen receptor alpha; β: estrogen receptor beta; ArKO: Aromatase knockout mice].

 

Male αERKO mice are infertile as the seminiferous epithelium is atrophic and degenerated, and seminiferous tubules and rete testis are dilated (60,69,111), even though the development of male reproductive tract is largely unaffected (16,109,111,123). The disruption of spermatogenesis is progressive as the testicular histology is normal at postnatal day 10, but starts to degenerate at twenty-thirty days of age (69,111). From 40 to 60 days, tubules are markedly dilated with a corresponding significant increase in testicular volume, while the seminiferous epithelium becomes atrophic (16,69,111). A severe impairment in tubule fluid absorption at efferent ducts level is the cause of infertility in αERKO male mice, and this defect is partially mimicked also by the administration of an anti-estrogen drug in wild-type mice (59,60,69). In the male genital tract, the highest concentration of ERα is in the efferent ducts (69) and the estrogen-dependent fluid reabsorption at this site probably results from estrogen interaction with the ERα that seems to regulate the expression of the Na(+)/H(+) exchanger-3 (NHE3) (59,69). This mechanism appears to be the consequence of the ligand-independent ERα activation (118). In fact, the disruption of ERα, or the use of anti-estrogens, results in a decreased expression of NHE3 mRNA, as well as in a decrease of other proteins involved in water reabsorption, such as aquaporin I (124,125). The lack of fluid reabsorption in the efferent ductules of αERKO male mice and the consequent dilatation induces a retroactive progressive swelling of the seminiferous tubules (27,52,60,69,111,126). The seminiferous tubule damage results from the increased fluid pressure and severely impaired spermatogenesis coupled with testicular atrophy as seen at the age of 150 days of age (16,52,60,69). When germ cells from αERKO mice are transplanted in wild type mice, they show normal development (127). Recently, it has been demonstrated that some genes playing important role in the efferent ductules are regulated by Er both independently by estrogens or in combination with androgens where estrogen responsive elements colocalize with androgen responsive elements (119).

 

The αERKO mouse is also characterized by a reduced number, motility, and fertilizing capacity of the sperm levels (Table 5). In addition, αERKO male mice show increased serum luteinizing hormone (LH) and testosterone as well as Leydig cells hyperplasia, together with normal serum follicle-stimulating hormone (FSH) levels (Table 5) (16).

 

The production of both ArKO (122) and βERKO (112) mice added further insights in this field, supporting the idea that estrogen actions on the male reproductive tract are more complex than previously suggested on the basis of the studies performed on αERKO mice (16). In fact, unlike αERKO mice, male ArKO mice are initially fully fertile (122), but fertility decreases with advancing age (Table 5) (26,116,117). Furthermore, βERKO mice are fully fertile and apparently reproductively normal in adulthood (Table 5) (112).

 

The mechanism involved in the development of infertility in ArKO male mice therefore differs from that of the αERKO mice (26). Transgenic mice models suggest that ligand-independent ERα signaling is essential for concentrating epididymal sperm via regulation of efferent ductule fluid reabsorption, while ligand-dependent ERαis involved in germ cell production and/or viability (118). Thus, the lack of estrogen action at the level of the seminiferous epithelium rather than a problem due to impaired fluid reabsorption probably explains infertility in ArKO male mice (26,50). Accordingly, estradiol seems to be necessary for round spermatid survival and estrogen deficiency seems to promote apoptosis before differentiation into elongated spermatid (26,92,105).

 

Studies of αβERKO mice showed a male phenotype very close to that of αERKO mice characterized by infertility and dilated seminiferous tubules (16,26). On the contrary, βERKO male mice were fully fertile (112). These findings lead to the hypothesis that estrogen activity in the male reproductive tract depends on both the type of estrogen receptor involved, and the site of action through the male reproductive tract. Interestingly, results from mice lacking functional ERs or aromatase point to an important role for estrogen in the maintenance of mating behavior in male mice. For this reason, infertility in αERKO, αβERKO and ArKO mice is at least in part due to the reduction of various components of mating behavior from an early age (Table 5) (16,26).

 

The function of the hypothalamo-pituitary-testicular axis is impaired in both αERKO and ArKO male mice, leading to elevated serum LH levels in the presence of normal values of FSH, while, as expected, testosterone is augmented and estrogens are higher than normal or undetectable in αERKO and ArKO mice, respectively (26). Thus, negative effects on male reproduction are the direct result of estrogen deprivation in the reproductive structures or of indirect changes in the regulation of sex steroid secretion.

 

Taken together, all these studies support the concept that a functional ERα, but not ERβ and GPR30, is needed for the development and maintenance of a normal fertility in male mice (15,16,52,55,59,60,69,111,112). Anyhow, it should be remarked that estrogens are also able to self-regulate all these estrogen-related pathways in the male reproductive tract since estrogen receptor expression is regulated by estradiol in rats. In particular ERα positively regulates the expression of both ERα and ERβ while androgen receptor and ERβ negatively regulates ERs expression (128).

 

Estrogens in Human Male Reproduction: Effects of Estrogen Deficiency

 

The demonstration of wide expression of the aromatase enzyme, ERα and ERβ throughout the male reproductive system and within human sperm underlines the role of estrogens in human male reproductive function (4,29,55,106,129). Accordingly, estrogens seem to modulate sperm maturation (50,129), since spermatozoa express ERα and ERβ, and are responsive to estrogens throughout their journey from the testes to the urethra.

 

The characterization of human diseases leading to estrogen deficiency have increased our knowledge about the role of estrogen in male reproductive function as well as on other important physiological functions ranging from longitudinal growth, bone mass acquisition, and metabolic alterations (24,130-132).

 

Data from human subjects with congenital estrogen deficiency have provided conflicting and confusing results. Fertility has been investigated in only one man with estrogen resistance who exhibited a mutation in ERα, rendering him unable to respond to estrogen, thus he could be considered as a human equivalent of the αERKO mouse. However, this man had normal testicular volumes and normal sperm count but with slightly reduced motility (19) (Table 6). At present only one other patient has been diagnosed with estrogen resistance, but a semen analysis was not available for this 18 years-old boy, a possible impairment of fertility being hypothesized on the basis of low inhibin serum levels, reduced testis volume, and cryptorchidism (133). The human reproductive phenotype seems different from that observed in αERKO mice (16,26,52,69,111) since there was no clinical evidence of obstruction of the efferent ductules in the man with estrogen resistance, different to that observed in the rodent model (19). However, no data on the histology of the testis and efferent ductules is available from these two men with estrogen-resistance (19,133,134).

 

The other human model of estrogen deficiency is congenital aromatase deficiency (135). At present, sixteen men with aromatase deficiency have been described (Table 6 and Table 7) (20,136-149). For most of them the genetic diagnosis (143,144) and/or the clinical description (21,150-152), as well as the following clinical studies (153-160)were performed by our research group. These patients showed a variable degree of impaired spermatogenesis (4,11,143,144,161). The hormonal pattern of the patients affected by aromatase deficiency is summarized in Table 6(4,55,135,162). Testicular size in aromatase-deficient men is normal except for three cases having a smaller testes volume (Table 6), while data on testes volume are lacking in some reports (148). Among the eight patients with semen analysis available, six had normal sperm count (139,140,143,146,148,152) and the remaining two had oligospermia (21,22,138) from moderate (138) to severe (21) (Table 6). Anyhow, moderate to severe asthenospermia without teratospermia was also reported independently from the sperm count (21,22,138-140,152) (Table 6). Sperm count was unavailable in the other eight men with aromatase deficiency due to lack of data, diagnosis made at birth, and cases described in prepubertal age (20,136,137,141,143-145,147,149). Moreover, a variable degree of germ cell arrest, ranging from complete depletion of germ cells to arrest at the stage of primary spermatocytes, was described in three aromatase-deficient men who underwent biopsy of the testes (21,22,150,151) (Table 6).

 

Furthermore, a history of cryptorchidism was present in four patients (22,2%) being bilateral in two cases (145,150)and unilateral in the remaining two (139,140,152). These data suggest a possible role of estrogen in testis descent, although this was not seen in the transgenic mouse models. The small number of cases of cryptorchidism among men with aromatase deficiency does not allow any conclusion concerning a possible relationship between estrogen deficiency and the occurrence of abnormalities in testis development and descent. Besides, hypospadias has been reported in one case (145) and preliminary data speak in favor of estrogen role on penile tissue development during fetal growth (63-65), but this aspect needs to be confirmed by more robust studies.

 

In addition, a clinical condition of aromatase deficiency may be also caused by mutation in the cytochrome P450 oxidoreductase (POR) (163), as previously reviewed (162).

 

It should be remarked, however, that a clear cause-effect relationship between infertility and aromatase deficiency was not demonstrated in all these patients (4,135). For this reason, the different degree of fertility impairment found in men with congenital estrogen deficiency does not allow us to establish with certainty whether sperm abnormalities are a consequence of the lack of estrogen action or are an epiphenomenon. Again, this spermatogenetic pattern is different from that observed in ArKO mice (16,26,52,116,117,122).

 

Table 6. Reproductive Phenotypes of Men with Congenital Estrogen Deficiency

 

Estrogen resistance

Aromatase deficiency

Total subjects

2

16

Subjects diagnosed during adulthood

1

11

Age at diagnosis (mean+DS; min-max)

23 years; 18-28

25.8 + 8.6 years; 1-44

REPRODUCTIVE HORMONES

 

 

LH

High

Normal to high

FSH

High

High

Testosterone

Normal

Normal to high

Estradiol

High

Undetectable

EXTERNAL GENITALIA

 

 

Size testis

Normal

Small to normal

Cryptorchidism

Absent

4 cases

Hypospadias

-

1 case

SEMEN ANALYSIS

 

 

Sperm count

Normozoospermia

Oligo to normozoospermia

Viability

Asthenozoospermia

Asthenozoospermia

Testis biopsy

Not performed

Depletion or germ cell arrest at primary spematocyte level

[LH: luteinizing hormone; FSH: follicle-stimulating hormone]

 

The frequency of sperm abnormalities in these patients together with the results from rodent studies suggests a possible role for estrogen in human spermatogenesis, however this requires further elucidation (4,12,24,30). Our knowledge on estrogen’s role in human male reproduction in vivo remains far from complete. The data available in the literature suggests that the action exerted by estrogens on male reproductive organs is more complex than that seen in mice and that estrogen alone does not directly control spermatogenesis to the same extent than in rodents, but are involved in a more complex and evolved network (26,118,164)

 

In addition to human models of congenital estrogen deficiency, other experimental settings have provided information on the role of estrogens on human male fertility.

 

Studies on the association between ER polymorphisms and infertility in men showed that two polymorphisms of ERα (XbaI and PvuII) are associated with azoospermia, severe oligospermia and impaired sperm motility (165-168) and the multiallele (TA)n polymorphism with male infertility (108). However, data available in literature provides conflicting results since Pvull resulted strongly associated with infertility (166), but also a strong protective factor of male fertility (169), depending on the research setting. The RsaI polymorphism of the ERβ has been associated with male infertility in one study (107), but not confirmed in another study (167). The ERβ (RsaI) polymorphism AluI was also associated with sperm motility, while no association with motility was found for the RsaI polymorphism (167). Thus, the association of polymorphisms of estrogen-related genes with both sperm concentration and motility, but not with sperm morphology, further supports a putative role of estrogen in controlling sperm production and quality (170).

 

Furthermore, the investigation of ERs in the nuclear matrix of human spermatozoa showed a reduction of ER levels in the nucleus of idiopathic infertile men compared to normospermic fertile men (171).

 

Interventional research studies show that the administration of aromatase inhibitors to infertile men with documented impaired testosterone-to-estradiol ratio may result in an improvement of their fertility rate, but further evidence is needed to verify their efficacy and safety (see paragraph below ‘Anti-estrogen treatment in men’ for further details) (172,173). These results suggest that such modulation of estrogen metabolism will influence sex hormone balance and the HPT axis while dissecting out direct effects of estrogen on spermatogenesis in vivo is extremely challenging.

 

It seems that exposure to increasing estradiol concentrations might influence glucose metabolism in spermatozoa and that the increase of aromatase activity and estradiol enhances glucose metabolism in capacitated, but not in non-capacitated sperm (93). Recently, intratesticular T and E2 were strongly correlated to aromatase expression in Leydig cells in infertile men; intratesticular T was higher and E2 lower in men with obstructive azoospermia compared to those with nonobstructive azoospermia, suggesting that an imbalance in aromatase expression and thus in the intratesticular T to E2 ratio might play a role in the pathogenesis of male infertility (174). In addition, serum estradiol was directly correlated with motility, sperm count and sperm morphology in male partners of infertile couples enrolled prospectively and low estradiol entered among risk factors for decreased semen quality in multivariate analysis (175).

 

It seems probable that most of estrogen actions operating in mice, such as regulation of sperm motility, sperm capacitation, acrosome reaction, and sperm metabolism also occur in men, but the contribution of estrogens to these processes is quantitatively less important in humans. It seems likely that most of these processes in humans are also regulated by other factors in a complex crosstalk system involving also estrogens. This could also explain why high amounts of estrogens or the exposure to an excess of environmental estrogens (or to xenoestrogens with high estrogenic potency) could negatively impact on male fertility. For these reasons, it is apparently difficult to reconcile existing data about effects of both estrogen deficiency and excess on male reproductive function (13,31,176-178).

 

Regulation of Gonadotropin Feedback

 

The regulation of gonadotropin feedback is an important and well-documented action of estrogen in males. While testosterone has been classically considered the key hormone for the control of gonadotropin feedback in the male, a role for estrogens was recently clarified in studies performed in normal and GnRH-deficient men.  We now know that ERs are expressed both in the hypothalamus and the pituitary. In particular, GnRH neurons express ERβ but not ERα (179,180), thus the inhibitory effects of estrogens on these cells is mediated through other neuromediators (e.g. kisspeptin, neurokinin B) released by other neurons expressing also the ERα (181). ERs, especially ERα are expressed in gonadotropes cells (182).

 

The response of the hypothalamic-pituitary-gonadal axis to androgens is confirmed by the administration of dihydrotestosterone (DHT), which is able to partially decrease LH and FSH with a concomitant reduction in serum testosterone and estradiol (183). However, the discovery of men with congenital estrogen deficiency has provided further evidence for a relationship between estrogens and gonadotropin secretion also in men (22). In fact, serum gonadotropins are high in all adult patients with aromatase deficiency, notwithstanding normal to increased serum testosterone levels (135), thus implying that estrogens are also important for the regulation of circulating gonadotropins levels in men.

 

The effects of estrogens on gonadotropin secretion have been investigated in GnRH-deficient men whose gonadotropin secretion was normalized by pulsatile GnRH administration. Moreover, in order to determine the precise role of sex steroids on the hypothalamo-pituitary-testicular axis, several studies characterized by the administration of testosterone, testosterone plus testolactone (an aromatase inhibitor), or estradiol have been performed (184,185). Testosterone alone induced a significant decrease in mean basal LH and FSH levels as well as of LH pulse amplitude, demonstrating a direct suppressive effect on the pituitary of testosterone and its metabolites. In general, mean LH levels and LH pulse frequency are suppressed to a greater extent in normal control subjects under testosterone administration, suggesting the involvement of a hypothalamic site of action of testosterone (or its metabolites) in suppressing GnRH secretion. In order to discriminate the impact of testosterone from its aromatized products, both groups of subjects were treated with testosterone plus testolactone. The addition of this aromatase inhibitor completely inhibited the testosterone effect on gonadotropin secretion both in normal and GnRH-deficient men, thus leading to a significant increase in mean LH levels in both groups. The latter was greater in normal men who received testolactone alone than in normal men who received testosterone plus testolactone, thus confirming a direct effect of androgens on gonadotropin secretion in normal men. On the basis of the results of these studies, it is clear that the aromatization of testosterone to estradiol is, at least in part, required for normal gonadotropin feedback at the pituitary level (185). In fact, when the same experimental model was applied using estradiol administration instead of testolactone, mean LH and FSH levels as well as LH pulse amplitude decreased significantly during the treatment (184). These studies have demonstrated an important direct inhibitory effect of estradiol on gonadotropin secretion in both GnRH-deficient and normal men (184,185) and support the concept that, at least in part, the inhibitory effect on gonadotropin secretion is mediated by the conversion of testosterone to estradiol (4,186). Accordingly, the administration of the aromatase inhibitor letrozole to healthy adult males is able to suppress aromatase activity and serum estradiol levels leading to an increase of gonadotropins (187). Only the restoration of normal circulating estrogens, by means of transdermal estrogen administration, normalized gonadotropin secretion in this setting (187). In contrast, it seems that the 5α-reduction of testosterone to DHT does not play a very important role in pituitary secretion of gonadotropins (188); DHT, in fact, slightly decreases LH and FSH only after long-term administration (183).

 

All these studies suggest possible estrogen action at the level of hypothalamus. In order to clarify the role of estrogen on the feedback regulation of gonadotropin secretion at hypothalamic level, Hayes et al. (189) conducted a study involving men affected by idiopathic hypogonadotropic hypogonadism (IHH), whose gonadotropin secretion was normalized by long-term pulsatile GnRH therapy, followed by treatment with the aromatase inhibitor anastrozole. They observed that the inhibition of estradiol synthesis led to an increase in mean gonadotropin levels that was greater in normal subjects than in IIH men, suggesting a hypothalamic involvement. The rise in mean LH concentrations in normal subjects due to anastrozole was due to increased LH pulse frequency and amplitude. The authors concluded that estrogen acts at the hypothalamic level by decreasing GnRH pulse frequency and pituitary responsiveness to GnRH (189). Subsequently, the same group (190) demonstrated that the administration of estradiol in normal subjects, whose endogenous testosterone and estradiol synthesis was inhibited through the use of ketoconazole, reduced mean LH levels by lowering LH pulse frequency, but not amplitude. These authors went on to report that the sex steroid component to FSH negative feedback was not androgenic but rather was mediated by estradiol effects on the frequency of GnRH stimulation (190,191).

 

For many years another important unresolved issue has been the relative role of circulating vs. locally produced estrogens in the control of gonadotropin secretion. Now we know that the effects of circulating estrogen are more relevant than that of locally produced, at both the hypothalamic and pituitary level (187) (Figure 5). Accordingly, the administration of both the aromatase inhibitor letrozole and estradiol at different dosages showed that serum testosterone and gonadotropins were inversely related to circulating estradiol, depending on the dose of exogenous estradiol (187). The serum estradiol required to obtain the same levels of gonadotropins were not different compared to that at baseline, suggesting that aromatase inhibition and the blockade of locally produced estrogens are less important than previously thought (187). In the same year, our group reached the same conclusions using a different approach. In men with aromatase deficiency, we demonstrated that circulating rather than locally produced estrogens are the main inhibitors of LH secretion (157). This implies that the role of locally produced estradiol on gonadotropin feedback at hypothalamic and pituitary levels is relatively modest in vivo (Figure 5). However, the role of locally produced estrogens has been poorly investigated since evaluating the effects of locally produced estrogens in vivo is challenging (186).

 

Data available in the literature demonstrate that (i) circulating estrogens are involved in gonadotropin suppression both at pituitary (187) and hypothalamic level (157,190), and (ii) estrogen effects on hypothalamus are independent from central aromatization, but requires adequate amounts of circulating estrogens in normal healthy men (187), in men with IHH (190,191), and in men with aromatase deficiency (157).

 

The effects of estrogen on gonadotropin secretion at the pituitary level operate from early- to mid-puberty (186,192,193) into old age in men (194). The administration of an aromatase inhibitor (anastrozole 1 mg daily for 10 weeks) to young men aged 15-22 years (192) resulted in a 50% decrease in serum estradiol concentrations, an increase in testosterone concentrations and an increase in both LH and FSH values during the study protocol. These hormonal parameters were restored after the discontinuation of anastrozole treatment (192). In addition, the administration of letrozole increased serum LH levels, LH pulse frequency and amplitude and the response of LH to GnRH administration in boys during early and mid-pubertal phases, confirming that estrogens act at the pituitary level during early phases of puberty (193), the role of estrogens in infancy and at the beginning of puberty remaining less known (186). The same mechanism continues to operate during adulthood and early senescence (195), as shown in fifteen eugonadal men, aged 65 years treated with 2 mg anastrozole for 9 weeks, in which serum FSH and LH levels increased significantly, in spite of an increase in serum testosterone levels (194). Similar results were replicated by using letrozole in older men (173). For these reasons, the use of aromatase inhibitors as blockers of the negative feedback on gonadotropin has been tested as a possible strategy useful for the treatment of late-onset male hypogonadism (196). The rationale was that increasing endogenous serum testosterone through the inhibition of the rate of conversion of testosterone into estradiol led to the consequent LH and FSH increase (196). After the first encouraging results (197-199), this kind of treatment seems to be not effective, especially on large-scale clinical trials and for long periods of time (195,196,200,201).

 

Figure 5. Sex steroid control of gonadotropin secretion after recent advances: estrogens, but not androgens, are the main regulator of gonadotropins and the action of circulating estradiol prevails with respect to that of locally produced estradiol.
[T: testosterone; DHT: dihydrotestosterone; E2: estradiol; GnRH: gonadotropin releasing hormone; LH: luteinizing hormone; FSH: follicle-stimulating hormone]

Previous data suggest that estradiol may modulate GnRH receptor number and function at hypothalamic-pituitary level (202), since ERs were detected in GnRH secreting neurons (203). Moreover, both genomic and non-genomic estrogen actions seems to be involved in the regulation of the gonadotropin feedback in males (203,204), although the precise mechanism remains unclear (205). Nevertheless, it is now well established that androgens need to be converted to estrogens in order to ensure the integrity of the gonadotropin feedback mechanism in men, testosterone itself having a lesser role than previously thought (Figure 5), and circulating estrogen, rather than locally produced estrogen, having a major role at the hypothalamic pituitary level (157,187,191).

 

In a complementary way, our knowledge on the role of estrogens in gonadotropin feedback has been enhanced through studies of men with congenital estrogen deficiency. The description of a man lacking a functional ERα (19)revealed a remarkable hormonal pattern consisting of normal serum testosterone, high estradiol and estrone levels, but increased serum FSH and LH concentrations; the serum testosterone remained in the normal range because of increased aromatization of testosterone to estradiol (Table 6). Other important information about estrogen’s role in the human male came from the discovery of naturally occurring mutations in the aromatase gene. To date, of the sixteen different cases of human male aromatase deficiency that have been described, all were discovered to be aromatase-deficient as adults, except one who was diagnosed as a child (137,141) and another one who was diagnosed at 15 months of age (145) (Table 6). Eight out of fourteen adult patients with aromatase deficiency had increased basal FSH concentrations (20,21,135,138-140,144,150-152,154), two had serum FSH in the upper normal range (143,144), and the remaining four had normal FSH (144,146-148). The subject diagnosed during childhood had normal FSH in infancy (137) and high to normal FSH levels at puberty (141). The unique patient diagnosed early at 15 months had normal serum T, LH, and FSH (145). LH was normal in all aromatase adult patients (138-140,144,146,147,150-152), except for one subject with elevated serum LH (20,136) and two subjects with high to normal LH levels (21,143,154)(Table 6). Serum testosterone concentrations were generally normal or high-to-normal except for the first case described with elevated serum levels (20,136), and two other aromatase-deficient men with testosterone slightly above the normal range (138,139). Conversely, another man with aromatase deficiency presented with low to normal serum testosterone levels (150,156). In all sixteen patients estradiol concentrations were undetectable (20,136-149).  (Table 6). The detection of increased gonadotropin levels despite normal-to-increased serum testosterone levels, in these men, further highlights the key role for estrogen in regulating circulating gonadotropins in men (155,157), In normal men with pharmacologically induced sex steroid deprivation, estradiol but not testosterone, was able to restore normal FSH serum levels (191). Due to the concomitant impairment of the patient's spermatogenesis, complete normalization of serum FSH was not achieved in all aromatase-deficient men during estradiol treatment, even in the presence of physiological levels of circulating estradiol (135), only supraphysiological levels of estrogens were able to normalize FSH (21,135,154,155).

 

A detailed study of the effects of different doses of transdermal estradiol on pituitary function in two men with congenital aromatase deficiency demonstrated that estrogens might control not only basal secretion of gonadotropins but also their responsiveness to GnRH administration (138,155,157). In these studies, estrogen administration to three male patients with aromatase deficiency caused a decrease in both basal and GnRH-stimulated LH, FSH and α-subunit secretion with a dose-dependent response to GnRH administration (138,155,157). In 2006, Rochira et al. (157), demonstrated that estrogen’s effects on LH secretion are exerted both at pituitary and hypothalamic level, as shown by the decrease of basal and GnRH-stimulated secretion of LH and the LH pulse amplitude, and the reduction of the frequency of LH pulses respectively, during estrogen treatment to normalize estradiol serum levels in two aromatase-deficient men. In normal physiology, these data provide evidence that the negative feedback effects of circulating estrogens is more important than estrogen locally produced at the hypothalamic level (157). As previously explained, these data confirm data from healthy men (186).

 

Notwithstanding recent advances in the study of estrogen’s role in males, some difficulties remain when data from men with congenital estrogen deficiency are interpreted, particularly if phenotype heterogeneity is considered (161,186). No abnormalities were found in either gonadotropin secretion or in testis position and size in the patient with congenital aromatase deficiency diagnosed in childhood (137), unlike female newborns (206). For these reasons, the role of estrogens in the hypothalamo-pituitary-testicular axis should become relevant in a later stage of life than infancy in men. Furthermore, the smaller than expected increase in FSH levels (given the prevailing serum testosterone levels and impaired spermatogenesis) in two estrogen-deficient men (157), suggests a possible role of estrogens in priming and maturation of hypothalamus-pituitary-gonadal axis in men (155,156). Thus, the control of gonadotropin feedback exerted by sex steroids during early infancy and childhood remains a matter of debate in the human male (186).

 

In conclusion, estrogens are the main sex steroids involved in the control of gonadotropin secretion in men, testosterone having a minor but determinant role as demonstrated by evidence coming from complete androgen insensitivity (CAIS) syndrome in which serum LH is above normal as a consequence of androgen resistance notwithstanding elevated circulating estradiol (207).

 

Estrogens and Prostate

 

Androgens regulate prostate gland growth and differentiation, particularly during its development. Estrogens also act on prostate growth and differentiation through both ERα, and ERβ (208,209). In rodents, the prostate is sensitive to estrogen exposure during development (210).

 

Studies on animals have helped to better understand estrogen’s role in prostate growth. Studies in mice overexpressing aromatase (AROM+) demonstrated that prostate lobes are significantly reduced as a consequence of estrogen excess (211). On the other hand, aromatase-deficient mice presented a hyperplastic prostate gland probably due to the excess of circulating androgens (212) and consistent with hyperplasia of the epithelial, interstitial and luminal compartments (210). Furthermore, McPherson et al., using tissue recombination and an ERβ-specific agonist, demonstrated that ERβ activation results in an anti-proliferative response not influenced by systemic androgen levels, or activation of ERα (212). Moreover, studies on ArKO mice demonstrated that the administration of an ERβ-specific agonist reverted the existing hyperplastic epithelial pathology (212).

 

In terms of prostate carcinogenesis, it is generally assumed that androgenic hormones play a major role in tumor development, since the prostate gland is an androgen-dependent tissue, as is prostate cancer (213). However, considering the fact that testosterone can be converted to estradiol, and that ERs are present in the prostate epithelium (214), theoretically estrogen might also be involved in the induction of prostate cancer. Some polymorphisms (rs2470152, rs10459592, and rs4775936) of the CYP19A1 aromatase gene were associated with an increased risk of prostate cancer (215,216). Besides, patients with prostate cancer who are carriers of the rs4775936 polymorphism of the CYP19A1 aromatase gene show a significantly shorter time of cancer-specific survival compared to patients who do not carry this polymorphism (215). In line with this Bosland et al. found that combined treatment of rats with estradiol and testosterone lead to an increased incidence of prostate cancer from 35-40% with androgen alone to 90-100% (217). The estrogen pathways that may be involved at the molecular level in the process of prostate carcinogenesis are very complex (209). Several studies demonstrate that both ERα and β are involved in the transduction of estrogen signaling in prostate cancer such as cell proliferation pathways (209). Furthermore, ERβ seems mainly involved in pro-apoptotic pathways (e.g. FOXO3 and p-53), while ERα is involved in chronic inflammation, and the two ERs seem to act differently on oncogenes playing suppressive (ERβ) and oncogenic (ERα) roles (209). Proliferation of prostatic cells seems to be promoted by the activation of the ER while ER and GPER seems to exert an antiproliferative action (218,219). The different effects of each ER on the proliferation of prostate cells may accounts for the contrasting results (proliferative/antiproliferative) available in literature, depending on the prevailing activated pathway. However, estrogens also display a biphasic effects in vitro on prostate cells growth, which is enhanced by low estradiol and inhibited by high dose of estradiol (220). Probably, different pathways are activated in presence of estrogen excess, thus leading to a shift in the final effect on cell growth (218,220). At present studies on estrogen signaling in prostate cancer tissue are also providing promising results in term of the utilization of this signature as biomarker useful to tailor hormonal treatment (218).

 

Prostate was normal in aromatase-deficient men and did not change in volume during estrogen replacement therapy (Carani & Rochira; data not published data). Besides, the administration of selective inhibitors of aromatase are helpful for the evaluation of estrogen in vivo effects on prostate. Recently, the combined therapy with transdermal testosterone and the aromatase inhibitor anastrozole in older men with low or low-to-normal serum testosterone (< 350 ng/dL) prevented the increase of prostate volume, but not that of prostate-specific antigen seen in patients treated with testosterone alone (221). Similarly, high serum estradiol resulted directly related to prostate volume in 239 Chinese men with benign prostatic hyperplasia (222) even though these data are limited by the poor accuracy of estradiol measured by immunometric assay.

 

This is in line with the above-mentioned experimental results suggesting an active role of estrogens in prostate cell proliferation in prostate carcinogenesis. Traditionally, exogenous estrogens have been used for the treatment of prostate cancer since the 1940s thanks to their potent inhibitory effect on the HPT axis resulting in the suppression of circulating testosterone (223). However, diethylstilbestrol (DES) used in the past for prostate cancer was strongly associated with thromboembolic side effects(223). Recently, the use of exogenous estrogens for the therapy of prostate cancer is being reconsidered (224). Transdermal estradiol (patch) seems to be effective in inhibiting gonadotropins and in reducing serum testosterone in men with prostate cancer without increasing cardiovascular events (224).In the near future, if estrogen’s role in the prostate will be further elucidated, new treatment strategies will become available for benign prostate hypertrophy and cancer, especially in men with concomitant hypogonadism (225).

 

Estrogens and Male Sexual Behavior

 

Sex steroids act on several aspects of male sexual behavior (226). Sex steroids, mainly testosterone, modulate adult male sexual behavior in mammals (227). In men, sexual behavior is more complex than in other species since it results also from cognitive processes, cultural environment, and an individual system of beliefs (226,228). Thus, sexual behavior does not depend only on hormonal and genetic prerequisites in men (226,228). Traditionally, it was thought that only testosterone, the male hormone, is responsible for the control of male sexual behavior (229). In the last two decades, the possibility that estrogens may be involved in the control of male sexual behavior has received more attention, and an impact of estradiol on male sexuality has become evident (199).

 

Testosterone is mainly involved in the control of sexual desire and sexual drive and in the facilitation and maintenance of a normal sexual genital response (226). Erections, especially nocturnal erections, are also under the control of androgens (230,231). The role of estrogen on male sexual behavior has been poorly investigated and knowledge derives mainly from studies performed on animals or from rare models of human estrogen deficiency. The increasing interest on the treatment of transgender people (232) and on the cross actions of male and female hormones on both sexual behavior (233) and other physiological functions (234) probably have contributed to a better focus on this area of research. In recent years, however, several in vivo experimental settings have addressed this issue. As a result, nowadays all studies on steroid sex hormones action on male sexual behavior tend to investigate androgens and estrogens separately (199,235-238). Furthermore, steroid sex hormones may influence both gender-identity and sexual orientation (239,240), even though in humans this action is mitigated by the strong influence of psychosocial factors.

 

Estrogens and Gender Identity and Sexual Orientation

 

Testosterone aromatization to estradiol in the brain was traditionally considered the key step in the development of a male brain and in determining sexual dimorphism of the central nervous system in non-primate mammals (241-243). According to Dörner’s hypothesis (244), prenatal and perinatal brain exposure to estrogens may be responsible for the establishment of a male brain (240,245), an event occurring only in the male, but not female, brain. Accordingly, ovaries release a very small amount of estrogen, soon inactivated in rodents (4,245), while the testes produce a greater amount of androgen that is converted into estrogen. Thus, circulating estrogens are paradoxically greater in males than in females during fetal life (240,246) and this accounts for the sexual dimorphism of hypothalamic structures in rodents and other species like sheep (245-247).

 

The same mechanism seems to be also involved in the differentiation in hypothalamic structures between men and women (244,246,248). Prenatal hormonal exposure is classically considered to be involved in determining sexual orientation, on the basis of some differences in hypothalamic structures between heterosexual and homosexual men (243,248). This hypothesis is supported by the concept that brain sexual differentiation during fetal life occurs in parallel with the peak of testosterone secretion from the testis and the consequent increase in serum estradiol (240,241,243,245). Accordingly, the intrinsic pattern of mammalian brain development is female, and estrogen is required for the development of a male brain (240,243,244), thus emphasizing the role of locally produced estrogen (245). Permanent changes in the organization of different neural circuits, fundamental for sex-specific regulation of reproductive and sexual behavior, probably also occurs under the effects of estrogen (240,242,243,245,249). Considering all the above mentioned aspects, the lack of estrogen action on the developing brain in males should be considered strictly related to the direction of future development of sexual orientation, and of dimorphism of hypothalamic structures (240,241,243,245,248). Most of the data supporting this evidence, however, came from studies performed in rodents or other species, but not in humans (240,242,243,245).

 

The role of hypothalamic aromatase activity and expression in partner preference has been elegantly confirmed in rams (250). In this study, the choice of sexual partner was associated with both the volume of the ovine sexually dimorphic nucleus and different patterns of aromatase expression (250). This provides the first demonstration that differences in aromatase expression within the brain are related to partner choice and to the determination of adult sexual behavior (245,247,250). However, in humans, a clear cause-effect relationship between prenatal exposure to sex steroids (especially estrogens) and the differences in volume of some dimorphic brain areas (e.g. sexually dimorphic nucleus of the preoptic area and the intermediate nucleus) has not been demonstrated (240).

 

Aromatase-deficient men represent an interesting model to investigate the role of estradiol on human male sexual development and behavior from fetal life through adulthood (4,55,135). All men with aromatase deficiency who underwent a comprehensive evaluation of sexual behavior had male gender-identity and heterosexual orientation (4,20-22,135,138,143,144,150,152,153,156) (Table 7). The fact that congenital aromatase deficiency does not affect psychosexual orientation and gender-identity in humans suggests that estrogens do not mediate the organizational effects on male sexuality induced by early exposure to androgens. Differently from animals, psychological and social factors are the most relevant determinants of gender role behavior in men, with hormones probably having a minor role compared to other species (4,135,228,247). Accordingly, the prenatal exposure to DES, a potent estrogenic compound, is able to modify partner preference in animal studies, but not in humans (251).

 

In conclusion, aromatase plays a key role in controlling male reproductive behavior especially in animals (rodents and rams), by modulating organizational effects on the developing brain during fetal life (249,252); the latter are mediated by estrogen production within the brain and exposure to circulating estrogens. However, differences among species could explain the essential role of aromatization in rodents, rams, and monkeys (247,252,253) and its poor or minor effect in humans (4,135,153,156) and other primates, respectively (253). Thus the debate about nurture (254) versus nature (246) remains still open in humans.

 

Estrogens and Sexual Behavior

 

In adult men sexual behavior is partially dependent on testosterone, the main hormone involved in male sexuality (226,229,230). Accordingly, testosterone deficiency frequently causes loss of libido and erectile dysfunction (226,230,255). These are restored by testosterone replacement therapy, which is effective in increasing sexual interest and improving sexual function (226,227,255,256). Other hormones, however, are involved in the control of male sexual behavior, including estrogens (257,258).

 

In experimental animal models, the knockout of estrogen pathways or a pharmacologically induced estrogen deficiency results in severe impairment of sexual behavior (4,16,26). Accordingly, ArKO mice (259), αβERKO male mice (260) and αERKO mice (16,109) all exhibit a significant reduction in mounting frequency and prolonged latency to mount when compared with wild-type animals (16,26). On the contrary, βERKO mice did not show abnormalities of sexual behavior (16,112). These findings suggest that androgen receptor activation alone is not sufficient for fully normal sexual behavior in rodents and that a normal functioning ERα together with adequate levels of circulating or locally produced estrogen are required for mounting behavior in male mice (4,55).

 

Less is known about the role of estrogens in sexual behavior in men since the relative importance of testosterone and its metabolite estradiol on male sexual behavior is still not known. In the past five years, only a few studies have investigated the direct effect of estrogen on male sexual behavior (261,262), indirect evidence being available only from rare cases of men with congenital estrogen deficiency (4,55,130,135,143,144) (Table 7). A detailed sexual investigation of aromatase-deficient men documented an increase in all the parameters of sexual activity during estrogen treatment (153,156), with the best outcome in terms of sexual behavior obtained only when a concomitant normalization of both serum testosterone and estradiol was reached (156). These results support the concept that both sex steroids are required for normal sexual behavior in men. Outside the context of congenital lack of estrogens, it is difficult to reach conclusive information on the role of estrogen on male sexual behavior because of the inadequacy of studies and the conflicting results reported in the literature.

 

Table 7. Sexual Behavior in Men with Congenital Estrogen Deficiency

Subjects

Authors

Sexual function

Gender identity

Psychosexual orientation

Estrogen Resistance

(Age:28 years)

Smith et al.1994(19)

Libido: normal.

Morning erections: normal.

Nocturnal emissions: normal.

Ejaculations: normal.

Male

Heterosexual

Aromatase Deficiency

(Age 24 years)

Morishima et al. 1995(20); Bilezikian et al.1998(136)

Libido: modest. Morning erections: normal.

Nocturnal emissions: normal.

Ejaculations: normal.

Male

Heterosexual

Aromatase Deficiency*

 (Age 38 years)

Carani et al.1997(21); Carani et al.1999(153)

Libido: normal.

Morning erections: normal.

Ejaculations: normal.

Male

Heterosexual

Aromatase Deficiency*

 (Age 28 years)

Maffei et al.2004(150); Carani et al.2005(156)

Morning erections: normal.

Libido and sexual activity have not been investigated according to the religious thinking of the patient.

Male

Heterosexual

Aromatase Deficiency

 (Age 27 years)

Herrmann et al. 2002(138); Herrmann et al. 2005(142)

Libido: normal.

Morning erections: normal.

Ejaculations: normal.

Male

Heterosexual

Aromatase Deficiency

 (Age 25 years)

Maffei et al.2007(150); Zirilli et al.2009(160)

Libido: normal.

Morning erections: normal.

Ejaculations: normal.

Male

Heterosexual

Aromatase Deficiency

 (Age 27 years)

Lanfranco et al. 2008(152)

Libido: normal.

Morning erections: normal.

Ejaculations: mild praecox ejaculation.

Male

Heterosexual

Aromatase Deficiency

 (Age 27 years)

Baykan et al.2013(143)

No sexual dysfunction reported before and during treatment

Not reported

Not reported

Aromatase Deficiency

3 men

 (26-44 years)

Pignatti et al.2013(144)

No sexual dysfunction reported before and during treatment

Not reported

Not reported

Aromatase Deficiency

 (Age 24 years)

Chen et al.2015(146)

Libido: normal.

No sexual dysfunction reported

 

Not reported

Not reported

Aromatase Deficiency

 (Age 25 years)

Miedlich et al.2016(147)

Libido: normal.

Morning erections: normal.

 

Not reported

Not reported

* Only these two patients underwent an extensive, well-designed study of sexual behavior in terms of psychosexual issues (gender identity and sexual orientation) and sexual function (desire and erectile function), while for other patients the information was obtained by patients’ interview and medical history. No data on sexual behavior are available for the other patient with estrogen resistance (133) and for the other aromatase deficient-men (139,140,145,148).

 

Recently, a very elegant study provided evidence-based information on the relative role of testosterone and estradiol on male sexual function in men (199). In this study, a considerable number of healthy men (n= 400) underwent gonadotropin suppression by the administration of a GnRH analogue (goserelin acetate), resulting in testosterone and estradiol suppression (199). In order to investigate the placebo effect and the effects of testosterone and estradiol, subjects were assigned to receive i) placebo, ii) testosterone treatment at different dosages, and iii) testosterone at different dosages plus the aromatase inhibitor anastrozole (199).

 

In the testosterone group, serum testosterone and estradiol varied from physiological levels to low levels according to the different doses of exogenous testosterone in each group and the estradiol to testosterone ratio remaining substantially unchanged in all groups (199). This pharmacologic scheme allowed testing the effects of lowering both serum testosterone and estradiol in a similar way on several physiological functions; the result was a decline of both sexual desire and erectile function in parallel with the decrease of both sex steroids (199). In the testosterone plus anastrozole group, the decline of serum testosterone paralleled that obtained in the testosterone group, while serum estradiol was quite suppressed and changed to a lesser degree in each testosterone dose group, thus fluctuating across very low values (199). In this group, both sexual desire and erectile function were severely affected in patients with low serum levels of estradiol despite normal serum testosterone in patients taking the higher doses of testosterone (199). Conversely, goserelin treatment resulted in the maximum reduction of both sexual desire and erectile function in the placebo group (199). These results confirm observations in aromatase-deficient men (135,153,156) and suggest that estrogen deficiency is largely responsible for the impairment in sexual function occurring when serum testosterone is suppressed in hypogonadal men (199). A possible role of estrogen on male sexual function is also provided by further studies showing that testosterone therapy is more effective on libido when the treatment produces serum estradiol levels greater than 5 ng/dL (235) and that this serum estradiol is directly related to sexual function in men (236). In particular, serum estradiol is associated with sexual activity and desire, but not with erectile function (263). In addition, exogenous estradiol improves sexual desire in men with low testosterone and prostate cancer (264).

 

Notwithstanding these studies, the role of estrogen in male sexual behavior remains controversial (257) since several studies reached opposite conclusions. In particular, Sartorius et al. found that DHT was effective in maintaining male sexual function in healthy, older men, despite its suppressive effect on both testosterone and estradiol, suggesting that male sexual function can be ensured without aromatization (237). Furthermore, other cross-sectional studies failed to demonstrate a clear association between serum estradiol and male sexual function (238,265).

 

To add further complexity, estrogen action on erectile function seems to be biphasic, since estrogen deficiency may affect the ability to achieve an erection, yet estrogen excess and an increased estradiol to testosterone ratio is associated with an impaired erectile function. A Chinese group reported that serum estradiol is higher in a large sample of adult men with erectile dysfunction compared to men with normal erectile function, while it was not different among men with and without premature ejaculation (266,267). The same group has proposed that high serum estradiol and reduced estradiol to testosterone ratio may be independent risk factor for organic erectile dysfunction (268). Similar results have been obtained by other authors in hypogonadal men where high serum estradiol was associated to more severe erectile dysfunction (269). Also in an experimental rabbit model of the metabolic syndrome (a model used to investigate erectile function), erectile dysfunction is associated with high serum estradiol rather than low testosterone in line with the above mentioned clinical data (270). Conversely, other authors did not find any correlation between testosterone to estradiol ratio and erectile dysfunction (271). All these data, however, needs to be confirmed by further studies since the strength of evidence is weak due to many flaws such as the lack of data on the cause of sexual dysfunction, the poor accuracy of estradiol assay, and the retrospective collection of data.

 

A possible explanation for these results is that a serum estradiol in the normal male range is required for a fully normal male sexual function in addition to testosterone, while both estrogen deficiency and estrogen excess have a negative impact on male sexual activity (156,236,238).

 

Finally, estrogen receptors and the aromatase enzyme have been identified in the penile tissue of a large number of species, including humans (272-274) suggesting direct estrogenic activity within the penis. At present, knowledge on estrogen action within the penis derives from the observation that: i) male offspring exposure to estrogen-like endocrine disruptors in utero induces micropenis and hypospadias (176), and that ii) penile development and function is estrogen-dependent in animals (275).

 

OTHER NON-REPRODUCTIVE PHYSIOLOGICAL ESTROGEN ACTIONS IN MEN

 

Estrogens, Metabolism, and Cardiovascular Diseases in Men

 

The role of estrogen on glucose and insulin metabolism in men is difficult to establish since it is challenging to differentiate androgen from estrogen actions in vivo. In estrogen-deficient men, both insulin resistance and fasting glucose are increased and improve during estrogen treatment (150,158,161), confirming data from mice models (16). Thus, severe estrogen to testosterone ratio imbalance (increased androgens and decreased estrogens) seems to favor  the development of insulin resistance in men (150,151,158), and not only in estrogen-deficient men (276). In healthy men, the administration of an aromatase inhibitor in a double blind, randomized, controlled, crossover study led to a decrease of insulin sensitivity (277). Several other clinical studies confirmed that aromatase inhibition worsens insulin sensitivity in older men (278), and in obese men, independently from the increase in serum testosterone (279). The same results come from studies comparing exogenous estradiol to GnRH analogues for the treatment of prostate cancer showing that fasting both fasting glucose and cholesterol decreased in men treated with estradiol (224).

 

In accordance with this findings, relative estrogen deficiency is found in men with type 2 diabetes mellitus and low serum testosterone who display also low serum estradiol (280).

 

Furthermore, congenital estrogen deficiency is associated with an altered lipid profile (22,161), mainly characterized by higher total cholesterol and triglycerides serum levels, higher low-density lipoprotein (LDL) cholesterol and very low high-density lipoprotein (HDL) cholesterol (11,135). In these patients, estradiol treatment induces a moderate increase of HDL-cholesterol together with a small reduction of triglycerides, total cholesterol, and LDL cholesterol (21,135,138,150), resembling the effects of estrogen on lipid metabolism exerted in females (10). The administration of aromatase inhibitors leads to no change in serum lipids after 12 months of therapy (278). Outside the context of rare congenital diseases, the effects of estrogens and antiestrogens on serum lipids remains not well established due to conflicting results, and additional studies are needed (24).

 

In community-based men aged 20-70 years, high serum E2 is associated with reduced carotid plaque and serum E2 is directly related to carotid intima media thickness (281). The T to E2 ratio was associated with increased atheromatous plaque inflammation and increased risk of subsequent major adverse cardiovascular events (MACE) in men with documented atherosclerotic disease (282). In an aromatase-deficient man the normalization of serum E2 induced by estradiol replacement was able to reduce carotid atherosclerotic plaque volume on ultrasonography (150). While serum E2 may exert protective effects against atherosclerosis, the serum T to E2 ratio maybe a marker of low serum T and increased adiposity, especially in overweight and obese men and may be associated with increased cardiovascular (CV) risk (282,283). However, these clinical studies suffer from serum E2 measurement with commercially available immunoassay that are unreliable for E2 values in the normal male serum range (41,42,131). An association between coronary artery calcification (a surrogate radiological markers of coronary atherosclerosis) and both low serum testosterone and low serum estradiol measured by liquid chromatography/tandem mass spectrometry (LC-MS/MS) has been found in men participating to the Framingham Heart Study (284).

 

In hypogonadal men, estrogen deficiency, but not testosterone deficiency is responsible for vasomotor symptoms (i.e., hot flushes). In men treated with an LHRH analogue and replaced with placebo, different dosages of T alone or T plus aromatase inhibitors, only estrogen deficiency resulted in the occurrence of vasomotor symptoms (285). The main role of estrogen deficiency in the occurrence of hot flushes has been also confirmed in men with prostate cancer treated with exogenous estradiol or LHRH analogue, being hot flushes significantly more prevalent in men with estrogen deficiency due to LHRH therapy. Taken together these results reinforce the concept that in men with hypogonadism several clinical manifestations are due to relative estrogen deficiency rather than to testosterone deficiency per se (285).

 

Estrogens and the Male Bone

 

There is increasing evidence suggesting that circulating estrogens plays a key role in bone health in men, as in women (286). The relative contribution of androgen versus estrogens in the regulation of the male skeleton, however, is complex and relatively unclear (287). Some estrogen actions on male bone, such as bone maturation and the acceleration of growth arrest, are now well defined (286,288). The important role of estrogen in bone metabolism in men has been characterized in the last 15 years by means of the description of rare case reports of estrogen-deficient men (135,152) and by several epidemiological studies (289,290). All patients with congenital estrogen deficiency due to estrogen resistance (19,133,134) or aromatase deficiency (20,136-149). have unfused epiphyses in adulthood and fail to reach their closure and complete bone maturation (11,18,25,130,286). Estrogen replacement therapy led to skeletal maturation and improvement of bone mineral density in all aromatase-deficient men described so far (11,135,144) in a dose-dependent way (147,154) while testosterone treatment did not (21,22,159). During puberty and late adolescence, epiphyseal closure, growth arrest, the achievement of peak bone mass, and final bone maturation are mainly under the control of estrogens and all these processes do not progress in the case of severe estrogen deficiency leading to tall stature and osteoporosis (21,22,135,286). The eunuchoid body proportions of the skeleton typical of hypogonadal men are the effect of estrogen deficiency during late adolescence and of the disproportional growth between long bones and the appendicular skeleton (11,286). During adulthood, both normal circulating estradiol and testosterone are required for maintaining bone mineral density in aromatase-deficient men (136,159,160) as well as in the general male population (132,286,287,289-292). Estrogen action on bone seems to be possible only when circulating estradiol is above a threshold between approximately 15 and 25 pg/mL (55-92 pmol/L) (286,289). This mechanism has been suggested both for growth arrest and bone maturation (152) and for bone mineral density (BMD) (132,289,292) and suggest that circulating estrogens above this threshold are required for optimal skeletal maturation and mineralization in men (130,286). Relative estrogen deficiency, rather than testosterone deficiency, is responsible for bone loss in hypogonadal men as clearly demonstrated when using different doses of exogenous testosterone alone or in combination with a potent aromatase inhibitor in men treated with GnRH analogues (293). In this study, BMD decreased and indices of bone resorption increased only in the group of men treated with both testosterone and anastrozole independently from the dose of exogenous testosterone administered to men with pharmacologically-induced hypogonadism (293). Furthermore, this study confirms that serum estradiol below 10 pg/mL is particularly harmful for bone health (293).

 

Similarly, in men with prostate cancer, estrogen deficiency induced by Androgen Deprivation Therapy (ADT) is the main factor involved in bone loss, increase of bone fragility, and the occurrence of osteoporotic fractures since serum estradiol falls below 5 pg/mL in men receiving ADT (294-296) similar to what happens in women taking antiestrogens for breast cancer (132,292,297). Accordingly, new strategies for the treatment of prostate cancer by using blockers of the androgen receptor and exogenous estradiol are being investigated in order to mitigate the risk of bone fractures and other side effects of ADT (224,295,296). In particular, transdermal estradiol resulted effective in preventing bone loss compared to LHRH analogue in men with prostate cancer (298).

 

Figure 6. Genetically determined factors influencing the amount of serum estrogens in men starting from a determined amount of circulating serum T.
[SNPs: single-nucleotide polymorphisms; T: testosterone; DHT: dihydrotestosterone; E2: estradiol; GnRH: gonadotropin releasing hormone; LH: luteinizing hormone; FSH: follicle-stimulating hormone]

Except for rare cases of congenital estrogen deficiency (162), clinical experimental models of estrogen deficiency (199,285,293), and ADT (295,296), the most common condition in men is relative estrogen deficiency induced by hypogonadism and low serum levels of T, the precursor for estrogen production (Figure 1) (131,290,299,300). Relative estrogen deficiency may occur in hypogonadal men (299,300) especially in those with a less functioning aromatase enzyme (290,301), whose function is mainly under genetic determination (Figure 6) (131,132,292). The association between some polymorphisms of both ERα (302,303) and aromatase (304,305) genes and low bone mineral density (BMD) have clearly pointed out that the estrogen pathway is crucial for bone health in men confirming epidemiological and clinical data. These data have been recently confirmed by studies based on genome-wide association studies. These studies provided evidence on the role of aromatase enzyme in relative estrogen deficiency occurring in men with hypogonadism and its impact on BMD (Figure 6). Accordingly, a genome-wide association study demonstrated how some genetic variants of the aromatase enzyme are correlated with circulating serum E2 and BMD and that genetically determined values of circulating estradiol are linked to BMD by estimating that every 1 pg/mL of serum E2 corresponds to a genetically determined increase of BMD of 0.048 standard deviation (306). These results have been recently replicated by another GWAS study (307). Similarly, serum estradiol but not testosterone was identified as a causal factor in bone osteoporotic fractures in 175,583 men studied using a Mendelian randomization approach (308). Thus, the lower the serum estradiol the greater the extent of bone loss in hypogonadal men, the decrease of serum T exerting a direct, minor role (131,132,157,292,293). As a matter of fact, in male to female transexuals, high serum E2 induced by estrogen therapy maintains and increases bone mass despite low serum T (309,310). The degree or relative estrogen deficiency in hypogonadal men depends on several factors, including aromatase functioning (Figure6).

 

Estrogens, Body Composition, and Obesity in Men

 

The role of sex steroids action on body composition and adipose tissue metabolism in humans is long been recognized (311). Testosterone has been largely considered the main sex steroid involved in fat pathophysiology in men (311,312). However, it has become clear that estrogen also plays an important role in adipose tissue physiology in men since the first description of human cases of congenital estrogen deficiency (11,135,151) and the generation of knock-out mice models of estrogen deficiency (16,117,313,314) showing a phenotype of increased adiposity in spite of normal to increased serum testosterone.

 

Accordingly, both aromatase enzyme and ERs are expressed in the adipose tissue and in the skeletal muscle (12,18,24,25).

 

BODY COMPOSITION

 

Testosterone increases muscle mass and reduces fat mass in vivo (312). However, it is now clear that much these effects are due to its conversion into estradiol.

 

In the context of an experimental in vivo setting, healthy younger men treated with GnRH analogues and then substituted with different doses of exogenous testosterone alone together with placebo or in combination with an aromatase inhibitor, showed an increase in both subcutaneous and visceral fat mass mainly in presence of estrogen deficiency induced by the aromatase inhibitor (199). Similar results demonstrate that fat mass increases only in the group of healthy men with relative estrogen deficiency (below 15 pg/mL) induced pharmacologically by the short-term administration of GnRH analogue and aromatase inhibitors, but not in men with estradiol in the normal range (315). In accordance obese men treated with supraphysiological doses of transdermal testosterone or dutasteride showed an increase in fat mass only in the group taking an aromatase inhibitor compared to placebo (279).

 

Similarly, men treated with androgen deprivation therapy for prostate cancer increase their fat mass and weight and loose muscle mass (316-318). However, a double-blind randomized study tested the effects of 6 months of transdermal estradiol therapy in men on androgen deprivation therapy, and this study showed no beneficial effect of estradiol to prevent the increase of fat mass (319). This study was prematurely stopped due to Covid 19 pandemic, and the premature discontinuation might have resulted in insufficient power to detect a benefit (319).  Estradiol therapy also seems to not influence fat-free mass and muscle size (199).

 

Congenital human models of sex steroids deficiency also support the importance of estrogen deficiency in the body fat mass increase since men with congenital estrogen deficiency show increased adiposity (11,135,150,151) and patients with complete androgen insensitivity syndrome do not accumulate fat mass even in  absence of testosterone action thanks to a normal production of estrogens (320).  The mechanisms through which estrogens modulate fat mass in men are not fully understood and several, different actions are involved and interlinked in a complex network.

 

ESTROGENS AND THE GH/IGF-1 AXIS

 

Estrogens modulate the GH/IGF-1 axis by enhancing both the GH and IGF-1 secretion in men (321). Thus, estrogen deficiency indirectly leads to body composition changes related to the inhibition of the GH-IGF-1 axis (321).

 

ESTROGEN ACTION ON ADIPOSE TISSUE

 

It is well known that the expression of the ER within adipose tissue is decreased in obese women (322) and that the deletion of the ERS1 gene encoding for the ER in adipocytes increases the adipocytes volume and total fat mass in both male and female rodents (323), but the underlying mechanisms needs to be fully ascertained.

 

Recently, the study performed in approximately 700 women and 800 men demonstrates that the expression of the estrogen receptor ESR1 within adipose tissue is inversely associated with abdominal fat mass and insulin insensitivity (324). Therefore, men with relative estrogen deficiency due to lower ESR1 expression in adipose tissue or low circulating estradiol, or both, tend to have higher fat mass and insulin resistance, thus pointing out on a main role of estrogens on weight and body composition in men.  The reduction of ESR1 expression was associated with mitochondrial dysfunction of adipocytes, and these effects seem to be mediated by the reduction of expression of Polg1, a subunit of the polymerase enzyme involved in mitochondrial DNA replication and transcription (324). Reduced ESR1 expression in both white and brown adipocytes of ERKO mice (with deleted ESR1 gene) leads to increased fat in the former and reduced energy burning in the latter (324). Accordingly, in healthy adults of both sexes, serum E2 regulates brown adipose tissue thermogenesis, the latter being increased in women compared to men and associated with serum E2 (325,326).

 

ESTROGENS AND FEEDING BEHAVIOR

 

Sex hormones are able to influence adiposity in both men and women not only through peripheral mechanisms but also through a direct action on the brain (326,327) where they may modulate both energy balance and feeding behavior (328,329). Several data suggest that estrogens modulate energy balance at the hypothalamic level where they exert an anorexigenic action (326).

 

In addition to the energy expenditure, increasing evidence suggests that estrogens modulate appetitive behavior and food intake through their action on hedonic pathways operating at central level. Estrogens seem to lessen appetite and to reduce food intake. Recent studies have focused on the role of locally produced estrogens within the amygdala where its amount seems to be crucial for the regulation of feeding behavior. The amygdala is involved in the control of food intake both in humans and animals. In particular, functional imaging studies have demonstrated the activation of amygdala when images/videos of food or eating behavior are administered to volunteers and that functional dysregulation of this kind of activation is present in obese men and women, especially in hunger conditions (330). By measuring aromatase availability in the amygdala using positron emission tomography (PET) with the aromatase inhibitor [11C]vorozole in normal- weight, overweight, or obese men, Biegon et al. demonstrated that aromatase availability in the amygdala, but not circulating sex steroids, was inversely correlated to BMI (331). In particular, the aromatase inhibitor [11C]vorozole (a surrogate marker of aromatase expression/activity in vivo and of locally produced estrogens) was less available within the amygdala of obese men compared to healthy and normal-weight men (331). This suggests that locally produced estrogens within the amygdala can suppress eating behavior thus contributing to the modulation of weight gain since they facilitate the individual control of impulsive eating through cognitive/hedonic central effects within the brain (331).

 

Several actions of estrogens on food intake, energy homeostasis and body fat mass have been well characterized mainly in women (326) and till now the current knowledge was that estrogens are less important in men than in women in the control of these physiological functions, but recent evidence is changing this paradigm. In fact, all of the above findings point to an important role of estrogens on body composition, energy expenditure and control of feeding behavior in men and suggest that estrogen may represent a possible target to prevent and/or reverse weight gain  in men (332)

 

Other Non-Reproductive Estrogen Functions in Men

 

During the last five years an increasing body of evidence suggest that estrogen may play a role on several other non-reproductive function in men. Among them the most investigated are cognitive function (333) and aging (334,335). However, at present more evidence is needed to confirm the putative role of estrogens on these functions in men.

 

EFFECTS OF ESTROGEN EXCESS

 

Effects of Exposure to Excess Estrogens in Animals

 

In order to evaluate the effect of estrogen excess on the reproductive tract, several studies have been performed in various animal species treated with diethylstilbestrol (DES), a synthetic, potent estrogenic compound (336). The period between 13 to 24 weeks of human fetal life corresponds with the highest susceptibility of male reproductive organs to endocrine disruptors (4,53,55,336). Many studies in rodents suggest that the inappropriate exposure to estrogen in utero and/or during the neonatal period impairs the hypothalamic-pituitary-gonadal axis, testicular descent, efferent ductule function and testicular function (26,31,176,178). The latter effect is a direct consequence of the exposure to estrogen excess, of the indirect effect of perturbations in circulating hormones, and of the ability of the efferent ductules to reabsorb fluid. It seems that ERβ may mediate the process through which excess estrogens produce negative effects on male reproduction (26,31,57). The effects of estrogen excess during the neonatal period can induce irreversible alterations of the testis that become manifest in adulthood, consisting of permanent changes in both testis function and spermatogenesis (26,31).

 

AROMATASE OVER EXPRESSION IN RODENTS

 

The transgenic model of mice overexpressing the aromatase enzyme (AROM+) exhibits highly elevated serum estradiol concentrations together with a decrease of serum testosterone levels due to gonadotropin suppression (211,337). The phenotypic abnormalities of AROM+ males are like those developed by mice that are perinatally exposed to estrogens. The most frequent abnormalities include: undescended testes, testicular interstitial cell hyperplasia, hypoandrogenism, and growth inhibition of accessory sex glands (211). The impairment of spermatogenesis observed in AROM+ may be due to multiple factors, including cryptorchidism, abnormal Leydig cell function, testosterone deficiency or hyperestrogenemia (211). Thus, estrogens are thought to inhibit Leydig cell development, growth and function, resulting in the final suppression of androgen production (26). Furthermore, the observation of numerous degenerating germ cells and the absence of spermatids within the seminiferous tubules of AROM+ mice suggest that germ cell development arrests at the pachytene spermatocyte stage (26). However, a possible role of cryptorchidism per se on germ cell arrest cannot be excluded since cryptorchidism is known to induce germ cell arrest in rodents (338). Interestingly, the spermatogenic arrest occurred at a stage where P450arom expression is generally high. The spermatogenic arrest found in the AROM+ mice could be explained, at least in part, by the suppression of FSH action (211,337). In fact, the reduced serum FSH levels associated with normal LH levels provide further evidence of the inhibiting actions of estrogens on FSH secretion in in AROM+ males (211,337).

 

Effects of Exposure to Excess Estrogens in Men

 

The observation that the clinical use of DES by pregnant women to prevent miscarriage is associated with a dramatic increase in the incidence of genital malformations in their sons represents the first evidence in humans on the potential for estrogen excess to provoke urogenital malformations (339). The most frequent structural and functional abnormalities include epididymal cysts, meatal stenosis, hypospadias, cryptorchidism and microphallus (339-341). The frequency of abnormalities is dependent on the timing of estrogen exposure; in fact, men who were exposed to DES before the 11th week of gestation (i.e. the time of Műllerian ducts formation) had a two-fold higher rate of abnormalities than those who were exposed later (339,341). These data support the hypothesis that the asynchrony between formation and regression of embryonic reproductive structures is probably strongly influenced by estrogen exposure.

 

Various reports demonstrated that semen quality of men exposed to DES in utero is significantly worse than in unexposed controls (342), even though sperm concentrations of most of these patients was average, with normal fertility (14). The implications for human spermatogenesis in terms of exposure to environmental estrogens remain less clear. The risk of testicular cancer among men exposed to DES in utero has been a controversial issue and several meta-analyses showed a doubling of testicular cancer risk, together with increased incidences of cryptorchidism, hypospadias, and impaired spermatogenesis (343). However, more direct evidence will be necessary in order to fully understand this issue and particularly to identify the exact estrogenic mechanism of action (343). It is clear that exogenous estrogens could interfere with the development of genital structures if administered during early organogenesis (341). The main effect is an impairment of gonadotropin secretion and the imbalance of estrogen to androgen ratio, which may account for impaired androgen receptor stimulation or inhibition according to the dose, the cell type and the timing of exposure (339,341). Furthermore, it seems that an excess of environmental estrogens could be a possible cause of impaired fertility in humans (176,177,341) since environmental estrogens are associated with an increased risk of subfertility in several studies (344). Although controversial, a proposed progressive decline in sperm count has been reported in some Western countries during the past 50 years, and has been suggested to involve  negative effects of environmental contaminants, especially xenoestrogens, on male reproductive function(13,176,339,344).

 

In adult men the effects of estrogen excess are limited to rare causes of congenital aromatase overexpression and other rare conditions such as male to female transexuals taking exogenous estrogens.

 

AROMATASE OVER EXPRESSION IN HUMANS

 

Aromatase over-expression causes an increased conversion of androgens to estrogens with a consequent excess of estrogen. Excess estrogen in boys causes gynecomastia, a premature growth spurt, early fusion of epiphyses, and decreased adult height (162,345). Increased extraglandular aromatization was firstly reported in an adopted boy with prepubertal gynecomastia in 1977 (346). Four families were then described, in which several members had estrogen excess (manifested as gynecomastia in boys and men and premature thelarche in girls) due to increased extraglandular aromatization (347-349), and one case with a gain-of-function mutation of the aromatase gene (345). The latter seemed to be an autosomal dominant inherited disease (345,348). In adult men, elevated serum estradiol levels induce mild hypogonadotropic hypogonadism due to enhanced negative feedback on pituitary gonadotropins exerted by estrogens (162,345,348). This inhibitory effect of estrogen on reproductive function appears to be milder in males with aromatase excess syndrome than in patients receiving exogenous estrogens or having estrogen-secreting tumors, probably because serum estradiol and/or estrone levels are lower in the former (348). External genitalia in adult men with aromatase excess syndrome are characterized by normal penile and testicular size (162,345,348). This clinical reproductive phenotype has been observed also in other patients with aromatase excess syndrome due to gain-of-function mutations of the aromatase enzyme (162,350-352). Even though spermatogenesis and sexual behavior were not specifically studied, the adult men described were fertile and reported normal libido (345,348) and sperm count was normal in other studies (350). In these patients, treatment with an aromatase inhibitor reduces estrogen levels and normalized testosterone, LH and FSH serum levels (345,353), confirming a crucial role of estrogen in the suppression of both gonadotropins in men.

 

ESTROGEN EXCESS IN ADULT MEN

 

Klinefelter’s Syndrome has been classically considered a feminizing syndrome on the basis of signs (gynecomastia) and the observation of circulating estradiol higher than normal (354,355). In the literature, however, the data concerning hyperestrogenism in Klinefelter patients are not solid since they come from single case reports or studies using old assays for the measurement of serum estradiol. Data from mouse models of Klinefelter’s are not conclusive about the real increase of circulating estrogens and aromatase expression and activity (356). Infertility in these patients is mainly due to the genetic abnormalities rather than to the hormonal status (357). However, preliminary results from a recent meta-analysis does not confirm that is higher serum estradiol in Klinefelter’s patients compared with non-Klinefelter’s men, but show a condition of relative hyperestrogenism consisting with a slightly elevated estradiol to testosterone ratio in Klinefelter’s (358).

 

Most male to female transexuals who undergo exogenous estrogen therapy continue to have sperm production and spermatogenesis progresses even after a long period of therapy with estrogens. Histological analysis of the testes removed as part of gender affirmation procedures in 72 male to female transexuals on long -term estrogen therapy (>1 year) shows the presence of germ cells and spermatids in about 80% and 40% of cases, respectively; these percentages being inversely related to testes volume (359). In particular, a reduced diameter of seminiferous tubules, Sertoli and Leydig cells abnormalities consisting with glycoproteins accumulation, germ cells and Leydig cells hypoplasia, and down regulation of Era expression in the seminiferous tubules have all been found in testes of male to female transexuals under long-term estrogen therapy (360,361). All these changes may be associated to impaired spermatogenesis ranging from the absence of spermatozoa production (362) to various degrees of reduction in number of spermatozoa and spermatozoa precursors (spermatids) in the seminiferous tubules (360,361,363). Serum T suppression below 50 ng/dL results almost constantly in a complete suppression of spermatogenesis (362), thus incomplete suppression of spermatogenesis may be considered a marker of inadequate hormonal treatment due to underdosage or lack of patients’ adherence to therapy (360,363).

 

CLINICAL IMPLICATIONS OF ESTROGENS IN MALES

 

Diagnostic Aspects: Significance of Serum Estradiol in Men

 

Approximately 50 μg of estradiol are produced daily: about 5-10μg in the testis (10 to 20%) and the remaining 40-45 μg (80 to 90%) in peripheral tissues (adipose tissue, muscle, breast, brain liver and bone) in which the aromatase enzyme is expressed (4,130,131). In adult men, the normal range of serum estradiol is around 14-43 pg/mL (51-157 pmol/L), accordingly to different studies (300,364). Based on chromatography techniques, such as liquid chromatography-tandem mass spectrometry, progress has been made in the measurement of serum estrogens within the low and low-normal range of men thereby overcoming the unreliability of immunometric commercially available assays (44). In clinical practice, the measurement of serum E2 in men is mandatory when a congenital condition of estrogen deficiency is suspected (135,162). In particular, the clinical work-up for the evaluation of male infertility may involve the serum estradiol assay when clinical aspects suggestive for aromatase deficiency, coupled with normal to high testosterone and gonadotropins levels and/or history of cryptorchidism are present (Table 6) (365). Outside this clinical context, the measurement of serum E2 could be helpful to identify a condition of relative estrogen deficiency in men with hypogonadism and osteoporosis and hot flushes. However,  the accuracy of most of the major commercially available kits for the detection of serum estradiol remains poor, especially for low serum levels of estradiol typical of the male range (1,41,42,366,367) leaving the measurement of serum E2 in men substantially not indicated in the clinic (132,292,297,358). Therefore, the assay of serum estradiol is suggested only if the method used in clinical laboratories has a very high sensitivity and specificity (e.g. 3rd generation RIA or some immunometric assays with an acceptable accuracy) (290,301,368-370). At present, the gold standard test for E2 measurement remains the gas chromatography/tandem mass spectrometry (41-44,366,367) and its progressive introduction in laboratories for clinical routine evaluations of sex steroids in recent years (1,42-44,371,372) allows precise and accurate sex steroids measurement in a clinical setting (371,372) allowing ruling in/ruling out relative estrogen deficiency in men (131,132,292) and keeping serum E2 in the normal range in hypogonadal men treated with testosterone (373,374). Recently, the results from the Testosterone Trials have pointed out the importance of serum estradiol for the outcomes of testosterone replacement therapy (375). Accordingly, changes in serum estradiol  best predicted not only BMD increase (an expected result) but also other classical outcomes of testosterone therapy in hypogonadal men such as sexual desire, hemoglobin, and HDL cholesterol suggesting that serum estradiol assayed by LC-MS/MS may be a good clinical marker of adequate testosterone substitution (375).

 

Estrogens and Male Infertility: Clinical and Therapeutic Implications

 

Estrogens are involved in male fertility and could represent a potential factor involved in the pathogenesis of infertility as well as a possible pathway to explore new therapies for human male infertility.

 

ESTROGEN TREATMENT

 

At present there is no indication to prescribe estrogen compounds to men, except for the treatment of rare diseases such as congenital estrogen deficiency (130,135,365) or in the management of transgender patients. The increasing evidence of the existence of several testosterone actions that are mainly mediated by estrogens theoretically support the concept that tailoring estrogens in the treatment of hypogonadal men may improve the outcome in terms of benefits for patients (197,198). However, at present, there is no evidence on the effectiveness and safety of such therapeutic strategy. In the future, advances in the field of routine clinical measurement of very low amounts of circulating estrogens (1,42-44,371) will open new frontiers for testing the effect of estrogen compound or of SERMs alone or combined to androgens in men with documented mild estrogen deficiency.

 

ESTROGEN TREATMENT OF AROMATASE DEFICIENT MEN

 

The clinical features common to all aromatase-deficient men are: tall stature, delayed bone maturation, osteopenia/osteoporosis, eunuchoid skeleton, bone pain, and progressive genu valgum (11,131,135,286). Estrogen replacement treatment, at the daily dose of 0.22 to 0.35 μg/kg of transdermal estradiol in adult men, should be started as soon as the diagnosis of estrogen deficiency has been reached (131,135,365). When the diagnosis is available at birth, or is achieved during infancy, low dosages of exogenous estradiol should be administered at the beginning of puberty (0.8 to 0.12 μg/kg daily) (135,141). The main target of estrogen replacement therapy in these patients is the skeleton in order to promote epiphyseal closure, bone maturation and mineralization and the completion of these physiological processes on time. Accordingly, high doses of estrogen in adult men with aromatase deficiency might be used to lead a rapid completion of skeletal maturation within 6-9 months in adults with epiphyseal cartilages still open, through rapid bone elongation and an increase in height followed by quick epiphyseal closure and growth arrest (131,135,147,154,365). Once epiphyseal closure has been achieved, estrogen replacement treatment should be continued lifelong. The main goal is to prevent bone loss and to reduce the risk of cardiovascular disease. In this case, the dose of estradiol should be reduced to ensure serum estradiol within the normal range for adult men (131,135,147,154,365). Moreover, estrogen treatment in aromatase deficient men is effective in normalizing or improving other aspects such as gonadotropin secretion, bone mineral density, glucose metabolism, insulin sensitivity, liver function, and circulating lipids (131,143,146-148,150,151,157-159). When estrogen treatment is started at puberty, the effects of estrogen treatment on spermatogenesis are unknown, but the administration of estrogens in a more physiological way could theoretically be associated with normal spermatogenesis in adulthood. Conversely in adult patients, impaired spermatogenesis is irreversible even when estradiol treatment is administered (135). Other aspects related to estrogen deficiency cannot be modified by estrogen treatment when the treatment is started during adulthood (e.g. eunuchoid body proportions, genu valgum, failure in reaching the bone peak mass, normal body weight restoration) (135,151).

 

Finally, the real impact of estrogen treatment on sexual behavior in adult aromatase-deficient men remains to be determined (135).

 

ANTI-ESTROGEN TREATMENT IN MEN

 

As estrogens act on gonadotropic feedback inhibition (157,187,190), they could be a good target in the clinical management of male infertility. The rationale is to employ anti-estrogen drugs in order to modulate gonadotropin feedback by blocking the inhibitory effect exerted by estrogen on gonadotropins and to increase both LH and FSH. This will result in increased testosterone and FSH with potential benefits on spermatogenesis (376,377). However, the real effectiveness of this approach in treating male infertility remains to be established, since conflicting results are available (4,129,172,173,200,377-381) and this kind of treatment remains empirical and ‘off label‘ (200,376,378). Thus, the real efficacy of anti-estrogens is far from being elucidated and whether the increase of sperm density induced by anti-estrogens is actually related to a real improvement of both sperm fertility and pregnancy rates is a matter of debate (4,129,200,377) (Table 8).

 

Since the 1960s, anti-estrogen agents have been used as an empirical treatment of male infertility (378,382) based on their modulation of the hypothalamic-pituitary testicular axis. The main classes of drug that have been tested are aromatase inhibitors. They are the most potent blockers of the estrogen-mediated negative feedback on gonadotropins and excites LH and FSH secretion aiming to stimulate spermatogenesis (383). However, no clear evidence of direct effects of anti-estrogens on spermatogenesis exists (200,376,383), but LH and FSH serum levels generally increase during aromatase inhibitor administration in infertile men (384).

 

Clomiphene at a dosage of 25-50 mg daily for 3-12 months, or tamoxifen at dosage of 20-30 mg daily for 3-6 months, represent the most frequently used anti-estrogen agents for the treatment of male infertility (385) (Table 8); on the contrary the new generation of selective estrogen receptor modulators does not result in significant changes in male fertility (386) (Table 8).

 

Table 8. Dosages and Time Duration of Oral Anti-Estrogen and Aromatase Inhibitors Used in Male Infertility and Their Different Effects on Semen Analysis

Treatment

Dose (mg/daily)

Duration (months)

Effects on semen analysis

Anti-estrogens

 

 

 

Clomiphene

25-50

3-12

Semen volume: No effect or ↑

Total sperm number: No effect or ↑

Sperm concentration: No effect or ↑

Sperm motility: No effect or ↑

Sperm morphology: No effect or ↑

Tamoxifen

20-30

3-6

Semen volume: No effect

Total sperm number: No effect

Sperm concentration: No effect or ↑

Sperm motility: No effect

Sperm morphology: No effect

Tamoxifen

and

Testosterone undecanoate

20

120 orally

6

Semen volume: No effect

Total sperm number: ↑

Sperm concentration: No effect

Sperm motility: ↑

Sperm morphology: ↑

Aromatase inhibitors

 

 

 

Testolactone

2000

8

No effect

Testolactone or Anastrozole

100-200

6

Semen volume: ↑

Total sperm number: ↑

Sperm concentration: ↑

Sperm motility: ↑

Sperm morphology: ↑

Letrozole

2,5

6

Semen volume: No effect

Total sperm number: ↑

Sperm concentration: ↑

Sperm motility: ↑

Sperm morphology: No effect

The use of these drugs is still off-label.

 

Clomiphene (25-50 mg/day) has been recently studied in a cohort of 86 men with hypogonadism for six months (387). This treatment represented an effective and apparently safe alternative to testosterone supplementation in hypogonadal men wishing to preserve their fertility (387). Furthermore, Ghanem et al. have recently found that combined treatment with clomiphene (25 mg/day) and an antioxidant drug (vitamin E) increased the pregnancy rate and improved sperm count and progressive motility in men with idiopathic oligoasthenozoospermia (388). More or less these data have been confirmed by several studies, most of them being retrospective or observational (389-391), with few RTCs studies available (392,393). Notwithstanding the improvement of sperm parameters in a variable percentage of men with infertility (393), a recent systematic review points out a possible impairment of sperm parameters (a decrease in semen count, concentration, motility, morphology and total motile sperm count) in up to 20% of patients treated with clomiphene citrate, this impairment of sperm remaining irreversible in 17% among men who had a decline in semen parameters after therapy discontinuation (394). In men with secondary hypogonadism treated with testosterone, enclomiphene (the transisomer of clomiphene) was able to prevent gonadotropin suppression and the related oligospermia compared to placebo (395) and these preliminary data have been confirmed by other studies (396)(Table 8). Clomiphene may be used off-label, but enclomiphene has not been approved by regulatory agencies and its use is limited to experimental trials (396).

 

Tamoxifen (20 mg/day) has been also used in combination with oral testosterone undecanoate (120 mg/day) in men affected by idiopathic oligozoospermia. This combined treatment was effective in improving not only the sperm parameters (total sperm number, sperm morphology and motility), but also the pregnancy rate (397). In 2012, Moein et al. studied thirty-two azoospermic infertile men with proven non-obstructive azoospermia, administrating Tamoxifen for 3 months (398). Tamoxifen treatment led to the recovery of spermatozoa in the ejaculates of six patients (398). These studies showed that treatment of patients with non-obstructive azoospermia with anti-estrogenic drugs like tamoxifen can improve the results of sperm recovery in testis samples and also increase the chance of pregnancy by microinjection. Also other non-controlled trials suggest improvements in sperm quality or sperm concentration(399,400), however, no well-performed clinical trial has confirmed these results (376), except for one RCT comparing tamoxifen alone and tamoxifen plus folate with placebo confirming that tamoxifen increased sperm concentration in men with sperm abnormalities (399) (Table 8). A recent meta-analysis including a very small number of studies supports the empirical use of the estrogen antagonists clomiphene and tamoxifen at the dose of 50 mg and 20 to 30 mg daily based on the finding of the detection of a doubling rate of pregnancy outcome among men with idiopathic infertility (401). The uncertain role of these therapies on male fertility may be related to the fact that idiopathic oligozoospermia constitutes a group of heterogeneous disorders of which only a subgroup might respond to anti-estrogen therapy. However, studies have failed to identify the characteristics of this subgroup and thus physicians cannot distinguish potential responders and non-responders (376).

 

Few data are available on the effect of aromatase inhibitors in male infertility (Table 8). An old study failed to demonstrate the efficacy of testolactone in the treatment of idiopathic oligozoospermic infertility (384). However, when aromatase inhibitors (testolactone or anastrozole) were administered in a selected group of infertile men with abnormal baseline testosterone-to-estradiol ratio, an improvement of fertility rate was generally obtained (172). In particular, letrozole treatment improved semen parameters and estradiol to testosterone imbalance in patients with low testosterone and increased estradiol to testosterone ratio (381). In 2011, Saylam et al. treated 27 infertile, hypogonadotropic men with 2.5 mg daily of letrozole for six months, finding an improvement of both testosterone serum levels and semen parameters after treatment (173). Thus, it seems that letrozole may facilitate some improvement in infertile men with azoospermia by improving the number of sperm in the ejaculate (173). Accordingly, a further study on the effects of letrozole on sperm parameters showed that letrozole but not placebo was effective in increasing sperm count and improving sperm motility after 6 months of treatment in a small group of 46 patients (22 on letrozole; 24 on placebo) who were azoospermic or cryptozoospermic at baseline (402) (Table 8). These results have been also replicated by not controlled studies (403-407). However, positive effects of aromatase inhibitors on sperm concentration and quality comes mainly from case series, retrospective, and cross-sectional studies, thus leaving the strength of evidence concerning the aromatase inhibitors efficacy on male fertility of low grade (200,201,377,408).

 

In men with hypogonadism, antiestrogens have the advantage to be effective in increasing serum T without suppressing gonadotropins if compared with testosterone replacement therapy, thus preserving spermatogenesis (200,201,377).

 

Data concerning the safety of anti-estrogens for treatment of male infertility are scant, especially as far as long-term treatment is concerned (195,196,376,377,409-411). Safety data regarding the use of clomiphene and tamoxifen for male infertility is limited, but information available supports their safety (410,411), the latter  might be also derived indirectly from small groups of men with breast cancer (412). Conversely, more data are available on aromatase inhibitors (195,196,377). Six months of therapy with letrozole seems to not affect psychometric tests, glucose tolerance, serum circulating lipids, markers of bone turnover, and body composition, including BMD, in obese, hypogonadal men(413). In this study, however, moderate aromatase inhibition resulted in serum estradiol still within the normal male range and all the outcomes were obtained after a short period of treatment (413). In the literature, opposite results are available and suggest possible undesired effects of aromatase inhibitors, especially on metabolism and bone. Evidence exists that high-dose aromatase inhibition might lead to several side effects, especially when patients are treated for more than 12 months with an aromatase inhibitor (195,196). Both very short-term and short-term treatment with aromatase inhibitors had deleterious metabolic effects: one study demonstrated a prompt worsening of both insulin sensitivity and lipid profile in young and older men after 28 days of treatment with letrozole (414), while anastrozole reduced insulin sensitivity in healthy men after 6 weeks of treatment (338). In the case of longer treatments (with outcomes obtained after 1 year) vertebral deformities (415) and decreased BMD (173,197,416) were found in young and older men, respectively. In addition, treatment with aromatase inhibitors lowered HDL-cholesterol in peripubertal boys (417) and in both adult and older men (195,414) while data on total and LDL-cholesterol are conflicting (277,338,414). Data available from a very small subset of male patients operated on for male breast cancer and treated with anti-estrogens (most of them with tamoxifen) provides data on long-term effects and major adverse events (412). The authors concluded that side effects and major adverse events did not differ between men and women taking anti-estrogens and that cerebrovascular or coronary events, thromboembolic events (deep venous thrombosis)(418,419), depression, muscle cramps, and hot flashes might occur also in men during anti-estrogens treatment, hot flashes being the most frequent (411,412). These data, however, should be regarded with caution due to the small sample size, the lack of a control group, and the difficulties in proving a cause-effect relationship between major adverse events and the use of anti-estrogens in men. Besides, most of the studies on antiestrogens in men are based on short-term therapy, thus safety data for long-term therapy are not available.

 

As a result, it should be remarked that none of the drugs belonging to the category of anti-estrogens (i.e. clomiphene, tamoxifen, aromatase inhibitors) is approved for the indication of the treatment of male infertility by regulatory drug agencies (e.g. FDA, EMEA, TPD and TGA Regulations) nor is recommended by guidelines provided by Scientific Societies (e.g. NICE, ASA, EAA, SIAMS etc.) for use in idiopathic infertility (420,421). At present, all the data available on anti-estrogens in male infertility comes from the use of these drugs for research purposes outside the context of clinical practice. In addition, none of the studies are of adequate design, strength, and power. For all these reasons, their clinical use remains anecdotal and is off label (195,196,200,201).

 

In conclusion anti-estrogens, alone or in combination with testosterone, may represent a potential therapy for idiopathic oligozoospermia, however this remains an empirical off-label treatment (376,401). The data set does not yet provide sufficient evidence for these applications, but there is suggestive evidence that encourages further study (401). Further well-designed studies on adequate sample size (and homogeneous groups of men with infertility) are needed to detect their true efficacy in improving the pregnancy rate, or to identify the features of the responders.

 

FUTURE DIRECTIONS

 

Notwithstanding consistent advancements in the comprehension of estrogen role in men the pathophysiology of estrogens in males remains not fully explored and further studies are advocated. Preliminary data suggest that the decline in serum estradiol is associated with all-cause mortality in community-dwelling older men, but further investigations are needed to prove this relationship (422). In addition, the knowledge of the role of estrogen-related genetic determinants in male pathophysiology is still in its infancy. In recent years some research  based on genome-wide association studies (GWAS) have provided new insights to this field (76,306-308,423). GWAS are useful in examining unexplored areas concerning physiological and pathological actions and related genetic determinants (Figure 6). Concerning estrogens in men a recent GWAS allowed disclosing more details on the association between low serum estradiol and increased adiposity and showed that higher estradiol levels were associated with lower adiposity (423). Thus, GWAS are promising for disclosing new important aspects related to estrogen pathophysiology in men and for improving the knowledge of genetic determinants of estrogens in health and disease. Advancement in the comprehension of individual genetically determined estrogen actions (Figure 6) together with the diffusion of LC-MS/MS in clinical laboratories allowing precise measurement of estrogens in men will pave the way to better tailor the management and therapy of both estrogen deficiency and excess in the human male.

 

CONCLUSIONS

 

Sex steroids account for sexual dimorphism because they are responsible for the establishment of primary and secondary sexual characteristics, which are under the control of androgens and estrogens in male and female, respectively. Advances in the understanding of the role of estrogens in animal and human models suggest a role for this sex steroid in the reproductive function of both sexes. The fact that both estrogen excess and estrogen deficiency influence male sexual development, testis function, the hypothalamic-pituitary-testis axis, spermatogenesis and ultimately male fertility, highlight the biological importance of estrogen action in males. Thus, estrogens, not only androgens, are responsible for some crucial physiological functions in men like fertility, reproduction, and bone health. In particular, the balance of serum estradiol to testosterone ratio is likely crucial for maintaining all these functions, thus suggesting that the homeostatic equilibrium between estrogens and androgens is important for the correct functioning of several physiological systems in men (11,22,34,121,158,172,381). From an evolutionary perspective, this relevance of estrogen actions in males provides an example of the parsimony operating in biological events that are crucial for the evolution of the human species such as growth and reproduction (Figure 7).

 

This chapter has addressed the reproductive effects of estrogens in males but there are emerging roles for estrogens in non-reproductive tissues. In particular, even though testosterone has traditionally been considered the sex hormone involved in bone maturation and growth arrest in men the key role of estrogens on growth has recently been revealed.

 

Figure 7. Direct and indirect (estrogen mediated) testosterone actions.
[DHT: dihydrotestosterone, AR: androgen receptor; ERs: estrogen receptors]

A major area of uncertainty is the possible role of estrogen in boys before puberty. It is known that low levels of circulating estradiol are detected in infancy when using ultrasensitive assays, but their significance is not known (130).

 

Several lines of evidence support the view that estrogens are required for, and in part mediate, androgen actions on several tissues and organs in men (Figure 7). The progress made in the last thirty years in this field have clarified the importance of estrogen in men but leaves some issues still unsolved. In particular, estrogen actions on bone and on gonadotropin secretion are now well characterized and part of the estrogen action on spermatogenesis is known, but further evidence is needed to clarify several aspects still under debate.

 

ACKNOWLEDGMENTS

 

We are indebted to Kenneth Korach S. (National Institutes of Health, Research Triangle Park, NC, United States), Evan Simpson (Hudson Institute of Medical Research, Clayton, Australia), Laura Maffei (Buenos Aires, Argentina) for their collaboration with our group in this research field.

 

A special thanks to Marco Faustini-Fustini (Ospedale Bellaria, Bologna, Italy), Antonio Balestrieri (Ospedale Bufalini, Cesena, Italy), Antonio R.M. Granata (University of Modena and Reggio Emilia), Elisa Pignatti (University of Modena and Reggio Emilia), Fabio Lanfranco (University of Turin, Italy), and Paolo Beck-Peccoz (Univesity of Milan, Italy) for fruitful discussion and collaboration in the research area of estrogen role in the human male.

We are grateful to Bruno Madeo, MD, PhD, Chiara Diazzi, MD, PhD Lucia Zirilli, MD, PhD Daniele Santi MD, PhD (University of Modena and Reggio Emilia) for their contribution in revising some parts of the previous version of this chapter (November 24, 2016).

 

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Lysosomal Acid Lipase Deficiency

ABSTRACT

 

Lysosomal acid lipase deficiency (LAL-D) is an autosomal recessive genetic disease with variable presentation which often leads to severe morbidity and mortality. More than 100 LIPA loss of function mutations have been identified, the most common reported mutation being a splice junction mutation in exon 8. The true prevalence of the disease is unknown, but is estimated to be between 1:40,000 to 1:300,000. Infantile-onset LAL-D is generally fatal within the first 12 months of life. Common presenting symptoms in the late-onset form include dyslipidemia (elevated LDL-C, low HDL-C), elevated liver transaminases, hepatomegaly, and splenomegaly.  Prior to the availability of enzyme-replacement therapy, individuals with LAL-D were treated with lipid lowering medication, liver transplant, and stem cell transplant, none of which corrected the multisystem nature of the disorder. Sebelipase alfa (Kanuma®), a recombinant human lysosomal acid lipase, was approved by the FDA in 2015 to treat LAL-D. Phase 3 studies have shown an improvement in lipid parameters and liver enzymes. Long term studies demonstrating the safety and efficacy of sebelipase alfa in infants, children and adults are ongoing.

 

INTRODUCTION

 

Lysosomal acid lipase deficiency (LAL-D) is a rare, heterogeneous, autosomal recessive genetic disease, the manifestations of which include a clinical continuum. LAL-D is characterized by accumulation of cholesteryl esters and triglycerides primarily in the liver and spleen, but with involvement of other organs as well. Clinically, LAL-D is under-recognized, leading to a delay in diagnosis. It is often mistaken for more common conditions with similar clinical and laboratory findings, such as heterozygous familial hypercholesterolemia (FH) and non-alcoholic fatty liver disease (NAFLD) (1,2). Correct diagnosis and timely intervention are critical to prolonging life and improving outcomes.

 

Similar to other lysosomal storage disorders, LAL-D presents across a clinical spectrum from infancy to adulthood. Historically, affected infants who presented within the first year of life were known as Wolman Disease while those who symptoms were delayed until childhood were referred to as cholesteryl ester storage disease [CESD]. Wolman disease, which has a rapidly progressive course, was first described in 1956. Affected infants have severe malnutrition, adrenal calcifications, hepatosplenomegaly, and death within the first few months of life (3). In contrast, CESD is seen as having a variable clinical spectrum with recognition of the disorder occurring from childhood into adulthood. Fredrickson, Schiff, Langeron, and Infante were the first to describe CESD in individuals with presentation from the first to fourth decades of life, and noted them to be less severe than those described by Wolman (4-6).

 

INHERITANCE AND GENETICS

 

LAL-D is an autosomal recessive disease that arises from mutations at the LAL locus on chromosome 10q23.2.  Affected individuals are either homozygous or compound heterozygous for LIPA mutations, with more than 100 LIPA mutations having been identified (7).

 

Lysosomal acid lipase (LAL) plays a central role in intracellular lipid metabolism (8,9). LAL is the only lipase contained within lysosomes that hydrolyzes cholesteryl esters and triglycerides.  After cleavage by LAL, free cholesterol and fatty acids exit the lysosome to enter the cytosol (Figure 1). These cleaved products play an important role in cholesterol homeostasis. Free cholesterol interacts with transcription factors (sterol regulatory element binding proteins [SREBPs]) to modulate production of intracellular cholesterol. As intracellular free cholesterol increases, there is a down regulation of LDL receptors mediated by SREBP-2, resulting in less LDL entering the cell. Additionally, there is inhibition of hydroxymethylglutaryl coenzyme A (HMG-CoA) reductase, resulting in decreased cholesterol production, as well as stimulation of acyl-cholesterol acyltransferase (leading to increased cholesterol esterification). Finally, increased intracellular fatty acid leads to inhibition of triglyceride and phospholipid production and decreased fatty acid synthesis (10-12).

 

Deficiency of LAL results in diminished or absent hydrolysis of cholesteryl esters and triglycerides, trapping cholesterol esters and TG within the lysosome. This results in a decrease in cytosolic free cholesterol and a compensatory, upregulation in the cholesterol synthetic pathway (HMG CoA reductase activity) and endocytosis via increased LDL receptors. There is increased production of apolipoprotein B and very low-density lipoprotein (VLDL-C) (13-15). The dysregulated expression of the LDL-cholesterol-dependent ATP binding cassette transporter 1 (ABCA1), similar to that seen in Niemann-Pick type C1, results in decreased levels of HDL-C (16). The characteristic dyslipidemia seen in individuals with LAL-D includes elevated total cholesterol, elevated LDL-C, and low HDL-C (2).

 

Figure 1. Cellular Cholesterol Homeostasis in Heathy Individuals and Patients with LAL-D

The true incidence of LAL-D is unknown. Estimates suggest overall disease prevalence between 1:40,000 to 1:300,000, depending on ethnicity and geographical location (1,2,17). The most commonly inherited defect is a splice junction mutation in exon 8, E8SJM (c.894G>A). It is assumed that 50-70% of adults and children with LAL-D have E8SJM (17,18). Studies in the general population have shown that the estimated frequency of E8SJM allele is 0.0013 in Caucasians, 0.0017 in US Hispanics, 0.0010 in US Ashkenazi Jews, and 0.0005 in Asians (19).  Population screening for E8SJM among healthy West German individuals reveal a heterozygote frequency of ~ 1:200 individuals. Jewish infants of Iraqi or Iranian origin appear to be at high risk for LAL-D with an estimated incidence of 1:4,200 in the Los Angeles community (20).

 

A study attempting to identify the prevalence of LAL-D from patients with abnormal results in laboratory databases (elevated LDL-C and abnormalities on liver tests) identified a total of 1825 patients who subsequently underwent a dried blood spot sample for determination of LAL enzyme activity. No cases of LAL-D were identified. The results of this study demonstrate the potential of databases in helping to identify patients with specific patterns of results to allow targeted testing for possible causes of disease. Biochemical screening suggested that the gene frequency of LAL deficiency in adults is less than 1:100 (21). Additionally, histopathology databases of liver biopsies were analyzed searching for patients with features of 'microvesicular cirrhosis' or 'cryptogenic cirrhosis'. DNA was available from six patients and two were homozygous for LAL c.46A>C;p.Thr16Pro, an unclassified variant in exon 2 (21). The results of these studies suggest the potential of databases in helping to identify patients with specific laboratory results or those who had certain biopsy findings to allow targeted testing for possible causes of disease.

 

PRESENTATION

 

The symptoms of LAL-D are quite varied, and are related to the age that clinical manifestations first appear (Figure 2).  Individuals who present within the first few days to first month of life often have vomiting, diarrhea, hepatosplenomegaly, abdominal distention, and severe failure to thrive. The first symptom observed is usually vomiting, which has been described as forceful and persistent. Accompanying these symptoms are usually watery diarrhea and low-grade fever. Symptoms generally persist despite multiple medical interventions and may lead to severe malnutrition. A hallmark of infantile-onset LAL-D is adrenal enlargement and calcification, often seen on imaging, but not required for diagnosis. Calcifications of the adrenal gland as well as adrenal insufficiency have been documented. Few patients survive beyond 12 months of age (2,3,22), with those that have growth failure often dying by four months of age (23).

 

In contrast, the clinical presentation and progression of LAL-D can be variable in older children and adults. However, there are common clinical manifestations that have been reported in this group of patients. In a review of 71 patients two thirds presented with their first symptoms before the age of 5 years. Hepatomegaly was present in all the patients; 86% had splenomegaly.  Gastrointestinal symptoms were present in 30% and included vomiting and diarrhea [18%], failure to thrive [16%], abdominal pain [10%], gastrointestinal bleeding [8%], and gallbladder disease [4%]. Elevation of cholesterol was present in 90% (24). In a separate review of 135 patients, the median age of onset of symptoms was 5 years with a range from birth to 68 years.  Hepatomegaly was present in 99.3% of patients. The most common extrahepatic findings were steatorrhea, poor growth, gallbladder dysfunction, and cardiovascular disease. Total cholesterol was elevated in all 110 patients (1). 

 

The disease severity is likely dependent on the efficiency of alternative pathways, but not on the level of residual enzyme activity (25). In adults, the most frequent symptoms are abdominal pain, hepatomegaly, and laboratory abnormalities that include increased levels of transaminases and cholesterol. Differential diagnostic considerations include autoimmune hepatitis, NASH, alpha1-antitrypsin deficiency, and Wilson disease. Of concern is the potential for premature atherosclerosis in affected individuals.  Although the occurrence of cardiovascular events has not been extensively studied, case reports and observational studies have documented the presence of arterial plaque and atheroma at a very early age (26-28). As a result, many patients with this disease have been prescribed lipid-lowering medications (1). While lipid lowering in the setting of LAL-A has been variable, statins increase hepatic uptake of LDL and, as a consequence, may worsen the lipid overload (29). It is important to note that seven asymptomatic adults, diagnosed in the third to sixth decade of life, have been reported.  All were coincidently found to have confirmed LAL-D, yet none had detectable hepatomegaly (28). 

 

The most consistent biochemical abnormalities seen in late onset LAL-D include elevated liver transaminases and plasma lipids. In a study of 49 patients designed to characterize clinical manifestations of LAL-D, mean ALT, AST, and GGT were 92.4, 87.8, and 52.2 U/L at the first measurement. In this study elevated GGT levels were uncommon (only 20% had values > 40 U/L) (30). In another study, liver dysfunction occurred in 100% of 135 patients and 73% of the 11 reported deaths were due to liver failure (1). Mean LDL-C at the time of first measurement was 202.9 mg/dL, and reported as abnormal in 64.4% of patients. Mean total cholesterol was 269.5 mg/dL and was abnormal in 62.5%. Mean HDL-C was 37.5 mg/dL and abnormal in 43.5% of patients (30). The lipid abnormalities seen most closely resemble type II-b dyslipidemia (31).  Although elevated LDL-C seems to be a feature of LAL-D, it remains unclear whether or not LAL-D is a cause of early atherosclerosis. Case reports and several autopsy studies have noted aortic stenosis and found narrowing of the coronary artery secondary to atheromatous plaque in patients with LAL-D (2,32).

 

Figure 2. Clinical Presentation of LAL-D

 

On gross examination, the liver of patients with LAL-D is enlarged and appears greasy. Liver biopsies in paraffin sections have a predominance of microvesicular steatosis, which is uniform.  Microvesicular steatosis, per se, is not pathognomonic of LAL-D, being found in other liver diseases as well. Foamy macrophages, containing lipid and ceroid, are present in the sinusoids and portal tracts (Figure 3).  Staining for LAMP1, LAMP2, and LIMP2, or with a lysosomal luminal protein (cathepsin D), can assist identifying lipid accumulation as lysosomal, may help differentiate LAL-D from other causes of microvesicular steatosis. Another pathognomonic feature of LAL-D is birefringent cholesterol ester crystals in hepatocytes and Kupffer cells, using polarized light on electron microscopy. The liver disease generally progresses to fibrosis followed by micronodular cirrhosis (1,2,33).

 

Figure 3. Liver Biopsies in Patients with LAL-D. A) Image of the portal tract and hepatocytes with mainly microvesicular steatosis. With microvesicular steatosis, the fat does not cause the nucleus to be pushed out to the side. B) Larger magnification of the portal tract. FM points to the foamy appearing cytoplasm, these are macrophages with something being stored in them. GC is pointing to a giant cell.

 

DIAGNOSTIC TESTS

 

LAL-D can be diagnosed by demonstrating deficient LAL enzyme activity, as well as by genetic testing identifying mutations of the LIPA gene. Historically, enzyme activity was measured in cultured fibroblasts, peripheral leukocytes, or liver tissue. Various lipase substrates, which were not specific for LAL, were used. In the review by Bernstein, enzyme activities were reported in 114 patients and ranged from undetectable to 16% of normal, with values for most patients being between <1%-10%. However, given assay variability, residual enzyme activity is not predictive of disease severity nor can it be compared from one lab to another (1).  

 

A newer method has been developed to determine LAL activity. This method measures LAL activity in dried blood spots (DBS), and uses Lalistat 2, a highly specific inhibitor of LAL. LAL activity is determined by comparing total lipase activity to lipase activity with Lalistat 2. This method is able to differentiate normal from affected individuals. This DBS technique has advantages over the fibroblast/peripheral leukocyte based test including small sample size, the ability to transport the specimen to the testing facility at ambient temperature, and sample stability (34). This blood test is available at a number of academic and commercial labs around the world.

 

LIPA gene analysis is also helpful in the diagnosis of LAL-D, with over 100 LIPA mutations having been identified in patients with LAL deficiency (7). Gene panels for associated diagnoses are becoming available and may allow diagnosis of LAL-D even when clinical awareness is low.

 

DIFFERENTIAL DIAGNOSIS

 

Given the clinical presentation of LAL-D, it is important to consider it in the differential diagnosis of patients presenting with characteristic lipid findings and liver disease. The lipid abnormalities of LAL-D are similar to patients with heterozygous familial hypercholesterolemia (HeFH) and familial combined hypercholesterolemia. A detailed family history may help differentiate the autosomal dominant HeFH from recessive LAL-D. Expert opinion recommends checking liver transaminases in all children and adults before initiating statin therapy (35). LAL-D should be considered in patients with elevated liver enzymes and lipid abnormalities.

 

LAL-D is often mistaken for non-alcoholic fatty liver disease (NAFLD); however, LAL-D is associated with mainly microvesicular steatosis and NAFLD with macrovesicular steatosis.  LAL-D should be included the differential diagnosis of any non-obese patient with hepatic steatosis, as well as patients with unexplained ALT elevations. 

 

MANAGEMENT

 

Disease specific therapy is now available to treat patients with LAL-D. However, prior to the approval of sebelipase alfa (Kanumaâ, Alexion Pharmaceuticals, New Haven, CT), lipid lowering therapy, liver transplant, and stem cell transplant were often tried.

 

HMG-CoA reductase inhibitors have been used to lower LDL-C as well as reduce the risk of atherosclerotic heart disease. The first reported use in a patient with LAL-D was in a 9-year-old girl with elevated LDL-C, low HDL-C, and hepatomegaly with a liver biopsy that showed fibrosis and cirrhosis.  During therapy with lovastatin, lipid parameters improved and the authors showed a reduction in cholesterol synthesis and decreased secretion of apo B-containing lipoproteins (36). However, in a report of three patients treated with lovastatin for 12 months, no significant changes were seen in lipid parameters and liver histology (37). In a review of cases in the literature, 12 patients with LAL-D were treated with HMG CoA reductase inhibitors with multiple liver biopsies. None of the 12 patients had improvement on liver histology, with all 12 patients having progressive liver disease (1). 

 

Both hematopoietic stem cell transplant and liver transplant have been attempted to treat LAL-D, however, neither address the multi-system nature of the disease. Limited information is available about the long-term outcome of patients who have undergone liver transplant (1).

 

Sebelipase alfa, a recombinant human enzyme-replacement, is FDA approved for the treatment of LAL-D (38). The amino acid sequence for sebelipase alfa is the same as that of human LAL.  A multicenter, double-blind, placebo controlled, randomized study in 66 patients analyzed the safety and effectiveness of sebelipase alfa (39). By week 20, patients treated with sebelipase alfa demonstrated a decrease in LDL-C of 28% versus 6% in the placebo group. The treatment group also demonstrated improvement in triglyceride and HDL-C level. Normalization of ALT occurred in 31% of patients in the treatment group versus 7% in the placebo group. This was accompanied by reduction in hepatic fat content assessed by multi-echo gradient echo MRI of 32% in the treatment group versus 4% in the placebo group

 

Table 1. Clinical Trials of Sebelipase Alfa

Study

Subjects

Age

Dose (per kg body weight)

Duration

Reference

LAL-CL01

 

 

9

 

 

 

31.6 ± 10.7 yrs (mean ± SD):

Escalating doses: 0.35, 1, or 3 mg weekly (given to cohort of 3 patients each)

4 wks

(38)

LAL-CL02

66

50 <18 yrs, age range at randomization: 4-58 years

1 mg every other week

Initial 20 wks, followed by an open-label treatment phase for 65 patients

(39)

LAL-CL03

9

3.0 months (median)

Weekly infusions: 0.35 mg x 2 weeks; then 1 mg, with dose increase to 3 mg*

12 months

(40)

LAL-CL04

8

18 to 65 yrs

1 or 3 mg every other week

Through to 52 wks

(41)

*Two infants had dose subsequently increased to 5 mg/kg weekly

Modified from Pastores GM, Hughes DA. Lysosomal Acid Lipase Deficiency: Therapeutic Options. Drug Des Devel Ther. 2020 Feb 11;14:591-601.

 

The frequency and distribution of adverse events were similar in the treatment and placebo group, and most adverse events were considered unrelated to the study drug (Table 2) (39). Clinical trials have shown that 3/106 patients experienced reactions consistent with anaphylaxis during infusion, occurring as early as the sixth infusion and as late as 1 year. Twenty percent (21/106) of patients experienced symptoms consistent with hypersensitivity reaction during or within 4 hours of completion of the infusion (38-41). The current dosing recommendation from the manufacturer for infantile-onset LAL-D is 1mg/kg IV weekly with escalation to 3mg/kg weekly in those who do not achieve appropriate clinical response.  For child and adults presenting with LAL-D, the recommended dose is 1 mg/kg every other week (38). Further long-term follow-up studies are needed. 

 

Table 2. Adverse Events with Sebelipase Alfa

Event

Sebelipase Alfa (N=36)

Placebo (N=30)

Any adverse event

31 (86%)

28 (93%)

Gastrointestinal events1

18 (50%)

12 (40%)

Headache

10 (28%)

6 (20%)

Fever

7 (19%)

6 (20%)

Oropharyngeal pain

6 (17%)

1 (3%)

Upper respiratory tract infection

6 (17%)

6 (20%)

Epistaxis

4 (11%)

3 (10%)

Asthenia

3 (8%)

1 (3%)

Cough

3 (8%)

3 (10%)

Adapted from Burton, et al., NEJM 2015

1Gastrointestinal adverse events (diarrhea, abdominal pain, constipation, nausea, vomiting)

 

In contrast to survival rates of <12 months in infants with rapidly progressive LAL-D, results of two open-label studies of enzyme replacement therapy with sebelipase alfa, VITAL (NCT01371825) and CL08 (NCT02193867), in 19 infants reported prolonged survival to 12 months (79%) and 5 years of age (68%) in the combined population. The median age of surviving patients was 5.2 (VITAL) and 3.2 years (CL08). In both studies, median weight-for-age, length-for-age, and mid-upper arm circumference-for-age Z-scores increased from baseline to end of study, and decreases in median liver and spleen volume were observed. No patient discontinued treatment because of treatment-emergent adverse events. Infusion-associated reactions (94% in VITAL and 88% in CL08) were mild or moderate in severity (42).

 

In older children (>4 years) and adults with LAL-D, a phase III randomized study of sebelipase alfa (RISE, NCT01757184) included a 20-week, double-blind, placebo-controlled period; a 130-week, open-label, extension period; and a 104-week, open-label, expanded treatment period. 59/66 patients completed the study. The study found that early and rapid improvements in markers of liver injury and lipid abnormalities with sebelipase alfa were sustained, with no progression of liver disease, for up to 5 years (43).

 

CONCLUSION

 

Consensus recommendations for the initial assessment and ongoing monitoring of children and adults with LAL deficiency have been published to help improve the management of infants, children and adults with confirmed LAL-D (Figures 4 and 5) (44).

 

Figure 4. Recommendations for Baseline Assessment of Children and Adults with LAL Deficiency.

Figure 5. Schedule of Ongoing Monitoring of Adults and Children with LAL Deficiency.

 

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  35. Bays H, Cohen DE, Chalasani N, Harrison Stephen A. An assessment by the Statin Liver Safety Task Force: 2014 update. Journal of Clinical Lipidology 2014; 8:S47-S57
  36. Ginsberg HN, Le NA, Short MP, Ramakrishnan R, Desnick RJ. Suppression of apolipoprotein B production during treatment of cholesteryl ester storage disease with lovastatin. Implications for regulation of apolipoprotein B synthesis. J Clin Invest 1987; 80:1692-1697
  37. Di Bisceglie AM, Ishak KG, Rabin L, Hoeg JM. Cholesteryl ester storage disease: Hepatopathology and effects of therapy with lovastatin. Hepatology 1990; 11:764-772
  38. Balwani M, Breen C, Enns GM, Deegan PB, Honzík T, Jones S, Kane JP, Malinova V, Sharma R, Stock EO, Valayannopoulos V, Wraith JE, Burg J, Eckert S, Schneider E, Quinn AG. Clinical effect and safety profile of recombinant human lysosomal acid lipase in patients with cholesteryl ester storage disease. Hepatology 2013; 58:950-957
  39. Burton BK, Balwani M, Feillet F, Barić I, Burrow TA, Camarena Grande C, Coker M, Consuelo-Sánchez A, Deegan P, Di Rocco M, Enns GM, Erbe R, Ezgu F, Ficicioglu C, Furuya KN, Kane J, Laukaitis C, Mengel E, Neilan EG, Nightingale S, Peters H, Scarpa M, Schwab KO, Smolka V, Valayannopoulos V, Wood M, Goodman Z, Yang Y, Eckert S, Rojas-Caro S, Quinn AG. A Phase 3 Trial of Sebelipase Alfa in Lysosomal Acid Lipase Deficiency. New England Journal of Medicine 2015; 373:1010-1020
  40. Jones SA, Rojas-Caro S, Quinn AG, Friedman M, Marulkar S, Ezgu F, Zaki O, Gargus JJ, Hughes J, Plantaz D, Vara R, Eckert S, Arnoux JB, Brassier A, Le Quan Sang KH, Valayannopoulos V. Survival in infants treated with sebelipase Alfa for lysosomal acid lipase deficiency: an open-label, multicenter, dose-escalation study. Orphanet J Rare Dis 2017; 12:25
  41. Valayannopoulos V, Malinova V, Honzík T, Balwani M, Breen C, Deegan PB, Enns GM, Jones SA, Kane JP, Stock EO, Tripuraneni R, Eckert S, Schneider E, Hamilton G, Middleton MS, Sirlin C, Kessler B, Bourdon C, Boyadjiev SA, Sharma R, Twelves C, Whitley CB, Quinn AG. Sebelipase alfa over 52 weeks reduces serum transaminases, liver volume and improves serum lipids in patients with lysosomal acid lipase deficiency. Journal of hepatology 2014; 61:1135-1142
  42. Vijay S, Brassier A, Ghosh A, Fecarotta S, Abel F, Marulkar S, Jones SA. Long-term survival with sebelipase alfa enzyme replacement therapy in infants with rapidly progressive lysosomal acid lipase deficiency: final results from 2 open-label studies. Orphanet J Rare Dis 2021; 16:13
  43. Burton BK, Feillet F, Furuya KN, Marulkar S, Balwani M. Sebelipase alfa in children and adults with lysosomal acid lipase deficiency: Final results of the ARISE study. J Hepatol 2022; 76:577-587
  44. Kohli R, Ratziu V, Fiel MI, Waldmann E, Wilson DP, Balwani M. Initial assessment and ongoing monitoring of lysosomal acid lipase deficiency in children and adults: Consensus recommendations from an international collaborative working group. Molecular Genetics and Metabolism 2020; 129:59-66

Lysosomal Acid Lipase Deficiency

ABSTRACT

 

Lysosomal acid lipase deficiency (LAL-D) is an autosomal recessive genetic disease with variable presentation which often leads to severe morbidity and mortality. More than 100 LIPA loss of function mutations have been identified, the most common reported mutation being a splice junction mutation in exon 8. The true prevalence of the disease is unknown, but is estimated to be between 1:40,000 to 1:300,000. Infantile-onset LAL-D is generally fatal within the first 12 months of life. Common presenting symptoms in the late-onset form include dyslipidemia (elevated LDL-C, low HDL-C), elevated liver transaminases, hepatomegaly, and splenomegaly.  Prior to the availability of enzyme-replacement therapy, individuals with LAL-D were treated with lipid lowering medication, liver transplant, and stem cell transplant, none of which corrected the multisystem nature of the disorder. Sebelipase alfa (Kanuma®), a recombinant human lysosomal acid lipase, was approved by the FDA in 2015 to treat LAL-D. Phase 3 studies have shown an improvement in lipid parameters and liver enzymes. Long term studies demonstrating the safety and efficacy of sebelipase alfa in infants, children and adults are ongoing.

 

INTRODUCTION

 

Lysosomal acid lipase deficiency (LAL-D) is a rare, heterogeneous, autosomal recessive genetic disease, the manifestations of which include a clinical continuum. LAL-D is characterized by accumulation of cholesteryl esters and triglycerides primarily in the liver and spleen, but with involvement of other organs as well. Clinically, LAL-D is under-recognized, leading to a delay in diagnosis. It is often mistaken for more common conditions with similar clinical and laboratory findings, such as heterozygous familial hypercholesterolemia (FH) and non-alcoholic fatty liver disease (NAFLD) (1,2). Correct diagnosis and timely intervention are critical to prolonging life and improving outcomes.

 

Similar to other lysosomal storage disorders, LAL-D presents across a clinical spectrum from infancy to adulthood. Historically, affected infants who presented within the first year of life were known as Wolman Disease while those who symptoms were delayed until childhood were referred to as cholesteryl ester storage disease [CESD]. Wolman disease, which has a rapidly progressive course, was first described in 1956. Affected infants have severe malnutrition, adrenal calcifications, hepatosplenomegaly, and death within the first few months of life (3). In contrast, CESD is seen as having a variable clinical spectrum with recognition of the disorder occurring from childhood into adulthood. Fredrickson, Schiff, Langeron, and Infante were the first to describe CESD in individuals with presentation from the first to fourth decades of life, and noted them to be less severe than those described by Wolman (4-6).

 

INHERITANCE AND GENETICS

 

LAL-D is an autosomal recessive disease that arises from mutations at the LAL locus on chromosome 10q23.2.  Affected individuals are either homozygous or compound heterozygous for LIPA mutations, with more than 100 LIPA mutations having been identified (7).

 

Lysosomal acid lipase (LAL) plays a central role in intracellular lipid metabolism (8,9). LAL is the only lipase contained within lysosomes that hydrolyzes cholesteryl esters and triglycerides.  After cleavage by LAL, free cholesterol and fatty acids exit the lysosome to enter the cytosol (Figure 1). These cleaved products play an important role in cholesterol homeostasis. Free cholesterol interacts with transcription factors (sterol regulatory element binding proteins [SREBPs]) to modulate production of intracellular cholesterol. As intracellular free cholesterol increases, there is a down regulation of LDL receptors mediated by SREBP-2, resulting in less LDL entering the cell. Additionally, there is inhibition of hydroxymethylglutaryl coenzyme A (HMG-CoA) reductase, resulting in decreased cholesterol production, as well as stimulation of acyl-cholesterol acyltransferase (leading to increased cholesterol esterification). Finally, increased intracellular fatty acid leads to inhibition of triglyceride and phospholipid production and decreased fatty acid synthesis (10-12).

 

Deficiency of LAL results in diminished or absent hydrolysis of cholesteryl esters and triglycerides, trapping cholesterol esters and TG within the lysosome. This results in a decrease in cytosolic free cholesterol and a compensatory, upregulation in the cholesterol synthetic pathway (HMG CoA reductase activity) and endocytosis via increased LDL receptors. There is increased production of apolipoprotein B and very low-density lipoprotein (VLDL-C) (13-15). The dysregulated expression of the LDL-cholesterol-dependent ATP binding cassette transporter 1 (ABCA1), similar to that seen in Niemann-Pick type C1, results in decreased levels of HDL-C (16). The characteristic dyslipidemia seen in individuals with LAL-D includes elevated total cholesterol, elevated LDL-C, and low HDL-C (2).

 

Figure 1. Cellular Cholesterol Homeostasis in Heathy Individuals and Patients with LAL-D

The true incidence of LAL-D is unknown. Estimates suggest overall disease prevalence between 1:40,000 to 1:300,000, depending on ethnicity and geographical location (1,2,17). The most commonly inherited defect is a splice junction mutation in exon 8, E8SJM (c.894G>A). It is assumed that 50-70% of adults and children with LAL-D have E8SJM (17,18). Studies in the general population have shown that the estimated frequency of E8SJM allele is 0.0013 in Caucasians, 0.0017 in US Hispanics, 0.0010 in US Ashkenazi Jews, and 0.0005 in Asians (19).  Population screening for E8SJM among healthy West German individuals reveal a heterozygote frequency of ~ 1:200 individuals. Jewish infants of Iraqi or Iranian origin appear to be at high risk for LAL-D with an estimated incidence of 1:4,200 in the Los Angeles community (20).

 

A study attempting to identify the prevalence of LAL-D from patients with abnormal results in laboratory databases (elevated LDL-C and abnormalities on liver tests) identified a total of 1825 patients who subsequently underwent a dried blood spot sample for determination of LAL enzyme activity. No cases of LAL-D were identified. The results of this study demonstrate the potential of databases in helping to identify patients with specific patterns of results to allow targeted testing for possible causes of disease. Biochemical screening suggested that the gene frequency of LAL deficiency in adults is less than 1:100 (21). Additionally, histopathology databases of liver biopsies were analyzed searching for patients with features of 'microvesicular cirrhosis' or 'cryptogenic cirrhosis'. DNA was available from six patients and two were homozygous for LAL c.46A>C;p.Thr16Pro, an unclassified variant in exon 2 (21). The results of these studies suggest the potential of databases in helping to identify patients with specific laboratory results or those who had certain biopsy findings to allow targeted testing for possible causes of disease.

 

PRESENTATION

 

The symptoms of LAL-D are quite varied, and are related to the age that clinical manifestations first appear (Figure 2).  Individuals who present within the first few days to first month of life often have vomiting, diarrhea, hepatosplenomegaly, abdominal distention, and severe failure to thrive. The first symptom observed is usually vomiting, which has been described as forceful and persistent. Accompanying these symptoms are usually watery diarrhea and low-grade fever. Symptoms generally persist despite multiple medical interventions and may lead to severe malnutrition. A hallmark of infantile-onset LAL-D is adrenal enlargement and calcification, often seen on imaging, but not required for diagnosis. Calcifications of the adrenal gland as well as adrenal insufficiency have been documented. Few patients survive beyond 12 months of age (2,3,22), with those that have growth failure often dying by four months of age (23).

 

In contrast, the clinical presentation and progression of LAL-D can be variable in older children and adults. However, there are common clinical manifestations that have been reported in this group of patients. In a review of 71 patients two thirds presented with their first symptoms before the age of 5 years. Hepatomegaly was present in all the patients; 86% had splenomegaly.  Gastrointestinal symptoms were present in 30% and included vomiting and diarrhea [18%], failure to thrive [16%], abdominal pain [10%], gastrointestinal bleeding [8%], and gallbladder disease [4%]. Elevation of cholesterol was present in 90% (24). In a separate review of 135 patients, the median age of onset of symptoms was 5 years with a range from birth to 68 years.  Hepatomegaly was present in 99.3% of patients. The most common extrahepatic findings were steatorrhea, poor growth, gallbladder dysfunction, and cardiovascular disease. Total cholesterol was elevated in all 110 patients (1). 

 

The disease severity is likely dependent on the efficiency of alternative pathways, but not on the level of residual enzyme activity (25). In adults, the most frequent symptoms are abdominal pain, hepatomegaly, and laboratory abnormalities that include increased levels of transaminases and cholesterol. Differential diagnostic considerations include autoimmune hepatitis, NASH, alpha1-antitrypsin deficiency, and Wilson disease. Of concern is the potential for premature atherosclerosis in affected individuals.  Although the occurrence of cardiovascular events has not been extensively studied, case reports and observational studies have documented the presence of arterial plaque and atheroma at a very early age (26-28). As a result, many patients with this disease have been prescribed lipid-lowering medications (1). While lipid lowering in the setting of LAL-A has been variable, statins increase hepatic uptake of LDL and, as a consequence, may worsen the lipid overload (29). It is important to note that seven asymptomatic adults, diagnosed in the third to sixth decade of life, have been reported.  All were coincidently found to have confirmed LAL-D, yet none had detectable hepatomegaly (28). 

 

The most consistent biochemical abnormalities seen in late onset LAL-D include elevated liver transaminases and plasma lipids. In a study of 49 patients designed to characterize clinical manifestations of LAL-D, mean ALT, AST, and GGT were 92.4, 87.8, and 52.2 U/L at the first measurement. In this study elevated GGT levels were uncommon (only 20% had values > 40 U/L) (30). In another study, liver dysfunction occurred in 100% of 135 patients and 73% of the 11 reported deaths were due to liver failure (1). Mean LDL-C at the time of first measurement was 202.9 mg/dL, and reported as abnormal in 64.4% of patients. Mean total cholesterol was 269.5 mg/dL and was abnormal in 62.5%. Mean HDL-C was 37.5 mg/dL and abnormal in 43.5% of patients (30). The lipid abnormalities seen most closely resemble type II-b dyslipidemia (31).  Although elevated LDL-C seems to be a feature of LAL-D, it remains unclear whether or not LAL-D is a cause of early atherosclerosis. Case reports and several autopsy studies have noted aortic stenosis and found narrowing of the coronary artery secondary to atheromatous plaque in patients with LAL-D (2,32).

 

Figure 2. Clinical Presentation of LAL-D

 

On gross examination, the liver of patients with LAL-D is enlarged and appears greasy. Liver biopsies in paraffin sections have a predominance of microvesicular steatosis, which is uniform.  Microvesicular steatosis, per se, is not pathognomonic of LAL-D, being found in other liver diseases as well. Foamy macrophages, containing lipid and ceroid, are present in the sinusoids and portal tracts (Figure 3).  Staining for LAMP1, LAMP2, and LIMP2, or with a lysosomal luminal protein (cathepsin D), can assist identifying lipid accumulation as lysosomal, may help differentiate LAL-D from other causes of microvesicular steatosis. Another pathognomonic feature of LAL-D is birefringent cholesterol ester crystals in hepatocytes and Kupffer cells, using polarized light on electron microscopy. The liver disease generally progresses to fibrosis followed by micronodular cirrhosis (1,2,33).

 

Figure 3. Liver Biopsies in Patients with LAL-D. A) Image of the portal tract and hepatocytes with mainly microvesicular steatosis. With microvesicular steatosis, the fat does not cause the nucleus to be pushed out to the side. B) Larger magnification of the portal tract. FM points to the foamy appearing cytoplasm, these are macrophages with something being stored in them. GC is pointing to a giant cell.

 

DIAGNOSTIC TESTS

 

LAL-D can be diagnosed by demonstrating deficient LAL enzyme activity, as well as by genetic testing identifying mutations of the LIPA gene. Historically, enzyme activity was measured in cultured fibroblasts, peripheral leukocytes, or liver tissue. Various lipase substrates, which were not specific for LAL, were used. In the review by Bernstein, enzyme activities were reported in 114 patients and ranged from undetectable to 16% of normal, with values for most patients being between <1%-10%. However, given assay variability, residual enzyme activity is not predictive of disease severity nor can it be compared from one lab to another (1).  

 

A newer method has been developed to determine LAL activity. This method measures LAL activity in dried blood spots (DBS), and uses Lalistat 2, a highly specific inhibitor of LAL. LAL activity is determined by comparing total lipase activity to lipase activity with Lalistat 2. This method is able to differentiate normal from affected individuals. This DBS technique has advantages over the fibroblast/peripheral leukocyte based test including small sample size, the ability to transport the specimen to the testing facility at ambient temperature, and sample stability (34). This blood test is available at a number of academic and commercial labs around the world.

 

LIPA gene analysis is also helpful in the diagnosis of LAL-D, with over 100 LIPA mutations having been identified in patients with LAL deficiency (7). Gene panels for associated diagnoses are becoming available and may allow diagnosis of LAL-D even when clinical awareness is low.

 

DIFFERENTIAL DIAGNOSIS

 

Given the clinical presentation of LAL-D, it is important to consider it in the differential diagnosis of patients presenting with characteristic lipid findings and liver disease. The lipid abnormalities of LAL-D are similar to patients with heterozygous familial hypercholesterolemia (HeFH) and familial combined hypercholesterolemia. A detailed family history may help differentiate the autosomal dominant HeFH from recessive LAL-D. Expert opinion recommends checking liver transaminases in all children and adults before initiating statin therapy (35). LAL-D should be considered in patients with elevated liver enzymes and lipid abnormalities.

 

LAL-D is often mistaken for non-alcoholic fatty liver disease (NAFLD); however, LAL-D is associated with mainly microvesicular steatosis and NAFLD with macrovesicular steatosis.  LAL-D should be included the differential diagnosis of any non-obese patient with hepatic steatosis, as well as patients with unexplained ALT elevations. 

 

MANAGEMENT

 

Disease specific therapy is now available to treat patients with LAL-D. However, prior to the approval of sebelipase alfa (Kanumaâ, Alexion Pharmaceuticals, New Haven, CT), lipid lowering therapy, liver transplant, and stem cell transplant were often tried.

 

HMG-CoA reductase inhibitors have been used to lower LDL-C as well as reduce the risk of atherosclerotic heart disease. The first reported use in a patient with LAL-D was in a 9-year-old girl with elevated LDL-C, low HDL-C, and hepatomegaly with a liver biopsy that showed fibrosis and cirrhosis.  During therapy with lovastatin, lipid parameters improved and the authors showed a reduction in cholesterol synthesis and decreased secretion of apo B-containing lipoproteins (36). However, in a report of three patients treated with lovastatin for 12 months, no significant changes were seen in lipid parameters and liver histology (37). In a review of cases in the literature, 12 patients with LAL-D were treated with HMG CoA reductase inhibitors with multiple liver biopsies. None of the 12 patients had improvement on liver histology, with all 12 patients having progressive liver disease (1). 

 

Both hematopoietic stem cell transplant and liver transplant have been attempted to treat LAL-D, however, neither address the multi-system nature of the disease. Limited information is available about the long-term outcome of patients who have undergone liver transplant (1).

 

Sebelipase alfa, a recombinant human enzyme-replacement, is FDA approved for the treatment of LAL-D (38). The amino acid sequence for sebelipase alfa is the same as that of human LAL.  A multicenter, double-blind, placebo controlled, randomized study in 66 patients analyzed the safety and effectiveness of sebelipase alfa (39). By week 20, patients treated with sebelipase alfa demonstrated a decrease in LDL-C of 28% versus 6% in the placebo group. The treatment group also demonstrated improvement in triglyceride and HDL-C level. Normalization of ALT occurred in 31% of patients in the treatment group versus 7% in the placebo group. This was accompanied by reduction in hepatic fat content assessed by multi-echo gradient echo MRI of 32% in the treatment group versus 4% in the placebo group

 

Table 1. Clinical Trials of Sebelipase Alfa

Study

Subjects

Age

Dose (per kg body weight)

Duration

Reference

LAL-CL01

 

 

9

 

 

 

31.6 ± 10.7 yrs (mean ± SD):

Escalating doses: 0.35, 1, or 3 mg weekly (given to cohort of 3 patients each)

4 wks

(38)

LAL-CL02

66

50 <18 yrs, age range at randomization: 4-58 years

1 mg every other week

Initial 20 wks, followed by an open-label treatment phase for 65 patients

(39)

LAL-CL03

9

3.0 months (median)

Weekly infusions: 0.35 mg x 2 weeks; then 1 mg, with dose increase to 3 mg*

12 months

(40)

LAL-CL04

8

18 to 65 yrs

1 or 3 mg every other week

Through to 52 wks

(41)

*Two infants had dose subsequently increased to 5 mg/kg weekly

Modified from Pastores GM, Hughes DA. Lysosomal Acid Lipase Deficiency: Therapeutic Options. Drug Des Devel Ther. 2020 Feb 11;14:591-601.

 

The frequency and distribution of adverse events were similar in the treatment and placebo group, and most adverse events were considered unrelated to the study drug (Table 2) (39). Clinical trials have shown that 3/106 patients experienced reactions consistent with anaphylaxis during infusion, occurring as early as the sixth infusion and as late as 1 year. Twenty percent (21/106) of patients experienced symptoms consistent with hypersensitivity reaction during or within 4 hours of completion of the infusion (38-41). The current dosing recommendation from the manufacturer for infantile-onset LAL-D is 1mg/kg IV weekly with escalation to 3mg/kg weekly in those who do not achieve appropriate clinical response.  For child and adults presenting with LAL-D, the recommended dose is 1 mg/kg every other week (38). Further long-term follow-up studies are needed. 

 

Table 2. Adverse Events with Sebelipase Alfa

Event

Sebelipase Alfa (N=36)

Placebo (N=30)

Any adverse event

31 (86%)

28 (93%)

Gastrointestinal events1

18 (50%)

12 (40%)

Headache

10 (28%)

6 (20%)

Fever

7 (19%)

6 (20%)

Oropharyngeal pain

6 (17%)

1 (3%)

Upper respiratory tract infection

6 (17%)

6 (20%)

Epistaxis

4 (11%)

3 (10%)

Asthenia

3 (8%)

1 (3%)

Cough

3 (8%)

3 (10%)

Adapted from Burton, et al., NEJM 2015

1Gastrointestinal adverse events (diarrhea, abdominal pain, constipation, nausea, vomiting)

 

In contrast to survival rates of <12 months in infants with rapidly progressive LAL-D, results of two open-label studies of enzyme replacement therapy with sebelipase alfa, VITAL (NCT01371825) and CL08 (NCT02193867), in 19 infants reported prolonged survival to 12 months (79%) and 5 years of age (68%) in the combined population. The median age of surviving patients was 5.2 (VITAL) and 3.2 years (CL08). In both studies, median weight-for-age, length-for-age, and mid-upper arm circumference-for-age Z-scores increased from baseline to end of study, and decreases in median liver and spleen volume were observed. No patient discontinued treatment because of treatment-emergent adverse events. Infusion-associated reactions (94% in VITAL and 88% in CL08) were mild or moderate in severity (42).

 

In older children (>4 years) and adults with LAL-D, a phase III randomized study of sebelipase alfa (RISE, NCT01757184) included a 20-week, double-blind, placebo-controlled period; a 130-week, open-label, extension period; and a 104-week, open-label, expanded treatment period. 59/66 patients completed the study. The study found that early and rapid improvements in markers of liver injury and lipid abnormalities with sebelipase alfa were sustained, with no progression of liver disease, for up to 5 years (43).

 

CONCLUSION

 

Consensus recommendations for the initial assessment and ongoing monitoring of children and adults with LAL deficiency have been published to help improve the management of infants, children and adults with confirmed LAL-D (Figures 4 and 5) (44).

 

Figure 4. Recommendations for Baseline Assessment of Children and Adults with LAL Deficiency.

Figure 5. Schedule of Ongoing Monitoring of Adults and Children with LAL Deficiency.

 

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Anatomy and Ultrastructure of Bone – Histogenesis, Growth and Remodeling

ABSTRACT

 

Bones have three major functions: to serve as mechanical support, sites of muscle insertion and as a reserve of calcium and phosphate for the organism. Recently, a fourth function has been attributed to the skeleton: an endocrine organ. The organic matrix of bone is formed mostly of collagen, but also non-collagenous proteins. Hydroxyapatite crystals bind to both types of proteins. Most components of the bone matrix are synthesized and secreted by osteoblasts.  Resorption of the bone matrix is required for adaptation to growth, repair and mineral mobilization. This process is performed by the macrophage-related osteoclast. Bone is remodeled throughout life through a coordinated sequence of events which involve the sequential actions of osteoclasts and osteoblasts, replacing old bone with new bone. In the normal adult skeleton, remodeling is coupled such that the level of resorption is equal to the level of formation and bone density remains constant. Intramembranous ossification is the process by which flat bones are formed. For this process, osteoblasts differentiate directly from mesenchymal cells to form the bone matrix. Long bones are formed by endochondral ossification, which is characterized by the presence of a cartilaginous model in which chondrocytes differentiate and mineralized cartilage is replaced with bone through remodeling.

 

INTRODUCTION

 

Bone, a specialized and mineralized connective tissue, makes up, with cartilage, the skeletal system, which serves three main functions: A mechanical function as support and site of muscle attachment for locomotion; a protective function for vital organs and bone marrow; and finally a metabolic function as a reserve of calcium and phosphate used for the maintenance of serum homeostasis, which is essential to life.  Recently, a fourth important function has been attributed to bone tissue – that of an endocrine organ.  Bone cells produce fibroblast growth factor 23 (FGF23) and osteocalcin. FGF23 regulates phosphate handling in the kidney and osteocalcin regulates energy and glucose metabolism (see below) (1,2).

 

In this chapter the anatomy and cell biology of bone is described as well as the mechanisms of bone remodeling, development, and growth. Remodeling is the process by which bone is turned-over, allowing the maintenance of the shape, quality, and amount of the skeleton. This process is characterized by the coordinated actions of osteoclasts and osteoblasts, organized in bone multicellular units (BMUs) which follow an Activation-Resorption-Formation sequence of events. During embryonic development, bone formation occurs by two different means: intramembranous ossification and endochondral ossification. Bone Growth is a term used to describe the changes in bone structure once the skeleton is formed and during the period of skeletal growth and maturation.

 

BONE AS AN ORGAN: MACROSCOPIC ORGANIZATION

 

Two types of bones are found in the skeleton: flat bones (skull bones, scapula, mandible, and ileum) and long bones (tibia, femur, humerus, etc.). These are derived by two distinct types of development: intramembranous and endochondral, respectively, although the development and growth of long bones actually involve both cellular processes. The main difference between intramembranous and endochondral bone formation is the presence of a cartilaginous model, or anlage, in the latter.

Long bones have two wider extremities (the epiphyses), a cylindrical hollow portion in the middle (the midshaft or diaphysis), and a transition zone between them (the metaphysis). The epiphysis on the one hand and the metaphysis and midshaft on the other hand originate from two independent ossification centers, and are separated by a layer of cartilage, the epiphyseal cartilage (which also constitutes the growth plate) during the period of development and growth. This layer of proliferative cells and expanding cartilage matrix is responsible for the longitudinal growth of bones; it progressively mineralizes and is later remodeled and replaced by bone tissue by the end of the growth period (see section on Skeletal Development). The external part of the bones is formed by a thick and dense layer of calcified tissue, the cortex (compact bone) which, in the diaphysis, encloses the medullary cavity where the hematopoietic bone marrow is housed. Toward the metaphysis and the epiphysis, the cortex becomes progressively thinner and the internal space is filled with a network of thin, calcified trabeculae forming the cancellous or trabecular bone. The spaces enclosed by these thin trabeculae are also filled with hematopoietic bone marrow and are continuous with the diaphyseal medullary cavity. The outer cortical bone surfaces at the epiphyses are covered with a layer of articular cartilage that does not calcify.

 

Bone is consequently in contact with the soft tissues along two surfaces: an external surface (the periosteal surface) and an internal surface (the endosteal surface). These surfaces are lined with osteogenic cells along the periosteum and the endosteum, respectively.

 

Cortical and trabecular bone are made up of the same cells and the same matrix elements, but there are structural and functional differences. The primary structural difference is quantitative: 80% to 90% of the volume of compact bone is calcified, whereas only 15% to 25% of the trabecular volume is calcified (the remainder being occupied by bone marrow, blood vessels, and connective tissue). The result is that 70% to 85% of the interface with soft tissues is at the endosteal bone surface, including all trabecular surfaces, leading to the functional difference: the cortical bone fulfills mainly a mechanical and protective function and the trabecular bone mainly a metabolic function, albeit trabeculae definitively participate in the biomechanical function of bones, particularly in bones like the vertebrae.

 

Recently, more attention has been given to cortical bone structure since cortical porosity is intimately linked to the remodeling process as well as to bone strength.  Indeed, an increase in cortical porosity is associated with an increase in fragility fractures (3).

 

BONE AS A TISSUE: BONE MATRIX AND MINERAL

 

Bone matrix consists mainly of type I collagen fibers (approximately 90%) and non-collagenous proteins. Within lamellar bone, the fibers are forming arches for optimal bone strength. This fiber organization allows the highest density of collagen per unit volume of tissue. The lamellae can be parallel to each other if deposited along a flat surface (trabecular bone and periosteum), or concentric if deposited on a surface surrounding a channel centered on a blood vessel (cortical bone Haversian system). Spindle- or plate-shaped crystals of hydroxyapatite [3Ca 3 (PO 42 ·(OH) 2] are found on the collagen fibers, within them, and in the matrix around. They tend to be oriented in the same direction as the collagen fibers.

When bone is formed very rapidly during development and fracture healing, or in tumors and some metabolic bone diseases, there is no preferential organization of the collagen fibers. They are then not as tightly packed and found in somewhat randomly oriented bundles: this type of bone is called woven bone, as opposed to lamellar bone. Woven bone is characterized by irregular bundles of collagen fibers, large and numerous osteocytes, and delayed, disorderly calcification which occurs in irregularly distributed patches. Woven bone is progressively replaced by mature lamellar bone during the remodeling process that follows normally development or healing (see below).

 

Numerous non-collagenous proteins present in bone matrix have been purified and sequenced, but their role has been only partially characterized (Table 1) (4). Most non-collagenous proteins within the bone matrix are synthesized by osteoblasts, but not all: approximately a quarter of the bone non-collagenous proteins are plasma proteins which are preferentially absorbed by the bone matrix, such as a 2-HS-glycoprotein, which is synthesized in the liver. The major non-collagenous protein produced is osteocalcin, which makes up 1% of the matrix, and may play a role in calcium binding and stabilization of hydroxyapatite in the matrix and/or regulation of bone formation, as suggested by increased bone mass in osteocalcin knockout mice. Another negative regulator of bone formation found in the matrix is matrix gla protein, which appears to inhibit premature or inappropriate mineralization, as demonstrated in a knockout mouse model. In contrast to this, biglycan, a proteoglycan, is expressed in the bone matrix, and positively regulates bone formation, as demonstrated by reduced bone formation and bone mass in biglycan knockout mice.  Osteocalcin has recently been shown to have an important endocrine function acting on the pancreatic beta cell.  Its hormonally active form (undercarboxylated osteocalcin, stimulates insulin secretion and enhances insulin sensitivity in adipose tissues and muscle, improving glucose utilization in peripheral tissues (2).

 

Table 1. Non-Collagenous Proteins in Bone (4)

PROTEIN

MW

ROLE

Osteonectin (SPARC)

32K

Calcium, apatite and matrix protein binding

Modulates cell attachment

α-2-HS-Glycoprotein

46-67K

Chemotactic for monocytes

Mineralization via matrix vesicles

Osteocalcin (Bone GLA protein)

6K

Involved in stabilization of hydroxyapatite

Binding of calcium

Chemotactic for monocytes

Regulation of bone formation

Matrix-GLA-protein

9K

Inhibits matrix mineralization

Osteopontin

(Bone Sialoprotein I)

50K

Cell attachment (via RGD sequence)

Calcium binding

Bone Sialoprotein II

75K

Cell attachment (via RGD sequence)

Calcium binding

24K Phosphoprotein

(α-1(I) procollagen N-propeptide)

24K

Residue from collagen processing

Biglycan (Proteoglycan I)

45K core

Regulation of collagen fiber growth

Mineralization and bone formation

Growth factor binding

Decorin (Proteoglycan II)

36K core + side chains

Collagen fibrillogenesis

Growth factor binding

Thrombospondin & Fibronectin

 

Cell attachment (via RGD sequence)

Growth factor binding

Hydroxyapatite formation

Others (including proteolipids

 

Mineralization

Growth Factors

IGFI & IGFII

TGFβ

Bone morphogenetic proteins (BMPs)

 

Differentiation, proliferation and activity of osteoblasts

Induction of bone and cartilage in osteogenesis and fracture repair

 

CELLULAR ORGANIZATION WITHIN THE BONE MATRIX: OSTEOCYTES

 

The calcified bone matrix is not metabolically inert, and cells (osteocytes) are found embedded deep within the bone in small lacunae (Figure 1). All osteocytes are derived from bone forming cells (osteoblasts) which have been trapped in the bone matrix that they produced and which became calcified. Even though the metabolic activity of the osteoblast decreases dramatically once it is fully encased in bone matrix, now becoming an osteocyte, these cells still produce matrix proteins.

 

Figure 1. Wnt signaling determines the cell fate of mesenchymal progenitor cells and regulates bone formation and resorption. The Wnt canonical pathway represses adipocyte differentiation and chondrocyte differentiation from progenitor cells, whereas it is required for the transition of chondrocytes to hypertrophy. In contrast, Wnt pathway activation promotes the osteoblast cell lineage by controlling proliferation, maturation, terminal differentiation, and bone formation. Differentiated osteoblasts and/or osteocytes produce Wnt inhibitors such as Dickkopf (Dkk1) and sclerostin (Sost) proteins as a negative feedback control of osteoblast differentiation and function. Wnt signaling also induces osteoblasts to produce more osteoprotegerin (OPG), increasing the ratio of OPG to receptor activator of NF-κB ligand (RANKL) to decrease osteoclast differentiation and bone resorption.

 

Osteocyte morphology varies according to cell age and functional activity. A young osteocyte has most of the ultrastructural characteristics of the osteoblast from which it was derived, except that there has been a decrease in cell volume and in the importance of the organelles involved in protein synthesis (rough endoplasmic reticulum, Golgi). An older osteocyte, located deeper within the calcified bone, shows a further decrease in cell volume and organelles, and an accumulation of glycogen in the cytoplasm. These cells synthesize small amounts of new bone matrix at the surface of the osteocytic lacunae, which can subsequently calcify. Osteocytes express, in low levels, a number of osteoblast markers, including osteocalcin, osteopontin, osteonectin and the osteocyte marker E11.

 

Osteocytes have numerous long cell processes rich in microfilaments, which are in contact with cell processes from other osteocytes (there are frequent gap junctions), or with processes from the cells lining the bone surface (osteoblasts or flat lining cells). These processes are organized during the formation of the matrix and before its calcification; they form a network of thin canaliculi permeating the entire bone matrix. Osteocytic canaliculi are not distributed evenly around the cell, but are mainly directed toward the bone surface. Between the osteocyte's plasma membrane and the bone matrix itself is the periosteocytic space. This space exists both in the lacunae and in the canaliculi, and it is filled with extracellular fluid (ECF), the only source of nutrients, cytokines and hormones for the osteocyte. ECF flow through the canalicular network is altered during bone matrix compression and tension and is believed not only to allow exchanges with the extracellular fluids in the surrounding tissues but also to create shear forces that are directly involved in mechanosensing and regulation of bone remodeling. Current understanding of mechanotransduction is based upon the presence of a mechanosensing cilium at the level of the osteocyte’s cell body, capable of detecting the changes in fluid flow determined by mechanical loading of bone. In turn, the activation of the mechanosensing cilium may determine the local concentration of cytokines capable of regulating bone formation and/or bone resorption, such as RANKL, OPG or sclerostin (see below).

 

Indeed, given the structure of the network and the location of osteocytes within lacunae where ECF flow can be detected, it is likely that osteocytes respond to bone tissue strain and influence bone remodeling activity by recruiting osteoclasts to sites where bone remodeling is required. Osteocyte cellular activity is increased after bone loading; studies in cell culture have demonstrated increased calcium influx and prostaglandin production by osteocytes after mechanical stimulation, but there is no direct evidence for osteocytes signaling to cells on the bone surface in response to bone strain or microdamage to date. Osteocytes can become apoptotic and their programmed cell death may be one of the critical signals for induction of bone remodeling. Ultimately, the fate of the osteocyte is to be phagocytosed and digested together with the other components of bone during osteoclastic bone resorption. The recent ability to isolate and culture osteocytes, as well as the creation of immortalized osteocytic cell lines now allows the study of these cells at the molecular level and this is expected to significantly further our understanding of their role in bone biology and disease.(5) In particular, the discoveries that osteocytes can secrete the Wnt antagonist sclerostin and that this secretion is inhibited both by PTH treatment and by mechanical loading establishes the first direct link between biomechanics, endocrine hormones, bone formation and osteocytes. Similarly, osteocytes can secrete RANKL and OPG, contributing also to the regulation of bone resorption. Thus, osteocytes are emerging as the critical cell type linking mechanical forces in bone to the regulation of bone mass and shape through remodeling.

 

THE OSTEOBLAST AND BONE FORMATION  

 

The osteoblast is the bone lining cell responsible for the production of the bone matrix constituents, collagen and non-collagenous proteins (Figure 2). Osteoblasts never appear or function individually but are always found in clusters of cuboidal cells along the bone surface (~100–400 cells per bone-forming site).

Figure 2. Osteocyte. Electron micrograph of an osteocyte within a lacuna in calcified bone matrix. The cell has a basal nucleus, cytoplasmic extensions, and well-developed Golgi and endoplasmic reticulum.

 

Osteoblasts do not operate in isolation and gap junctions are often found between osteoblasts working together on the bone surface. Osteoblasts also appear to communicate with the osteocyte network within the bone matrix (see above), since cytoplasmic processes on the secreting side of the osteoblast extend deep into the osteoid matrix and are in contact with processes of the osteocytes dwelling there.

 

At the light microscope level, the osteoblast is characterized morphologically by a round nucleus at the base of the cell (away from the bone surface), an intensely basophilic cytoplasm, and a prominent Golgi complex located between the nucleus and the apex of the cell. Osteoblasts are always found lining the layer of bone matrix that they are producing, but before it is calcified (osteoid tissue). Osteoid tissue exists because of a time lag of approximately 10 days between matrix formation and its subsequent calcification. Behind the osteoblast can usually be found one or two layers of cells: activated mesenchymal cells and preosteoblasts (see below). A mature osteoblast does not divide.

 

At the ultrastructural level, the osteoblast is characterized by the presence of a well-developed rough endoplasmic reticulum with dilated cisternae and a dense granular content, and the presence of a large circular Golgi complex comprising multiple Golgi stacks. These organelles are involved in the major activity of the osteoblast: the production and secretion of collagenous and non-collagenous bone matrix proteins, including type I collagen. Osteoblasts also produce a range of growth factors under a variety of stimuli, including the insulin-like growth factors (IGFs), platelet-derived growth factors (PDGFs), basic fibroblast growth factor (bFGF), transforming growth factor-beta (TGFb), a range of cytokines, the bone morphogenetic proteins (BMPs and Wnts.(3) Osteoblast activity is regulated in an autocrine and paracrine manner by these growth factors, whose receptors can be found on osteoblasts, as well as receptors for a range of endocrine hormones. Classic endocrine receptors include receptors for parathyroid hormone/ parathyroid hormone related protein receptor, thyroid hormone, growth hormone, insulin, progesterone and prolactin. Osteoblastic nuclear steroid hormone receptors include receptors for estrogens, androgens, vitamin D 3 and retinoids. Receptors for paracrine and autocrine effectors include those for epidermal growth factor (EGF), IGFs, PDGF, TGFb, interleukins, FGFs, BMPs and Wnts (LRP5/6 and Frizzled) (6,7) Osteoblasts also have receptors for several adhesion molecules (integrins) involved in cell attachment to the bone surface.

 

Among the cytokines secreted by the osteoblast are the main regulators of osteoclast differentiation, i.e. M-CSF, RANKL and osteoprotegerin (OPG) (8,9). M-CSF is essential in inducing the commitment of monocytes to the osteoclast lineage whereas RANKL promotes the differentiation and activity of osteoclasts (see below).

 

Osteoblasts originate from local pluripotent mesenchymal stem cells, either bone marrow stromal stem cells (endosteum) or connective tissue mesenchymal stem cells (periosteum). These precursors, with the right stimulation, undergo proliferation and differentiate into preosteoblasts, at which point they are committed to differentiate into mature osteoblasts.

 

The committed preosteoblast is located in apposition to the bone surface, and usually present in layers below active mature osteoblasts. They are elliptical cells, with an elongated nucleus, and are still capable of proliferation. Preosteoblasts lack the well-developed protein synthesizing capability of the mature osteoblast, and do not have the characteristically localized, mature rough endoplasmic reticulum or Golgi apparatus of the mature cell.

 

The development of the osteoblast phenotype is gradual, with a defined sequence of gene expression and cell activity during development and maturation, controlled by a sequence of transcription factors and cytokines (Figure 3).

Figure 3. Osteoblasts and Osteoid Tissue. A: Light micrograph of a group of osteoblasts producing osteoid; note the newly embedded osteocyte. B: Electron micrograph of 3 osteoblasts covering a layer of mineralizing osteoid tissue. Note the prominent Golgi and endoplasmic reticulum characteristic of active osteoblasts. The black clusters in the osteoid tissue are deposits of mineral. C: Osteoblast Lineage. Osteoblasts originate from undifferentiated mesenchymal cells which are capable of proliferation and which may differentiate into one of a range of cell types. The preosteoblast is also capable of proliferation and may be already committed to an osteoblast phenotype. The mature osteoblast no longer proliferates, but can differentiate further into an osteocyte once embedded in the bone matrix, or to a lining cell on the bone surface.

 

Two transcription factors, Runx2 and Osterix (Osx), which is downstream of Runx2, are absolutely required for osteoblast differentiation. Runx2 is expressed in mesenchymal condensations and chondrocytes, in addition to osteoblasts. Runx2 target genes include several genes expressed by the mature osteoblast including osteocalcin, bone sialoprotein, osteopontin and collagen a1(I), as well as the Runx2 gene itself. Osx may be mostly important for pushing precursors cells away from the chondrocyte and into the osteoblast lineage.

 

The most important breakthrough in the understanding of the regulation of bone formation in recent years, is the finding of a clear link between LRP5, a co-receptor for Wnts, and bone mass in humans and in mice. Loss of function in LRP5 leads to the Osteoporosis Pseudo-Glioma syndrome (OPPG), with extremely low bone mass, whereas gain of function leads to the High Bone Mass (HBM) phenotype in humans. In addition, deletion mutations in the gene encoding sclerostin (Sost), another endogenous inhibitor of the Wnt pathway, also lead to osteosclerotic phenotypes (Sclerosteosis, Van Buchem syndrome).(7) These findings have opened a whole new field of investigation both in terms of understanding the mechanism that regulate osteoblasts and their bone-matrix secreting activity and in terms of drug discovery in the hope to target one component of the Wnt signaling pathway and thereby increase bone mass in osteoporotic patients. Of note, in 2019, the FDA approved romosozumab, a monoclonal antibody to sclerostin, for the treatment of postmenopausal women with osteoporosis at high risk for fracture.

 

Toward the end of the matrix secreting period, a further step is involved in osteoblast maturation. Approximately 15% of the mature osteoblasts become encapsulated in the new bone matrix and differentiate into osteocytes. In contrast, some cells remain on the bone surface, becoming flat lining cells.

 

Mechanism of Bone Formation

 

Bone formation occurs by three coordinated processes: the production of osteoid matrix, its maturation, and the subsequent mineralization of the matrix. In normal adult bone, these processes occur at the same rate, so that the balance between matrix production and mineralization is equal. Initially, osteoblasts deposit collagen rapidly, without mineralization, producing a thickening osteoid seam. This is followed by an increase in the mineralization rate to equal the rate of collagen synthesis. In the final stage, the rate of collagen synthesis decreases, and mineralization continues until the osteoid seam is fully mineralized. This time lag (termed the mineralization lag time or osteoid maturation period) appears to be required for osteoid to be modified so it is able to support mineralization. While this delay is not yet understood, it is likely that either collagen cross-linking occurs or an inhibitor of mineralization, such as matrix gla protein, is removed during this time, thus allowing mineralization to proceed.

 

To initiate mineralization in woven bone, or in growth plate cartilage, high local concentrations of Ca2+ and PO43- ions must be reached in order to induce their precipitation into amorphous calcium phosphate, leading to hydroxyapatite crystal formation. This is achieved by membrane-bound matrix vesicles, which originate by budding from the cytoplasmic processes of the chondrocyte or the osteoblast and are deposited within the matrix during its formation. In the matrix, these vesicles are the first structure wherein hydroxyapatite crystals are observed. The membranes are very rich in alkaline phosphatases and in acidic phospholipids, which hydrolyze inhibitors of calcification in the matrix including pyrophosphate and ATP allowing condensation of apatite crystals. Once the crystals are in the matrix environment, they will grow in clusters which later coalesce to completely calcify the matrix, filling the spaces between and within the collagen fibers. In adult lamellar bone, matrix vesicles are not present, and mineralization occurs in an orderly manner through progression of the mineralization front into the osteoid tissue.

 

THE OSTEOCLAST AND BONE RESORPTION

 

The osteoclast is the bone lining cell responsible for bone resorption (Figure 4). The osteoclast is a giant multinucleated cell, up to 100mm in diameter and containing four to 20 nuclei. It is usually found in contact with a calcified bone surface and within a lacuna (Howship's lacunae) that is the result of its own resorptive activity. It is possible to find up to four or five osteoclasts in the same resorptive site, but there are usually only one or two. Under the light microscope, the nuclei appear to vary within the same cell: some are round and euchromatic, and some are irregular in contour and heterochromatic, possibly reflecting asynchronous fusion of mononuclear precursors. The cytoplasm is "foamy" with many vacuoles. The zone of contact with the bone is characterized by the presence of a ruffled border with dense patches on each side (the sealing zone).

Figure 4. Osteoclasts and the Mechanism of Bone Resorption. A: Light micrograph and B: electron micrograph of an osteoclast, demonstrating the ruffled border and numerous nuclei. C: Osteoclastic resorption. The osteoclast forms a sealing zone via integrin mediated attachment to specific peptide sequences within the bone matrix, forming a sealed compartment between the cell and the bone surface. This compartment is acidified such that an optimal pH is reached for lysosomal enzyme activity and bone resorption.

 

Characteristic ultrastructural features of this cell are abundant Golgi complexes around each nucleus, mitochondria, and transport vesicles loaded with lysosomal enzymes. The most prominent features of the osteoclast are, however, the deep foldings of the plasma membrane in the area facing the bone matrix (ruffled border) and the surrounding zone of attachment (sealing zone). The sealing zone is formed by a ring of focal points of adhesion (podosomes) with a core of actin and several cytoskeletal and regulatory proteins around it, that attach the cell to the bone surface, thus sealing off the subosteoclastic bone-resorbing compartment. The attachment of the cell to the matrix is performed via integrin receptors, which bind to specific RGD (Arginine-Glycine-Aspartate) sequences found in matrix proteins (see Table 1). The plasma membrane in the ruffled border area contains proteins that are also found at the limiting membrane of lysosomes and related organelles, and a specific type of electrogenic vacuolar proton ATPase involved in acidification. The basolateral plasma membrane of the osteoclast is specifically enriched in Na+, K+-ATPase (sodium pumps), HCO 3 - /Cl -exchangers, and Na+/H+ exchangers and numerous ion channels (10).

 

Lysosomal enzymes such as tartrate resistant acid phosphatase and cathepsin K are actively synthesized by the osteoclast and are found in the endoplasmic reticulum, Golgi, and many transport vesicles. The enzymes are secreted, via the ruffled border, into the extracellular bone-resorbing compartment where they reach a sufficiently high extracellular concentration because this compartment is sealed off. The transport and targeting of these enzymes for secretion at the apical pole of the osteoclast involves mannose-6-phosphate receptors. Furthermore, the cell secretes several metalloproteinases such as collagenase (MMP-13) and gelatinase B (MMP-9) which appear to be involved in preosteoclast migration to the bone surface as well as bone matrix digestion. Among the key enzymes being synthesized and secreted by the osteoclast is cathepsin K, an enzyme capable or degrading collagen at low pH and a target for inhibition of bone resorption. (11)

 

Attachment of the osteoclast to the bone surface is essential for bone resorption. This process involves transmembrane adhesion receptors of the integrin. Integrins attach to specific amino acid sequences (mostly RGD sequences) within proteins in or at the surface of the bone matrix. In the osteoclast, avb3 (vitronectin receptor), a2b1 (collagen receptor) and avb5 integrins are predominantly expressed. Without cell attachment the acidified microenvironment cannot be established and the osteoclast cannot be highly mobile, a functional property associated with the formation of podosomes.

 

After osteoclast adhesion to the bone matrix, avb3 binding activates cytoskeletal reorganization within the osteoclast, including cell spreading and polarization. In most cells, cell attachment occurs via focal adhesions, where stress fibers (bundles of microfilaments) anchor the cell to the substrate. In osteoclasts, attachment occurs via podosomes. Podosomes are more dynamic structures than focal adhesions, and occur in cells that are highly motile. It is the continual assembly and disassembly of podosomes that allows osteoclast movement across the bone surface during bone resorption. Integrin signaling and subsequent podosome formation is dependent on a number of adhesion kinases including the proto-oncogene src, which, while not required for osteoclast maturation, is required for osteoclast function, as demonstrated by osteopetrosis in the src knockout mouse. Pyk2, another member of the focal adhesion kinase family is also activated by avb3 during osteoclast attachment, and is required for bone resorption.(10) Several actin-regulatory proteins have also been shown to be present in podosomes and required for bone resorption, again pointing to the importance of integrin signaling and podosome assembly and disassembly in the function of osteoclasts. (12)

 

Osteoclasts resorb bone by acidification and proteolysis of the bone matrix and hydroxyapatite crystals encapsulated within the sealing zone. Carbonic anhydrase type II produces hydrogen ions within the cell, which are then pumped across the ruffled border membrane via proton pumps located in the basolateral membrane, thereby acidifying the extracellular compartment. The protons are highly concentrated in the cytosol of the osteoclast; ATP and CO2 are provided by the mitochondria. The basolateral membrane activity exchanges bicarbonate for chloride, thereby avoiding alkalization of the cytosol. K+ channels in the basolateral domain and Cl - channels in the apical ruffled border ensure dissipation of the electrogenic gradients generated by the vacuolar H+-ATPase The basolateral sodium pumps might be involved in secondary active transport of calcium and/or protons in association with a Na + /Ca 2+ exchanger and/or a Na+/H+ antiport. Genetic mutations in several of these components of the acidification and ion transport systems have been shown to be associated with osteopetrosis (defective bone resorption by osteoclasts) in humans and in mice.

 

The first process during bone matrix resorption is mobilization of the hydroxyapatite crystals by digestion of their link to collagen via the non-collagenous proteins and the low pH dissolves the hydroxyapatite crystals, exposing the bone matrix. Then the residual collagen fibers are digested by cathepsin K, now at optimal pH. The residues from this extracellular digestion are either internalized, or transported across the cell and released at the basolateral domain. Residues may also be released during periods of sealing zone relapse, as probably occurs during osteoclast motility, and possibly induced by a calcium sensor responding to the rise of extracellular calcium in the bone-resorbing compartment.

 

The regulation of bone resorption is mostly mediated by the action of hormones on stromal cells, osteoblasts and osteocytes. For example, PTH can stimulate osteoblastic production of M-CSF, RANKL, OPG or IL-6, which then act directly on the osteoclast (5,6).

 

Origin and Fate of the Osteoclast (6)

 

The osteoclast derives from cells in the mononuclear phagocyte lineage (Figure 5). Their differentiation requires the transcription factors PU-1 and MiTf at early stages, committing the precursors into the myeloid lineage. M-CSF is then required to engage the cells in the monocyte lineage and ensure their proliferation and the expression of the RANK receptor. At that stage, the cells require the presence of RANKL, a member of the TNF family of cytokines produced by stromal cells, to truly commit to the osteoclast lineage and progress in their differentiation program. This step also requires expression of TRAF6, NFκB, c-Fos and NFAT c1, all downstream effectors of RANK signaling. Although this differentiation occurs at the early promonocyte stage, monocytes and macrophages already committed to their own lineage might still be able to form osteoclasts under the right stimuli. Despite its mononuclear phagocytic origin, the osteoclast membrane express distinct markers: it is devoid of Fc and C 3 receptors, as well as of several other macrophage markers; like mononuclear phagocytes, however, the osteoclast is rich in nonspecific esterases, synthesizes lysozyme, and expresses CSF-1 receptors. Monoclonal antibodies have been produced that recognize osteoclasts but not macrophages. The osteoclast, unlike macrophages, also expresses, millions of copies of the RANK, calcitonin, and vitronectin (integrin avb3) receptors. Whether it expresses receptors for parathyroid hormone, estrogen, or vitamin D is still controversial. Dendritic cell-specific transmembrane protein (DC-STAMP) is currently considered to be the master regulator of osteoclastogenesis.  Knock out of DC-STAMP completely abrogates cell-cell fusion during osteoclastogenesis; osteoclasts isolated from DC-STAMP knock-out mice are mononucleated. (13) Another important factor involved in cell fusion is Pin 1, an enzyme that specifically recognizes the peptide bond between phosphorylated serine or threonine and proline.  Pin 1 regulates cell fusion during osteoclastogeneis by suppressing DC-STAMP. (14,15) Recent evidence suggest that the osteoclast undergoes apoptosis after a cycle of resorption, a process favored by estrogens, possibly explaining the increased bone resorption after gonadectomy or menopause.

Figure 5. Osteoclast Life Cycle. The osteoclast is derived from a mononuclear hematopoietic precursor cell which, upon activation, fuses with other precursors to form a multinucleated osteoclast. The osteoclast first attaches to the bone surface then commences resorption. After a cycle of bone resorption, the osteoclast undergoes apoptosis.

 

Relations to the Immune System (Osteoimmunology)

 

In the last few years it has been recognized that, in part due to the link between the osteoclast, macrophages and dendritic cells (all three belong to the same cell lineage), osteoclasts are regulated by and share regulatory mechanisms with cells of the immune system. For instance, T cells can produce locally RANKL, activating osteoclastogenesis. B cells may share a common precursor with and regulate osteoclast precursors. RANKL signaling and “immunoreceptor tyrosine-based activation motif” (ITAM) signals cooperate in osteoclastogenesis (16).

 

BONE REMODELING

 

Bone remodeling is the process by which bone is turned over; it is the result of the activity of the bone cells at the surfaces of bone, mainly the endosteal surface (which includes all trabecular surfaces). Remodeling is traditionally classified into two distinct types: Haversian remodeling within the cortical bone and endosteal remodeling along the trabecular bone surface. This distinction is more morphological than physiological because the Haversian surface is an extension of the endosteal surface and the cellular events during these two remodeling processes follow exactly the same sequence.

 

The Remodeling Sequence

 

Bone formation and bone resorption do not occur along the bone surface at random: they are coordinated as part of the turnover mechanism by which old bone is replaced by new bone, providing an opportunity to change the shape, architecture or density of the skeleton. In the normal adult skeleton, bone formation only occurs, for the most part, where bone resorption has already occurred. This basic principle of cellular activity at the remodeling site constitutes the Activation-Resorption-Reversal-Formation (ARRF) sequence (Figure 6).

Figure 6. The Bone Remodeling Sequence. The Activation-Resorption-Reversal-Formation cycle of bone remodeling as it occurs in trabecular bone. See text for details.

 

Under some signal, today considered to emanate from osteocytes, a locally acting factor released by lining cells, osteocytes, marrow cells, or in response to bone deformation or fatigue-related microfracture, a group of preosteoclasts are activated. These mononuclear cells attach to the bone via avb3 integrins and fuse to form a multi-nucleated osteoclast which will, in a definite area of the bone surface, resorb the bone matrix. After resorption of the bone, and osteoclast detachment, uncharacterized mononuclear cells cover the surface and a cement line is formed. The cement line marks the limit of bone resorption, and acts to cement together the old and the new bone. This is termed the reversal phase, and is followed by a period of bone formation. Preosteoblasts are activated, proliferate and differentiate into osteoblasts, which move onto the bone surface, forming an initial matrix (osteoid), which becomes mineralized after a time lag (the osteoid maturation period). The basic remodeling sequence is therefore Activation-Resorption-Formation; it is performed by a group of cells called the Basic Multicellular Unit (BMU). The complete remodeling cycle takes about 3 months in humans (Figure 7).

Figure 7. Bone Growth and Remodeling at the Growth Plate. The light micrograph demonstrates the zones of chondrocyte differentiation, as well as mineralization (black). The schematic representation shows the cellular events occurring at the growth plate in long bones. Note that bone formation in this process occurs by repeated Activation-Resorption-Formation cycles of bone remodeling beginning with the calcified cartilage matrix.

 

For decades, the reversal phase of the remodeling cycle was the least well understood.  It was recognized that during this phase, the resorption cavity was occupied by mononucleated cells, but the nature of these cells was unknown (17).  Recent work by Delaisse and colleagues (18) has definitively identified the reversal cells as belonging to the osteogenic lineage, expressing classic osteoblast markers: Runx2, ALP, and Col3. By applying immunocytochemistry and histomorphometry to femur and fibula samples harvested from teenagers and adults, these investigators have provided a much more complete picture of the temporal sequence of cellular events that occur between the start of resorption and the onset of formation.  In order to visualize the entire sequence of events, they analyzed longitudinal sections of evolving Haversian systems. They observed osteoclasts at two distinct locations: at the cutting cone (referred to as primary osteoclasts) and close to the reversal cells (referred to as secondary osteoclasts). The presence of secondary osteoclasts in the reversal phase suggests that bone resorption continues during this phase, which has been renamed the resorption-reversal phase. The authors have concluded that the primary osteoclasts are responsible for drilling the tunnel (initial resorption) and the secondary osteoclasts work to increase its diameter by radial resorption. This radial resorption was shown to be a major contributor to the overall amount of bone resorbed in each BMU. This new and more complete model of the resorption-reversal phase will lead to enhanced understanding of the delicate and all-important balance between resorption and formation (Figure 8).

 

Figure 8. Cartoon of a bone remodeling unit in cortical bone, showing the change in the designation of the reversal phase as a result of recent new findings. IR = initial resorption; RR = radial resorption; Og = osteoprogenitor cell; Oc = osteoclast. (17)

 

For many years it has been accepted that bone resorption and formation are coupled in the same way that bone matrix formation and calcification are linked. In other words, in the normal adult skeleton, the coupling of bone resorption and formation in remodeling results in equal levels of cellular activity so that bone turnover is balanced: the volume of bone resorbed is equal to the volume formed. This paradigm implies that, for example, a reduction in osteoblast activity would affect a similar reduction in osteoclast activity such that bone volume is maintained. Conversely, an increase in osteoclast activity should be compensated by an increase in osteoblasts and bone formation, resulting in a maintained bone mass with a high turnover, as in hyperparathyroidism for instance. Similarly, decreased osteoclast numbers or bone resorption activity should be associated with a decrease in bone formation, maintaining bone mass but with a decreased turnover rate.

 

Although this “coupling” may indeed function in most cases, there are multiple examples of dysfunctions, such as in osteoporosis or osteopetrosis for instance. It now appears that the number of osteoclasts rather than their strict activity is a key determinant of subsequent bone formation. This suggests that factors generated locally by the osteoclast, either directly or through resorption of the bone matrix, are capable of stimulating bone formation (19).

 

Haversian vs Endosteal Bone Remodeling

 

As previously mentioned, although cortical bone is anatomically different to trabecular bone, its remodeling occurs following the same sequence of events. The major difference is that while the average thickness of a trabecula is 150-200 microns, the average thickness of the cortex is of the order of 1-10 mm. There are no blood vessels in the trabeculae but the bone envelope system and the osteocyte network are able to carry out enough gaseous exchange, being always relatively close to the surface and the highly vascularized marrow. Consequently, bone remodeling in the trabecular bone will take place along the trabecular surface. On the other hand, the cortical bone itself needs to be vascularized. Blood vessels are first embedded during the histogenesis of cortical bone; the blood vessel and the bone which surrounds it is then called a primary osteon. Later, cortical bone remodeling will be initiated either along the surface of these vascular channels, or from the endosteal surface of the cortex. The remodeling process in cortical bone also follows the ARF sequence. Osteoclasts excavate a tunnel, creating a cutting cone. Again, there is a reversal phase, where mononuclear cells attach and lay down a cement line. Osteoblasts are then responsible for closing the cone, leaving a central canal, centered on blood vessels and surrounded by concentric bone lamellae. For mechanical reasons, all these Haversian systems are oriented along the longitudinal axis of the bone.

 

Bone Turnover and Skeletal Homeostasis

 

In a normal young adult, about 30% of the total skeletal mass is renewed every year (half-life = 20 months). In each remodeling unit, osteoclastic bone resorption lasts about 3 days, the reversal 14 days, and bone formation 70 days (total = 87 days). The linear bone formation rate is 0.5mm/day. During this process, about 0.01mm of bone is renewed in one given remodeling unit. Theoretically, with balanced matrix deposition and calcification as well as a balance between osteoclast and osteoblast activity, the amount of bone formed in each remodeling unit (and therefore in the total skeleton) equals the amount of bone which was previously resorbed. Thus, the total skeletal mass remains constant. This skeletal homeostasis relies upon a normal remodeling activity. The rate of activation of new remodeling units would then determine only the turnover rate.

 

SKELETAL DEVELOPMENT-HISTOGENESIS 

 

Bone development is achieved through the use of two distinct processes, intramembranous and endochondral bone formation. In the first, mesenchymal cells differentiate directly into osteoblasts whereas in the second mesenchymal cells differentiate into chondrocytes and it is only secondarily that osteoblasts appear and form bone around the cartilage model. Through a process that involves bone resorption by osteoclasts, vascular invasion and resorption of calcified cartilage, the cartilage model is progressively replaced by osteoblast-derived bone matrix. Bone is then remodeled through continuous cycles of bone resorption and formation, thereby allowing shape changes and adaptation to the local and systemic environment.

 

Intramembranous Ossification

 

During intramembranous ossification, a group of mesenchymal cells within a highly vascularized area of the embryonic connective tissue proliferates, forming early mesenchymal condensations within which cells differentiate directly into osteoblasts. Bone Morphogenetic Proteins, as well as FGFs appear to be essential in the process of mesenchymal cell condensation. The newly differentiated osteoblasts will synthesize a woven bone matrix, while at the periphery, mesenchymal cells continue to differentiate into osteoblasts. Blood vessels are incorporated between the woven bone trabeculae and will form the hematopoietic bone marrow. Later this woven bone will be remodeled through the classical remodeling process, resorbing woven bone and progressively replacing it with mature lamellar bone.

 

Endochondral Ossification

 

Development of long bones begins with the formation of a cartilage anlage (model) from a mesenchymal condensation, as in intramembranous ossification. (Figure 9). But here, under the influence of a different set of factors and local conditions, mesenchymal cells undergo division and differentiate into prechondroblasts and then into chondroblasts rather than directly into osteoblasts. These cells secrete the cartilaginous matrix, where the predominant collagen type is collagen type II. Like osteoblasts, the chondroblasts become progressively embedded within their own matrix, where they lie within lacunae, and they are then called chondrocytes. Unlike osteocytes however, chondrocytes continue to proliferate for some time, this being allowed in part by the gel-like consistency of cartilage. At the periphery of this cartilage (the perichondrium), the mesenchymal cells continue to proliferate and differentiate through appositional growth. Another type of growth is observed in the cartilage by cell proliferation and synthesis of new matrix between the chondrocytes (interstitial growth).

Figure 9. Duration and depth of the phases of the normal cancellous bone remodeling sequence, calculated from histomorphometric analysis of bone biopsy samples from young individuals (Adapted from: Eriksen EF, Axelrod DW, Melsen F. Bone Histomorphometry. Raven Press, New York, pp13-20, 1994).

 

Beginning in the center of the cartilage model, at what is to become the primary ossification center, chondrocytes continue to differentiate and become hypertrophic. During this process, hypertrophic cells deposit a mineralized matrix, where cartilage calcification is initiated by matrix vesicles. Once this matrix is calcified, it is partially resorbed by osteoclasts. After resorption and a reversal phase, osteoblasts differentiate in this area and form a layer of woven bone on top of the remaining cartilage. This woven bone will later be remodeled into lamellar bone.

 

Chondrocyte differentiation is regulated by a number of factors which have recently been described. The first factor shown to control chondrocyte differentiation was parathyroid hormone related peptide (PTHrP) acting on PTH receptors mostly found in prehypertrophic chondrocytes. This factor prolongs chondrocyte proliferation, and in PTHrP knockout mice, the main phenotype is bone shortening caused by premature chondrocyte hypertrophy. Targeted overexpression of PTHrP results in the opposite phenotype, with prolonged delay in chondrocyte maturation. PTHrP is part of a genetic signaling cascade, where not only is it regulated by factors expressed earlier in chondrocyte differentiation, such as Indian hedgehog (Ihh), but it also regulates chondrocyte differentiation itself, and alters gene expression in more mature chondrocytes. Other factors which regulate chondrocyte differentiation include the FGFs and bone morphogenetic proteins (BMPs). The transcription factors Runx2 and Sox9, together with the Wnt signaling pathway, control the commitment and differentiation within the chondrocytic lineage (20).

 

The embryonic cartilage is avascular. During its early development, a ring of woven bone is formed, the bone collar, at the periphery by intramembranous ossification in the future midshaft area under the perichondrium (which becomes periosteum). Following calcification of this woven bone, blood vessels, preceded by osteoclasts enter the primary ossification center, penetrate the bone collar and the calcified cartilage, to form the blood supply and allow seeding of the hematopoietic bone marrow. The osteoclast invasion and its concomitant wave of resorbing activity leads to the removal of the calcified cartilage and its replacement by woven bone in the primary spongiosa, as described above.

 

Secondary ossification centers begin to form at the epiphyseal ends of the cartilaginous model, and by a similar process, trabecular bone and a marrow space are formed. Between the primary and secondary ossification centers, epiphyseal cartilage (growth plates) remain until adulthood. The continued differentiation of chondrocytes, cartilage mineralization and subsequent remodeling cycles allow longitudinal bone growth to occur, such that as new bone is formed the bone will reach its final adult shape. There is, however, a progressive decrease in chondrocyte proliferation so that the growth plate becomes progressively thinner, allowing mineralization and resorption to catch up. It is at this point that the growth plates are completely remodeled and longitudinal growth is arrested.

 

The growth plate demonstrates, from the epiphyseal area to the diaphyseal area, the different stages of chondrocyte differentiation involved in endochondral bone formation (Figure 10). Firstly, a proliferative zone, where the chondroblasts divide actively, forming isogenous groups, and actively synthesizing the matrix. These cells become progressively larger, enlarging their lacunae in the pre-hypertrophic and hypertrophic zones. Lower in this area, the matrix of the longitudinal cartilage septa selectively calcifies (zone of provisional calcification). The chondrocytes become highly vacuolated and then die through programmed cell death (apoptosis). Once calcified, the cartilage matrix is resorbed, but only partially, by osteoclasts, leaving the calcified longitudinal septae and blood vessels appear in the zone of invasion. After resorption, osteoblasts differentiate and form a layer of woven bone on top of the cartilaginous remnants of the longitudinal septa. Thus, the first remodeling sequence is complete: the cartilage has been remodeled and replaced by woven bone. The resulting trabeculae are called the primary spongiosa. Still lower in the growth plate, this woven bone is subjected to further remodeling (a second ARF sequence) in which the woven bone and the cartilaginous remnants are replaced with lamellar bone, resulting in the mature trabecular bone called secondary spongiosum.

Figure 10. Bone Development. Schematic diagram showing the initial stages of endochondral ossification. Bone development begins with mesenchymal condensation to form a cartilage model of the bone to be formed. Following chondrocyte hypertrophy and cartilage matrix mineralization, osteoclast activity and vascularization result in the formation of the primary, and then secondary ossification centers. In mature adult bones, the growth plate is fully resorbed, so that one marrow cavity extends the full length of the bone. See text for details.

 

GROWTH IN BONE SHAPE AND DIAMETER (MODELING)

 

During longitudinal growth, and due to the fact that the midshaft is narrower than the metaphysis, the growth of a long bone progressively destroys the lower part of the metaphysis and transforms it into a diaphysis, a process accomplished by continuous resorption by osteoclasts beneath the periosteum.

In contrast, growth in the diameter of the metaphysis is the result of a deposition of new membranous bone beneath the periosteum that will continue throughout life. In this case, resorption does not immediately precede formation. Recently, more attention has been focusing on this type of bone formation inasmuch as periosteal bone formation seems to respond differently and/or independently from endosteal bone formation activity to different stimuli such as PTH or biomechanical loading. This is particularly important in the context of osteoporosis where it has been demonstrated that growth in diameter in the midshaft is a more important contributor to the decrease in the fracture risk than trabecular bone density and/or cortical thickness.

 

REFERENCES

 

  1. Fukumoto S, Martin TJ. Bone as an endocrine organ. Trends Endocrinol Metab. 2009 Jul;20(5):230-6.
  2. Zanatta LC, Boguszewski CL, Borba VZ, Kulak CA. Osteocalcin, energy and glucose metabolism. Arq Bras Endocrinol Metabol. 2014 Jul;58(5):444-51
  3. Ahmed LA, Shigdel R, Joakimsen RM, Eldevik OP, Eriksen EF, Ghasem-Zadeh A, Bala Y, Zebaze R, Seeman E, Bjørnerem Å. Measurement of cortical porosity of the proximal femur improves identification of women with nonvertebral fragility fractures. Osteoporos Int. 2015 Aug;26(8):2137-46.
  4. Robey P.G., Bone Matrix Proteoglycans and Glycoproteins, In Principles of Bone Biology, J.P. Bilezikian, L.G. Raisz and G.A. rodan Editors, Academic Press Publishers, Chapter 14, 225-238, 2002.
  5. Bonewald L.F., Transforming Growth Factor-β, In Principles of Bone Biology, J.P. Bilezikian, L.G. Raisz and G.A. rodan Editors, Academic Press Publishers, Chapter 49, 903-918, 2002.
  6. Harada S. and Rodan G.A., Control of osteoblast function and regulation of bone mass, Nature 423, 349-355, 2003.
  7. Baron R. and Rawadi G., Targeting the Wnt/β-catenin Pathway to Regulate Bone Formation in the Adult Skeleton, Endocrinology 148, 2635-43.
  8. Boyle W.J., Simonet W.S., Lacey D.L., Osteoclast differentiation and activation, Nature 423, 337 – 342, 2003.
  9. Asagiri M. and Takayanagi H., The molecular understanding of osteoclast differentiation, Bone, 40:251-264, 2007.
  10. Teitelbaum, S.L. & Ross, F.P., Genetic regulation of osteoclast development and function, Nature Reviews Genetics, 4, 638-649, 2003
  11. Bruzzaniti A. and Baron R. Molecular regulation of osteoclast activity. Rev. Endocr. Metab. Disord. 2007, 7:123-39.
  12. Destaing O., Saltel F., Geminard J.C., Jurdic P. and Bard F. Podosomes display actin turn-over and dynamic self-organization in osteoclasts expressing actin-GFP. Mol. Biol. Cell, 14, 407-416, 2003.
  13. Courtial N, Smink JJ, Kuvardina ON, Leutz A, Göthert JR, Lausen J. Tal1 regulates osteoclast differentiation through suppression of the master regulator of cell fusion DC-STAMP. FASEB J. 2012 Feb;26(2):523-32.
  14. Islam R, Bae HS, Yoon WJ, Woo KM, Baek JH, Kim HH, Uchida T, Ryoo HM. Pin1 regulates osteoclast fusion through suppression of the master regulator of cell fusion DC-STAMP. J Cell Physiol. 2014 Dec;229(12):2166-74.
  15. Islam R, Yoon WJ, Ryoo HM. Pin1, the Master Orchestrator of Bone Cell Differentiation. J Cell Physiol. 2017 Sep;232(9):2339-2347.
  16. Takayanagi H., Osteoimmunology: shared mechanisms and crosstalk between the immune and bone systems, Nature Reviews Immunology 7, 292 – 304, 2007.
  17. Dempster DW. Tethering Formation to Resorption: Reversal Revisited. J Bone Miner Res. 2017 Jul;32(7):1389-1390.
  18. Lassen NE, Andersen TL, Pløen GG, Søe K, Hauge EM, Harving S, Eschen GET, Delaisse JM. Coupling of Bone Resorption and Formation in Real Time: New Knowledge Gained From Human Haversian BMUs. J Bone Miner Res. 2017 Jul;32(7):1395-1405.
  19. Sims NA, Martin TJ. Coupling Signals between the Osteoclast and Osteoblast: How are Messages Transmitted between These Temporary Visitors to the Bone Surface? Front Endocrinol (Lausanne). 2015 Mar 24; 6:41.

20.. Kronenberg H.M., Developmental regulation of the growth plate, Nature 332-336, 2003.

 

 

Sitosterolemia

ABSTRACT

Sitosterolemia is a rare autosomal recessive disorder of non-cholesterol sterol metabolism, caused by mutations of the ABCG5 or ABCG8 transporter genes. This results in hyperabsorption and decreased biliary excretion of non-cholesterol sterol, especially sitosterol, from the gastrointestinal tract.  Affected individuals have excessive accumulation of plant sterols and 5 alpha-saturated stanols in plasma and tissues, resulting in premature cardiovascular disease. The condition is often clinically confused with familial hypercholesterolemia. This article provided overview of this rare condition, including diagnostic evaluation and treatment.

 

BACKGROUND

Sterols are waxy insoluble substances and are synthesized from acetyl coenzyme A (CoA).  Perhaps the most familiar example is cholesterol. In addition to cholesterol, over forty non-cholesterol sterols are also present in the human diet. Non-cholesterol sterols are contained in plants, fungi, and yeast. Instead of converting squalene to cholesterol, non-cholesterol sterols occur when squalene is converted to stigmasterol, sitosterol, campesterol, ergosterol, etc., while shellfish produce fucosterol. 

In a typical Western diet, plant sterols, or phytosterols, are often consumed in nuts, seeds, legumes, and vegetable oils. They are present in amounts equal to cholesterol and processed by the intestine in a similar manner (Figure 1).  While most individuals absorb, on average, 40-50% of dietary cholesterol, less than 5% of dietary plant sterols are absorbed (1-3).

Figure 1. Enterocyte Trafficking of Cholesterol and Plant Sterols. From Phytoserolemia by Thomas Daysring, MD in Therapeutic Lipidology, Michael H Davis in, MD, Peter P Toth, MD and Kevin C Maki, PhD, Editors. 2007 Humana Press, Incorp. Totowa, New Jersey.

Phytosterols have no role in human metabolism.  Therefore, except in inherited disorders of metabolism, there is limited systemic absorption of phytosterols, as their entry into the plasma is highly regulated by the intestine and liver. Concentrations of phystosterols in plasma are normally less than 0.5% that of cholesterol. 

Stanols, i.e., saturated sterols, also exist in the diet, primarily from plant sources.  Stanols are not normally absorbed from the GI tract. Both stanols and sterols interfere with the absorption of cholesterol. Therefore, both have been used as dietary supplements for over 5 decades to help reduce plasma cholesterol levels.

Phytosterols and free cholesterol are normally absorbed by the Niemann-Pick C1-Like 1 (NPC1L1) protein expressed on enterocytes (Figure 1) (4).  Almost all of the absorbed plant phytosterols are excreted back into the intestinal lumen by the ABCG5 or ABCG8 transporters.   The normal body is thus able to discriminate between cholesterol and non-cholesterol sterols (5). The function of ABCG5 or ABCG8 transporter genes, found at the STSL locus of human chromosome 2p21, is to limit intestinal absorption and promote biliary excretion (6, 7) (Figure 2).   

Figure 2. Normal Intestinal and Hepatic Transport of Cholesterol and Phytosterols. T. Plösch, A. Kosters, A.K. Groen, F. Kuipers. The ABC of Hepatic and Intestinal Cholesterol Transport. Chapter. Atherosclerosis: Diet and Drugs. Volume 170 of the series Handbook of Experimental Pharmacology pp 465-482.

SITOSTEROLEMIA

Sitosterolemia (also known as phytosterolemia) is a rare autosomal recessive disease of non-cholesterol sterol metabolism.  It is characterized chemically by the accumulation of plant sterols and 5 alpha-saturated stanols in plasma and tissues. The condition occurs when either ABCG5 or ABCG8 are defective, leading to hyperabsorption of sitosterol from the gastrointestinal tract.  The problem is compounded by decreased biliary excretion, resulting in accumulation of dietary phytosterols in different tissues (8, 9).

HISTORY AND ETHNICITY

Sitosterolemia was first reported in 1974 when two sisters with extensive tendon xanthomas were found to have normal plasma cholesterol levels and elevated levels of plant sterols (10). Several hundred cases have since been reported but the condition is thought to be substantially underdiagnosed (11).   The disorder has been found in a wide range of diverse populations, including the Old-Order Amish, Chinese, Finnish, Japanese, Norwegian, Indian and Caucasian South Africans, as well as others.  The condition is transmitted as an autosomal recessive trait (12, 13)

CLINICAL FEATURES

 

Signs and Symptoms

Phenotypically, sitosterolemia is very heterogeneous in its presentation. The disorder is characterized by premature coronary artery disease (14-18) although the degree of atherosclerosis present varies significantly (19-24).  Presenting signs and symptoms of sitosterolemia, such as lipid deposition in cutaneous and subcutaneous structures (xanthomas), can occur in the first decade of life, but sitosterolemia has been diagnosed in asymptomatic adults as well. Typical xanthomas occur most prominently in the extensor tendons of the hands and Achilles tendon, but can occur in the knees, elbows and buttocks. Xanthomas have been reported in children as young as one to two years of age (25-31). Spinal xanthomas, causing spinal cord compression, have also been reported (32)

The phenotype of sitosterolemia includes abnormal liver function tests, arthralgia, splenomegaly, and hematologic findings (hemolytic anemia, abnormally shaped erythrocytes and large platelets) (33-37). Occasionally, hematologic findings appear as isolated findings (11, 38-41), and there is a case report of an infant with cholestatic jaundice who was ultimately diagnosed with sitosterolemia (42).  Aortic stenosis has also been reported (21, 43), as have arthralgias and arthritis (44, 45).

Occasionally, the diagnosis of sitosterolemia is made after an individual with total cholesterol and LDL-cholesterol in the range of familial hypercholesterolemia fails to achieve expected reductions with statin therapy (46).  A recent study of 220 hypercholesterolemic children found that 6.4% had elevated and 1.4% had markedly elevated sitosterol levels, with 2 children ultimately diagnosed with genetically confirmed sitosterolemia (47).  This has been demonstrated in other publications as well (48, 49).  This reaffirms that sitosterolemia is likely underdiagnosed, and high clinical suspicion is warranted.  This is particularly important as most genetic testing panels for familial hypercholesterolemia test for pathogenic variants in LDLR, APOB, PCSK9, and LDLRAP1; therefore, individuals with sitosterolemia will frequently have negative genetic testing results.

Although sitosterolemia is a recessive disorder, there is some data suggesting that heterozygous carriers of loss of function mutations can have higher sitosterol levels, higher LDL-cholesterol levels, and a 2-fold higher risk of ASCVD (50).

Differential Diagnosis

Besides sitosterolemia, other disorders that cause tendon xanthomas in children and adults include:

Heterozygous familial hypercholesterolemia (HeFH) - most commonly caused by a co-dominantly inherited disorder of the LDL-C receptor, presents with high total serum and LDL-cholesterol, normal plasma levels of plant sterols and at least one parent with hypercholesterolemia.

Homozygous familial hypercholesterolemia (HoFH) - in which hypercholesterolemia is present in both parents of an affected child. In addition, individuals with HoFH have normal rather than enlarged platelets (macrothrombocytopenia).

Cerebrotendinous xanthomatosis (CTX) - can be distinguished by increased concentrations of plasma cholestanol, protracted diarrhea starting in childhood, and juvenile cataracts. Adults with CTX typically have neurologic involvement (cerebellar ataxia, cognitive decline, and dementia).

 

Alagille Syndrome, is accompanied by a characteristic syndromic facial appearance, high rates of congenital heart disease, and signs of liver cholestasis (51).

 

Sitosterolemia should be considered in a child or adult with tendon xanthomas and unexplained hemolysis and/or macrothrombocytopenia, as these hematologic abnormalities are not present in FH, CTX or Alagille syndrome.

Testing

Routine laboratory methods do not always distinguish plant sterols from cholesterol. Detection of plant sterol levels in blood requires gas-liquid chromatography (GLC), gas chromatography/mass spectrometry (GC/MS), or high-pressure liquid chromatography (HPLC).

Plant sterols, especially sitosterol, and the 5-alpha derivatives of plant sterols, are dramatically elevated in patients with sitosterolemia. Plasma concentrations of sitosterol above 1 mg/dL (10µg/mL) are considered to be diagnostic, although a recent study suggested a cutoff value of 15µg/mL had higher positive predictive value (52). Levels typically range from 8-60 mg/dL, 10-25 times higher than normal individuals. Age-dependent reference intervals for phytosterols have also been proposed (53). Molecular genetic testing of mutations in ABCG5 and ABCG8 can help confirm the diagnosis and direct clinical care (54).

In contrast to the very high levels of plant sterols in adults and adolescents with sitosterolemia, total cholesterol levels are sometimes normal or only moderately elevated (34). However, at least three cases of breastfed infants with sitosterolemia presenting with very elevated serum cholesterol levels have been reported. The mechanism of exceptionally high cholesterol levels in sitosterolemic children is unclear (25, 26, 55).

Increased plasma concentrations of plant sterols (especially sitosterol, campesterol, and stigmasterol) are only observed once foods with plant sterols are included in the diet and accumulate in the body. Care must be taken when evaluating infants, since commercial formula feedings with large amounts of vegetable oil may result in elevated sitosterol levels (56).

Children with parenteral nutrition associated cholestasis may have plasma concentrations of plant sterols as high as those seen in patients with hereditary sitosterolemia (i.e., total plant phytosterols of 1.3-1.8 mmol/L). Intralipid typically contains cholesterol, sitosterol, campesterol, and stigmasterol, the latter three of which are plant sterols. Adults receiving parenteral nutrition may also have elevated plasma plant sterol levels (57).

MANAGEMENT OF SITOSTEROLEMIA

 

Dietary Treatment

Treatment includes dietary restriction of non-cholesterol sterols, limiting intake of shellfish (clams, scallops, oysters), plant foods that contain high fats, such as olives, margarine, nuts, seeds, avocados, and chocolate, and avoidance of vegetable fats and oils (10, 58-61).  Fruits, vegetables and cereal products without germ may be used, however (62).

In homozygotes, plasma sterol levels may not improve significantly despite significant dietary sitosterol restriction (63, 64). Margarines and other products containing stanols (e.g., campestanol and sitostanol), which are recommended for use by individuals with hypercholesterolemia, are contraindicated in those with sitosterolemia as they can exacerbate plant stanol accumulation (65).

 

Medical Treatments

Ezetimibe (Zetia®), inhibits NPC1L1 and decreases the absorption of sterols.  It is the first-line drug therapy, lowering plant sterols by 10 to 50% and may stabilize xanthomas (66-69). Hemolytic anemia and platelet abnormalities have been reported to improve as well (66).

Bile acid sequestrants, such as cholestyramine (8-15 g/d), may be considered in those with an incomplete response to ezetimibe(26)  Regression of xanthomas has been reported in an 11-year-old after treatment with diet and cholestyramine (70). A 60-year-old man with compound heterozygous mutations in ABCG5 responded to a combination of ezetimibe and alirocumab (71).

Sitosterolemic patients do not have expected clinical responses to statins, which can help to distinguish these patients with elevated plasma sterols and xanthomas from those with familial hypercholesterolemia (64).  As stated above, sitosterolemia should be suspected in individuals with hypercholesterolemia who fail to respond as expected to a statin treatment.

 

Surgical Treatments

 

Partial ileal bypass surgery (i.e., shortening of the ileum) has been used to increase intestinal bile acid loss. Partial or complete ileal bypass surgery in persons with sitosterolemia has resulted in at least 50% reduction of plasma and cellular sterol and stanol levels (72-74).

Surgical treatments for complications of sitosterolemia have been reported. Liver cirrhosis has been observed at least once in a patient with the ABCG8 mutation. The patient underwent successful treatment by liver transplant, which led to a dramatic improvement in the sitosterolemia. It is possible that restoration of the ABCG8 function in the liver alone may be sufficient to correct the biochemical abnormality (22).

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