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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.

 

REFERENCES

 

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  30. Burton BK, Deegan PB, Enns GM, Guardamagna O, Horslen S, Hovingh GK, Lobritto SJ, Malinova V, McLin VA, Raiman J, Di Rocco M, Santra S, Sharma R, Sykut-Cegielska J, Whitley CB, Eckert S, Valayannopoulos V, Quinn AG. Clinical Features of Lysosomal Acid Lipase Deficiency. J Pediatr Gastroenterol Nutr 2015; 61:619-625
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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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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

 

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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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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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  33. Salen G, Shefer S, Nguyen L, Ness GC, Tint GS, Shore V. Sitosterolemia. J Lipid Res. 1992;33(7):945-55.
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  35. Salen G, Patel S, Batta AK. Sitosterolemia. Cardiovasc Drug Rev. 2002;20(4):255-70.
  36. Su Y, Wang Z, Yang H, Cao L, Liu F, Bai X, et al. Clinical and molecular genetic analysis of a family with sitosterolemia and co-existing erythrocyte and platelet abnormalities. Haematologica. 2006;91(10):1392-5.
  37. Wang G, Wang Z, Liang J, Cao L, Bai X, Ruan C. A phytosterolemia patient presenting exclusively with macrothrombocytopenia and stomatocytic hemolysis. Acta Haematol. 2011;126(2):95-8.
  38. Kaya Z, Niu DM, Yorulmaz A, Tekin A, Gursel T. A novel mutation of ABCG5 gene in a Turkish boy with phytosterolemia presenting with macrotrombocytopenia and stomatocytosis. Pediatr Blood Cancer. 2014;61(8):1457-9.
  39. Wang Z, Cao L, Su Y, Wang G, Wang R, Yu Z, et al. Specific macrothrombocytopenia/hemolytic anemia associated with sitosterolemia. Am J Hematol. 2014;89(3):320-4.
  40. Gülen H, Yıldırım AT, Yiğit Y, Yorulmaz A. Typical hematological findings facilitating the diagnosis of sitosterolemia. Pediatr Int. 2021;63(4):472-3.
  41. Gok V, Tada H, Ensar Dogan M, Alakus Sari U, Aslan K, Ozcan A, et al. A teenager boy with a novel variant of Sitosterolemia presented with pancytopenia. Clin Chim Acta. 2022;529:61-6.
  42. Mandato C, Siano MA, Nazzaro L, Gelzo M, Francalanci P, Rizzo F, et al. A ZFYVE19 gene mutation associated with neonatal cholestasis and cilia dysfunction: case report with a novel pathogenic variant. Orphanet J Rare Dis. 2021;16(1):179.
  43. Wang Y, Guo YL, Dong QT, Li JJ. Severe aortic valve stenosis in a 14-year-old boy with sitosterolemia. J Clin Lipidol. 2018.
  44. Xia Y, Duan Y, Zheng W, Liang L, Zhang H, Luo X, et al. Clinical, genetic profile and therapy evaluation of 55 children and 5 adults with sitosterolemia. J Clin Lipidol. 2022;16(1):40-51.
  45. Tada H, Kojima N, Yamagami K, Takamura M, Kawashiri MA. Clinical and genetic features of sitosterolemia in Japan. Clin Chim Acta. 2022;530:39-44.
  46. Kiss S, Lee JY, Pitt J, MacGregor D, Wallace J, Marty M, et al. Dig deeper when it does not make sense: Juvenile xanthomas due to sitosterolemia. JIMD Rep. 2020;56(1):34-9.
  47. Lee JH, Song DY, Jun SH, Song SH, Shin CH, Ki CS, et al. High prevalence of increased sitosterol levels in hypercholesterolemic children suggest underestimation of sitosterolemia incidence. PLoS One. 2020;15(8):e0238079.
  48. Tada H, Okada H, Nomura A, Yashiro S, Nohara A, Ishigaki Y, et al. Rare and Deleterious Mutations in ABCG5/ABCG8 Genes Contribute to Mimicking and Worsening of Familial Hypercholesterolemia Phenotype. Circ J. 2019;83(9):1917-24.
  49. Tada MT, Rocha VZ, Lima IR, Oliveira TGM, Chacra AP, Miname MH, et al. Screening of ABCG5 and ABCG8 Genes for Sitosterolemia in a Familial Hypercholesterolemia Cascade Screening Program. Circ Genom Precis Med. 2022;15(3):e003390.
  50. Nomura A, Emdin CA, Won HH, Peloso GM, Natarajan P, Ardissino D, et al. Heterozygous ATP-binding Cassette Transporter G5 Gene Deficiency and Risk of Coronary Artery Disease. Circulation: Genomic and Precision Medicine.2020;13(5):417-423..
  51. Alagille D, Odievre M, Gautier M, Dommergues JP. Hepatic ductular hypoplasia associated with characteristic facies, vertebral malformations, retarded physical, mental, and sexual development, and cardiac murmur. J Pediatr. 1975;86(1):63-71.
  52. Kojima N, Tada H, Usui S, Sakata K, Hayashi K, Nohara A, et al. Serum sitosterol level predicting ABCG5 or ABCG8 genetic mutations. Clin Chim Acta. 2020;507:11-6.
  53. Wu M, Pei Z, Sun W, Wu H, Sun Y, Wu B, et al. Age-related reference intervals for serum phytosterols in children by gas chromatography-mass spectrometry and its application in diagnosing sitosterolemia. Clin Chim Acta. 2023;540:117234.
  54. Brown EE, Sturm AC, Cuchel M, Braun LT, Duell PB, Underberg JA, et al. Genetic testing in dyslipidemia: A scientific statement from the National Lipid Association. J Clin Lipidol. 2020;14(4):398-413.
  55. Rios J, Stein E, Shendure J, Hobbs HH, Cohen JC. Identification by whole-genome resequencing of gene defect responsible for severe hypercholesterolemia. Hum Mol Genet. 2010;19(22):4313-8.
  56. Hamdan IJA, Sanchez-Siles LM, Garcia-Llatas G, Lagarda MJ. Sterols in Infant Formulas: A Bioaccessibility Study. Journal of Agricultural and Food Chemistry. 2018;66(6):1377-85.
  57. Llop JM, Virgili N, Moreno-Villares JM, Garcia-Peris P, Serrano T, Forga M, et al. Phytosterolemia in parenteral nutrition patients: implications for liver disease development. Nutrition. 2008;24(11-12):1145-52.
  58. Kratz M, Kannenberg F, Gramenz E, Berning B, Trautwein E, Assmann G, et al. Similar serum plant sterol responses of human subjects heterozygous for a mutation causing sitosterolemia and controls to diets enriched in plant sterols or stanols. Eur J Clin Nutr. 2007;61(7):896-905.
  59. Myrie SB, Mymin D, Triggs-Raine B, Jones PJ. Serum lipids, plant sterols, and cholesterol kinetic responses to plant sterol supplementation in phytosterolemia heterozygotes and control individuals. Am J Clin Nutr. 2012;95(4):837-44.
  60. Gregg RE, Connor WE, Lin DS, Brewer HB, Jr. Abnormal metabolism of shellfish sterols in a patient with sitosterolemia and xanthomatosis. The Journal of Clinical Investigation. 1986;77(6):1864-72.
  61. Parsons HG, Jamal R, Baylis B, Dias VC, Roncari D. A marked and sustained reduction in LDL sterols by diet and cholestyramine in beta-sitosterolemia. Clin Invest Med. 1995;18(5):389-400.
  62. Tsubakio-Yamamoto K, Nishida M, Nakagawa-Toyama Y, Masuda D, Ohama T, Yamashita S. Current Therapy for Patients with Sitosterolemia --Effect of Ezetimibe on Plant Sterol Metabolism. Journal of atherosclerosis and thrombosis. 2010;17(9):891-900..
  63. Cobb MM, Salen G, Tint GS. Comparative effect of dietary sitosterol on plasma sterols and cholesterol and bile acid synthesis in a sitosterolemic homozygote and heterozygote subject. J Am Coll Nutr. 1997;16(6):605-13.
  64. Nguyen LB, Cobb M, Shefer S, Salen G, Ness GC, Tint GS. Regulation of cholesterol biosynthesis in sitosterolemia: effects of lovastatin, cholestyramine, and dietary sterol restriction. J Lipid Res. 1991;32(12):1941-8.
  65. Connor WE, Lin DS, Pappu AS, Frohlich J, Gerhard G. Dietary sitostanol and campestanol: accumulation in the blood of humans with sitosterolemia and xanthomatosis and in rat tissues. Lipids. 2005;40(9):919-23.
  66. Othman RA, Myrie SB, Mymin D, Merkens LS, Roullet JB, Steiner RD, et al. Ezetimibe reduces plant sterol accumulation and favorably increases platelet count in sitosterolemia. J Pediatr. 2015;166(1):125-31.
  67. Salen G, von Bergmann K, Lutjohann D, Kwiterovich P, Kane J, Patel SB, et al. Ezetimibe effectively reduces plasma plant sterols in patients with sitosterolemia. Circulation. 2004;109(8):966-71.
  68. Lutjohann D, von Bergmann K, Sirah W, Macdonell G, Johnson-Levonas AO, Shah A, et al. Long-term efficacy and safety of ezetimibe 10 mg in patients with homozygous sitosterolemia: a 2-year, open-label extension study. Int J Clin Pract. 2008;62(10):1499-510.
  69. Salen G, Starc T, Sisk CM, Patel SB. Intestinal cholesterol absorption inhibitor ezetimibe added to cholestyramine for sitosterolemia and xanthomatosis. Gastroenterology. 2006;130(6):1853-7.
  70. Belamarich PF, Deckelbaum RJ, Starc TJ, Dobrin BE, Tint GS, Salen G. Response to diet and cholestyramine in a patient with sitosterolemia. Pediatrics. 1990;86(6):977-81.
  71. Tanaka H, Watanabe Y, Hirano S, Tada H, Nomura A, Kawashiri MA, et al. Sitosterolemia Exhibiting Severe Hypercholesterolemia with Tendon Xanthomas Due to Compound Heterozygous ABCG5 Gene Mutations Treated with Ezetimibe and Alirocumab. Intern Med. 2020;59(23):3033-7.
  72. Nguyen LB, Shefer S, Salen G, Horak I, Tint GS, McNamara DJ. The effect of abnormal plasma and cellular sterol content and composition on low density lipoprotein uptake and degradation by monocytes and lymphocytes in sitosterolemia with xanthomatosis. Metabolism. 1988;37(4):346-51.
  73. Nguyen LB, Shefer S, Salen G, Ness GC, Tint GS, Zaki FG, et al. A molecular defect in hepatic cholesterol biosynthesis in sitosterolemia with xanthomatosis. The Journal of Clinical Investigation. 1990;86(3):923-31.
  74. Salen G, Batta AK, Tint GS, Shefer S, Ness GC. Inverse relationship between plasma cholestanol concentrations and bile acid synthesis in sitosterolemia. J Lipid Res. 1994;35(10):1878-87.

 

Thyroid Hormone Serum Transport Proteins

ABSTRACT

 

Thyroid hormone (TH) effects are dependent on the quantity of the hormone that reaches the tissues, hormone activation, and the availability of unaltered TH receptors in the cell’s nuclei and cytoplasm. Since TH enters the cell unbound, the concentration of free rather than total hormone reflects more accurately the activity level of TH-dependent processes. Under normal conditions, changes in free hormone level are adjusted by appropriate stimulation or suppression of hormone secretion and disposal. Total TH concentration in serum is normally kept at a level proportional to the concentration of carrier proteins, and appropriate to maintain a constant free hormone level. 

 

INTRODUCTION

 

Most carrier protein dependent alterations in total hormone concentration in serum are due to quantitative changes in the hormone-binding proteins and less commonly to changes in affinities for the hormone.  Since wide fluctuations in the concentration of TH carrier proteins does not alter the hormonal economy or metabolic status of the subject (1), their function is open to speculation.  They are responsible for the maintenance of a large extrathyroidal pool of TH of which only the minute, <0.5 % fraction of free hormone is immediately available to tissues.  It can be estimated that in the absence of binding proteins the small extrathyroidal T4 pool would be significantly reduced, if not completely depleted in a matter of hours following a sudden cessation of hormone secretion.  In contrast, in the presence of normal concentrations of T4-binding serum proteins, and in particular thyroxine-binding globulin (TBG), a 24-h arrest in hormonal secretion would bring about a decrease in the concentration of T4 and T3 in the order of only 10 and 40 per cent, respectively.  Thus, it seems logical to assume that one of the functions of T4-binding proteins in serum is to safeguard the body from the effects of abrupt fluctuations in hormonal secretion.  The second likely function of T4-binding serum proteins is to serve as an additional protection against iodine wastage by imparting macromolecular properties to the small iodothyronine molecules, thus limiting their urinary loss (2).  The lack of high affinity T4-binding proteins in fish (3), for example, may be teleologically attributed to the greater iodine abundance in their natural habitat.  Liver perfusion studies suggest a third function, that facilitating the uniform cellular distribution of T4, allowing for changes in the circulating thyroid hormone level to be rapidly communicated to all cells within organ tissues (4).  A fourth function, modeled after the corticosteroid-binding globulin (5), is targeting the amount of hormone delivery by site specific, enzymatic, alteration of TBG.  Indeed neutrophil derived elastase transforms TBG into a heat resistant, relaxed, form with reduced T4-binding affinity (6).  TBG was found to have a putative role on the testicular size of the boar.  In fact, Meishan pigs with histidine rather than an asparagine in codon 226 have a TBG with lower affinity for T4, smaller testes and earlier onset of puberty (7, 8).

 

In normal man, approximately 0.03 per cent of the total serum T4, and 0.3 per cent of the total serum T3 are present in free or unbound form (3, 9).  The major serum thyroid hormone-binding proteins are thyroxine-binding globulin [TBG or thyropexin], transthyretin [TTR or thyroxine-binding prealbumin (TBPA)], and albumin (HSA, human serum albumin)(10).  Several other serum proteins, in particular high density lipoproteins, bind T4 and T3 as well as rT3 (9, 11) but their contribution to the overall hormone transport is negligible in both physiological and pathological situations.  In term of their relative abundance in serum, HSA is present at approximately 100-fold the molar concentration of TTR and 2,000-fold that of TBG.  However, from the view point of the association constants for T4, TBG has highest affinity, which is 50-fold higher than that of TTR and 7,000-fold higher that of HSA.  As a result, TBG binds 75% of serum T4, while TTR and HSA binds only 20% and 5%, respectively (Table 1).  The distribution of the iodothyronine metabolites among the three serum binding proteins is distinct (12). According to their affinity, T4 > tetraiodothyroacetic acid (TETRAC or T4A) = 3,3’,5’-triiodothyronine (reverse T3 or rT3) > T3 > triiodothyroacetic acid (TRIAC or T3A) = 3,3’-diiodothyronine (T2) > 3-monoipdothyronine (T1) = 3,5-T2 > thyronine (T0) for TBG (IC50-range: 0.36 nM to >100 lM) and T4A > T4 = T3A > rT3>T3 > 3,3’-T2 > 3-T1 > 3,5-T2 > T0 for transthyretin (IC50-range: 0.94 nM to >100 lM).  TBG, transthyretin, and albumin were not associated with T0, 3-T1, 3,3-T2, rT3, and T4A.  From evolutionary point of view, the three iodothyronine-binding serum proteins developed in reverse order of their affinity for T4, HSA being the oldest (13).

 

Table 1. Some Properties and Metabolic Parameters of the Principal TH-Binding Proteins in Serum

 

TBG

TTR

HSA

Molecular weight (K daltons)

54*

55

66.5

Structure

Monomer

Tetramer

Monomer

Carbohydrate content (%)

20

 

 

Number of binding sites for T4 and T3

1

2

4

Association constant, Ka (M-1)

 

 

 

       For T4

1 x 1010

2 x 108**

1.5 x 106**

       For T3

1 x 109

1 x 106

2 x 105

Concentration in serum

 

 

 

         (mean normal, mg/liter)

16

250

40,000

Relative distribution of T4 and T3 in serum (%)

 

 

 

       For T4

75

20

5

       For T3

75

<5

20

In-Vivo Survival

 

 

 

Half‑life (days)

5***

2

15

Degradation rate (mg/day)

15

650

17,000

 *Apparent molecular weight on acrylamide gel electrophoresis 60 K daltons.

 **Value given is for the high affinity binding site only.

***Longer under the influence of estrogen.

 

The existence of inherited TH-binding protein abnormalities was recognized 1959, with the report of a family with TBG-excess (14) but it took 30 years before the first mutation in the TBG (serine protease inhibitor, SERPIN A7) gene was identified (15).  Genetic variants of TH-binding proteins having different capacity or affinity for their ligands than the common type protein result in euthyroid hyper- or hypo-iodothyroninemia.  The techniques of molecular biology have traced these abnormalities to polymorphisms or mutations in genes encoding TBG and TTR and HSA (see Chapter on Defects of Thyroid Hormone Transport in Serum).

 

THYROXINE-BINDING GLOBULIN (TBG)

 

The Molecule, Structure and Physical Properties  

 

TBG is a 54 kD acidic glycoprotein migrating in the inter-α-globulin zone on conventional electrophoresis, at pH 8.6.  The term, thyroxine-binding globulin, is a misnomer since the molecule also binds T3 and reverse T3.  It was first recognized to serve as the major thyroid hormone transport protein in serum in 1952 (16).  Since TBG binds 75% of serum T4 and T3, quantitative and qualitative abnormalities of this protein have most profound effects on the total iodothyronine levels in serum.  Its primary structure was deduced in 1989 from the nucleotide sequence of a partial TBG cDNA and an overlapping genomic DNA clones (17).  However, it took 17 years to characterize its three dimensional structure by crystallographic analysis (18) (Fig. 1).

 

Figure 1. Structure of the TBG molecule: Reactive loop (in yellow). Insertion occurs following its cleavage by proteases to give an extra strand in the main sheet of the molecule but the T4-binding site can still retain its active conformation. This is in keeping with other findings showing that the binding and release of T4 is not due to a switch from an on to an off conformation but rather results from an equilibrated change in plasticity of the binding site. So, the S-to-R change in TBG results in a 6 -fold decrease but not a total loss of affinity. The important corollary is that that the release of thyroxine is a modulated process as notably seen in response to changes in temperature (19). (Courtesy of Dr, R.W. Carrell),

TBG is synthesized in the liver as single polypeptide chain of 415 amino acids.  The mature molecule, minus the signal peptide, is composed of 395 amino acids (44 kD) and four heterosaccharide units with 5 to 9 terminal sialic acids.  The carbohydrate chains are not required for hormone binding but are important for the correct post-translational folding and secretion of the molecule (20, 21) and are responsible for the multiple TBG isoforms (microheterogeneity) present on isoelectric focusing (22, 23).  The isoelectric point of normal TBG ranges from pH 4.2 to 4.6, however, this increases to 6 when all sialic acid residues are removed.

 

The protein is very stable when stored in serum, but rapidly loses its hormone binding properties by denaturation at temperatures above 55°C and pH below 4.  The half-life of denaturation at 60°C is approximately 7 min but association with T4 increases the stability of TBG (24-26).  TBG can be measured by immunometric techniques or saturation analysis using one of its iodothyronine ligands (26-28).

 

The tertiary structure of TBG was solved by co-crystallizing the in-vitro synthesized non-glycosylated molecule with T4 and speculations regarding the properties of TBG and its variants have been confirmed (18, 19). The molecule caries T4 in a surface pocket held by a series of hydrophobic interactions with underlying residues and hydrogen bonding of the aminoproprionate of T4 with adjacent residues (Figure 1). TBG differs from other members of the SERPIN family in having the upper half of the main ß-sheet completely opened. This allows the reactive center peptide loop to move in and out of the sheet, resulting in binding and release of the ligand without cleavage of TBG. Thus the molecule can assume a high-affinity and a low-affinity conformation, a model proposed earlier by Grasberger et al (29) and confirmed crystallographically (18). This reversibility is due to the unique presence of P8 proline in TBG, rather than a threonine in all other SERPINs, limiting loop insertion.  The coordinated movements of the reactive loop, hD, and the hormone-binding site allow the allosteric regulation of hormone release.

 

Gene Structure and Transcriptional Regulation

 

The molecule is encoded by a single gene copy located in the long arm of the human X-chromosome (Xq22.2) (30, 31).  The gene consists of 5 exons spanning 5.5kbp (Fig. 2).  The first exon is a small and non-coding.  It is preceded by a TATAA box and a sequence of 177 nucleotides containing an hepatocyte transcription factor-1 (HNF-1) binding motif that imparts to the gene a strong liver specific transcriptional activity (32).  The numbers and size of exons, their boundaries and types of intron splice junctions as well as the amino acid sequences they encode are similar to those of other members of the SERPIN family, to which TBG belongs (32).  These include cortisol-binding globulin and the serine protease inhibitors, α1-antitrypsin (α1AT) and α1-antichymotrypsin (α1ACT).

 

Figure 2. A. Genomic organization and chromosomal localization of thyroid hormone serum binding proteins. Filled boxes represent exons. Location of initiation codons and termination codons are indicated by arrows. B. Structure of promoter regions with the location of cis-acting transcriptional regulatory elements. Reproduced with permission from Hayashi and Refetoff, Molecular Endocrinology: Basic concepts and clinical correlations, Raven Press Ltd. 1995.

Biological Properties

 

The TBG molecule has a single iodothyronine binding site with affinity slightly higher for T4 than for T3 (33) (Table 1). Optimal binding activity requires the presence of the L-alanine side chain, an unsubstituted 4'-hydroxyl group, a diphenyl ether bridge, and halogen (I or Br) constituents at the 3,5,3' and 5' positions (34).  Compared to L-T4, 3,3’,5’-triiodothyronine (rT3) binds to TBG with ~40% higher affinity, D-T4 with half that of the L-isomer and tetraiodothyroacetic acid with ~25%.  A number of organic compounds compete with thyroid hormone-binding to TBG.  Most notable are: 5,5‑diphenylhydantoin (35), 1,8-anilinonaphthalenesulfonic acid, and salicylates (36).  While reversible flip-flop conformational changes of TBG allow for binding and release of the hormone ligand, cleavage of the molecule by leukocyte elastase produces a permanent change in the properties of the molecule.  This modified form has reduced T4-binding and increased heat stability (6).

 

Denatured TBG does not bind iodothyronines but can be detected with antibodies that recognize the primary structure of the molecule (26).  In euthyroid adults with normal TBG concentration, about one-third of the molecules carry thyroid hormone, mainly T4.  When fully saturated, it carries about 20 µg of T4/dl of serum.  The biologic half-life is about 5 days, and the volume of distribution is similar to that of albumin (37, 38) (Table 1).  TBG is cleared by the liver.  Loss of sialic acid accelerates its removal through interaction with the asialo-glycoprotein receptors reducing the half live by 500-fold (24).  However, it is unknown whether desialylation is a required in the normal pathway of TBG metabolism.

 

Physiology

 

TBG concentration in the serum of normal adults ranges from 1.1 to 2.1 mg/dl (180 - 350 nM), 14 - 26 µg T4/dl in terms of maximal T4-binding capacity.   The protein is present in serum of the 12th week old fetus and in the newborn until 2-3 years of age it is about 1.5 times the normal adult concentration (39-41).  TBG levels decline slightly reaching a nadir during mid-adulthood and tend to rise with further advance in age (42).  Variable amounts of TBG, though much smaller than those in serum, have been detected in amniotic fluid (43), cerebrospinal fluid (44) and urine (45).

 

Estrogen excess, either from an endogenous source (hydatidiform mole, estrogen-producing tumors, etc.) or exogenous (therapeutic or birth control use) is the most common cause of increased serum TBG concentration.  The level of several other serum proteins such as corticosteroid-binding globulin, testosterone-binding globulin, ceruloplasmin, and transferrin, are also increased (46).  This effect of estrogen is mediated through an increase in the complexity of the oligosaccharide residues in TBG together with an increase in the number of sialic acids resulting in prolonged biological half-life (47, 48).  Androgens and anabolic steroids produce an opposite effect (49, 50).  Although sex hormones affect the serum level of TBG, gender differences are small except during pregnancy during which concentrations are on the average 2.5-fold the normal value (28, 51).  Extreme changes in TBG concentration (low or high) alters the accuracy of immunometric measurements of free iodothyronines and particularly that of T3 (52).

 

Acquired TBG Abnormalities

 

Altered synthesis, degradation, or both are responsible for the majority of acquired TBG abnormalities (38).  Severe terminal illness is undoubtedly the most common cause for acquired decrease in TBG concentration.  Interleukin-6, a stimulator of acute phase reactants, is a candidate for mediation of this effect (53).  In vivo studies in man showed a reduction in the turnover of TBG in hypothyroidism and an increase in hyperthyroidism (37, 38).  Thus, alterations in the degradation rate, rather than changes in the rate of synthesis, may be responsible for the changes of TBG concentration observed in these two conditions.

 

Partially desialylated TBG, has slow electrophoretic mobility (sTBG, not to be confused with the variant TBG-S), and was found in the serum of some patients with severe liver disease (54) and may be present in relatively higher proportion than TBG in serum of patients with a variety of non-thyroidal illnesses and particularly those with compromised hepatocellular function (55).  This is not surprising considering that sTBG is removed by the asialoglycoprotein receptors present in abundance on liver cells (24, 56).

 

Patients with the carbohydrate-deficient glycoprotein (CDG) syndrome show a characteristic cathodal shift in the relative proportion of TBG isoforms compatible with diminished sialic acid content (57).  This inherited syndrome presenting psychomotor retardation, cerebellar hypoplasia, peripheral sensorimotor neuropathy, and variably, retinitis pigmentosa, skeletal abnormalities and lipodystrophy (58), manifests also abnormalities of charge and mass in a variety of serum glycoproteins (59).

 

TRANSTHYRETIN (TTR)

 

The Molecule, Structure and Physical Properties 

 

TTR is a 55kD homotetramer which is highly acidic although it contains no carbohydrate.  Formerly known as thyroxine-binding prealbumin (TBPA), for its electrophoretic mobility anodal to albumin, was first recognized to bind T4 in 1958 (60).  Subsequently it was demonstrated that TTR also forms a complex with retinol-binding protein and thus plays a role in the transport of vitamin A (retinol, or trans retinoic acid) (61, 62).

 

TTR circulates in blood as a stable tetramer of identical subunits, each containing 127 amino acids (63).  Although the tetrameric structure of the molecule was demonstrated by genetic studies (64, 65), detailed structural analysis is available through X-ray crystallography (66, 67) (Fig. 3).  Each TTR subunit has 8 ß-strands four of which form the inner sheet and four the outer sheet.  The four subunits form a symmetrical ß-barrel structure with a double trumpeted hydrophobic channel that traverses the molecule forming the two iodothyronine binding sites.  Despite the apparent identity of the two iodothyronine binding sites, TTR usually binds only one T4 molecule because the binding affinity of the second site is greatly reduced through a negative cooperative effect (69).  The TTR tetramer can bind four molecules of RBP that do not interfere with T4-binding, and vice versa (70).  TTR can be measured by densitometry after its separation from the other serum proteins by electrophoresis, by hormone saturation, and by immunoassays.

 

Figure 3. X-ray structure of TTR. The molecule is a homotetrameric protein composed of four monomers of 127 amino acids. Structurally, in its native state, TTR contains eight stands (A-H) and a small α-helix. The contacts between the dimers form two hydrophobic pockets where T4 binds (T4 channel). As shown in the magnified insert, each monomer contains one small α-helix and eight β-strands (CBEF and DAGH). Adapted from a model; PDB code 1DVQ (68).

Gene Structure and Transcriptional Regulation  

 

TTR is encoded by a single gene copy located on human chromosome 18 (18q11.2-12.1) (63, 71) (Fig. 2).  The gene consists of 4 exons spanning for 6.8kbp.  Knowledge about the transcriptional regulation of the human TTR gene comes from studies of the mouse gene structural and sequence homology which extends to the promoter region (72, 73).  In both species a TATAA box and binding sites for HNF-1, 3 and 4 are located within 150 bp from the transcription start site.

 

Although TTR in serum originates from the liver (74), TTR mRNA is also found in kidney cells, the choroid plexus, meninges, retina, placenta, pancreatic islet cells and fetal intestine (75-78).  TTR constitutes up to 25% of the total protein present in ventricular cerebrospinal fluid where it binds 80% of T4 (79).

 

Biological Properties

 

Despite the 20-fold higher concentration of TTR in serum relative to that of TBG, it plays a lesser role in iodothyronine transport.  In the presence of normal levels of TBG, wide fluctuations in TTR concentration or its removal from serum by specific antibodies has little influence on the concentration of free T4 (80).  Some of the properties of TTR are summarized in Table 1.

 

The first T4 molecule binds to TTR with a Ka of about 100‑fold higher than that for HSA and about 100-fold lesser than that for TBG.  Properties necessary for optimal binding activity include iodines at the 3' and 5' positions and a desamino acid side chain which explain the lower T3 and higher T4A  affinities relative to that of T4 (34, 81).  Non-iodothyronine ligands are also differentially bound, the most notable example being the flavonoid compounds which have a markedly higher binding affinity for TTR than for TBG (82).  Among drugs that compete with T4-binding to TTR are ethacrynic acid, salicylates, 2,4-dinitrophenol, penicillin (83, 84) and perfluoroalkyl substances (85).  The latter have with near equal affinity to TTR and TBG.  Barbital also inhibits iodothyronine binding to TTR.

 

Only 0.5% of the circulating TTR is occupied by T4.  TTR has a relatively rapid turnover (t1/2 = 2 days) and a distribution space similar to that of HSA and TBG (86, 87) except that it also exists in CSF. Hence, acute diminution in the rate of synthesis is accompanied by a rapid decrease of its concentration in serum.

 

Physiology 

 

Normal average concentration in serum is 25 mg/dl, and corresponds to a maximal binding capacity of approximately 300 µg T4/dl.  Changes in TTR concentration have relatively little effect on the serum concentration of serum iodothyronines (80, 88).  There is a distinct reciprocal relationship between acquired changes in TBG and TTR concentration related to gender, age, glucocorticoids, estrogen and androgens (42, 51, 89-91).

 

Acquired TTR Abnormalities 

 

The reduction or serum TTR concentration surpasses that of TBG in major illness, nephrotic syndrome, liver disease, cystic fibrosis, hyperthyroidism, and protein-calorie malnutrition (10, 92-94).  Increased serum TTR concentration can occur in some patients with islet cell carcinoma (95).  Studies on the metabolism of TTR in man, utilizing radioiodinated purified human TTR, indicate that diminished TTR concentration associated with severe illness or stress is due to a decrease in the rate of synthesis or an increase in the rate of degradation, or both (86, 87).

 

HUMAN SERUM ALBUMIN (HSA)

 

The Molecule, Structure and Physical Properties

 

HSA is a 66.5 kD protein synthesized by the liver.  It is composed of 585 amino acids with high content of cystines and charged amino acids but no carbohydrate (96).  The three domains of the molecule can be conceived as three tennis balls packaged in a cylindrical case.

 

Gene Structure and Transcriptional Regulation  

 

HSA is encoded by a single gene copy located on human chromosome 4 (4q11-q13) (97).  The gene contains 15 exons, 14 of which are coding (98) (Fig. 2). The promoter region of the HSA gene has been most intensive studied.  The transcriptional regulation has been best characterized in rodents that share 90% sequence homology with the corresponding human gene, including a distal enhancer element 10 kbp upstream from the promoter region (99).  Binding sites for hepatocyte enriched nuclear proteins, such as HNF-1, C/EBP, and DBP have been identified (100-102).

 

Biological Properties  

 

HSA associates with a wide variety of substances including hormones and drugs possessing a hydrophobic region, and thus the association of TH to HSA can be viewed as nonspecific.  Of the several iodothyronine-binding sites on the HSA molecule, only one has a relatively high affinity for T4 and T3.  Yet these are 10,000-fold inferior to those of TBG (27).  Fatty acids and chloride ions decrease their binding to HSA (27).  The biologic t1/2 of HSA is relatively long (103).  Some of its properties are summarized in Table 1.

 

More than half of the total protein content in serum is HSA.  As a result, it is the principal contributor to the maintenance of the colloid osmotic pressure (96).  It has been suggested that HSA synthesis may be, in part, regulated by a feedback mechanism involving alteration in the colloid osmotic pressure.  Indeed, down-regulation of HSA gene expression has been recently observed during the infusion of macromolecules in the rat (104).

 

Physiology 

 

Because of the low affinity and despite the high capacity of HSA for iodothyronines, its contribution to thyroid hormone transport is relatively minor.  Thus, even the most marked fluctuations of serum HSA concentration, including analbuminemia, have no significant effects on thyroid hormone levels (105).

 

LIPOPROTEINS

 

Lipoproteins bind T4, and to some extent T3 (9, 106). The affinity for T4-binding is similar to that of TTR.  These proteins are estimated to transport roughly 3% of the total T4 and perhaps as much as 6% of the total T3 in serum. The binding site of apolipoprotein A1 is a region of the molecule that is distinct from that portion which binds to the cellular lipoprotein receptors, and the physiological role of such binding is still unclear.

 

ACKNOWLEDGMENTS

 

Supported in part by grants DK-15070 from the National Institutes of Health (USA).

 

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