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Lipid and Lipoprotein Levels in Patients with Covid-19 Infections

ABSTRACT

Numerous studies have observed a decrease in total cholesterol, LDL-C, HDL-C, and apolipoprotein B and A-I levels in patients with COVID-19 infections, similar to what is observed with other infections. In most studies the decrease in LDL-C and/or HDL-C was more profound the greater the severity of the illness. LDL-C and HDL-C levels were inversely correlated with C-reactive protein (CRP) levels i.e., the lower the LDL-C or HDL-C level the higher the CRP levels. Patients with low HDL-C and/or LDL-C levels at admission to the hospital were at an increased risk of developing severe disease compared to patients with high levels. With recovery from COVID-19 infections the serum lipid levels return towards levels present prior to infection. In patients that failed to survive, total cholesterol, LDL-C, and HDL-C levels were lower at admission to the hospital and continued to decline during the hospitalization. In patients with COVID-19 infections the serum triglyceride levels were variable. Lipoprotein (a) levels increase during COVID-19 infections. Several studies using the UK Biobank and other databases have shown that low HDL-C and apolipoprotein A-I levels measured many years prior to COVID-19 infections were associated with an increased risk of COVID-19 infections and death from infection while LDL-C, apolipoprotein B, lipoprotein (a), and triglyceride levels were not consistently found to be significantly associated with an increased risk. A 10 mg/dl increase in HDL-C or apolipoprotein A1 levels was associated with ∼10% reduced risk of COVID-19 infection. It should be noted that these observations are subject to the caveats of confounding variables and reverse causation effecting the results. Several studies have found that homozygosity for apolipoprotein E4/4 is associated with a 2-3- fold increased risk of COVID-19 infections and this increase was not due to dementia or Alzheimer's disease. During the COVID-19 pandemic, diet, exercise, and lipid lowering therapy should be continued. For those who become symptomatic, lipid lowering therapy, if feasible, should also be continued throughout the duration of the illness. Individuals who are naïve to treatment but for whom lipid lowering therapy is indicated should be started on treatment. Whether lipid lowering drugs have beneficial effects when given prior to or during COVID-19 infections is uncertain but randomized controlled studies are in progress. In patients with severe symptoms of COVID-19 who are too ill to take oral medications, lipid lowering medications may be temporarily suspended. Medications should be re-started when the patient has recovered and able to take oral medications. One needs to be aware that certain drugs that are used to treat COVID-19 infections may interact with lipid lowering drugs. Remdesivir and Paxlovid (nirmatrelvir and ritonavir) are metabolized by the Cyp3A4 pathway and statins that are also metabolized by this pathway should be avoided (atorvastatin, simvastatin, and lovastatin). Because drug therapy for patients with COVID-19 infections is rapidly evolving one needs to be alert for potential drug interactions.  

 

INTRODUCTION 

Severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2), the cause of coronavirus disease 2019 (COVID-19), has resulted in a world-wide pandemic. The infection is spread through large respiratory droplets and fine respiratory aerosols. The majority of COVID-19 infections are either asymptomatic or result in only mild disease but in a substantial proportion of patients the infection leads to a respiratory illness requiring hospital care and respiratory support, which can have a fatal outcome. Older age, male gender, obesity, diabetes, cardiovascular disease, and hypertension are some of the pre-existing factors that increase the risk of severe infection and death. As of March 15, 2022, there have been over 6 million deaths worldwide according to the John Hopkins Corona Virus Resource Center.

LIPID ABNORMALITIES IN PATIENTS WITH COVID-19 INFECTIONS

Background

 

Patients with a variety of different infections (gram positive bacterial, gram negative bacterial, viral, tuberculosis, parasites) have similar alterations in plasma lipid levels. Specifically, total cholesterol, LDL-C, and HDL-C levels are decreased while plasma triglyceride levels may be elevated or inappropriately normal for the poor nutritional status (1-12). Apolipoprotein A-I, A-II, and B levels are also reduced (1,7,8). HIV, Epstein-Barr virus, and Dengue fever are viral infections that demonstrate these lipid alterations (13-15). The alterations in lipids correlate with the severity of the underlying infection i.e., the more severe the infection the more severe the alterations in lipid and lipoprotein levels (16-18). During recovery from the infection plasma lipid and lipoprotein abnormalities return towards levels present prior to infection. Of note studies have demonstrated that the degree of reduction in total cholesterol, LDL-C, HDL-C, and apolipoprotein A-I are predictive of mortality in patients with severe sepsis (19-26).

Studies in Patients with COVID-19 

Numerous studies have reported a decrease in total cholesterol, LDL-C, HDL-C, apolipoprotein A-I, and apolipoprotein B levels and variable changes in triglycerides in patients with COVID 19 infections (27-43). An NMR analysis in patients with severe COVID-19 infections revealed a decrease in HDL particles particularly low numbers of small HDL particles and a predominance of small LDL particles compared to larger LDL particles (44). In addition to a decrease in HDL levels changes in HDL protein concentrations occur with decreased apolipoprotein A-I, apolipoprotein A-II, pulmonary surfactant-associated protein B, and paraoxonase and increased serum amyloid A and alpha-1 antitrypsin (34,45). With recovery from the acute COVID-19 infection lipid levels return towards levels present prior to infection (27-29,46,47). LDL-C and HDL-C levels were inversely correlated with C-reactive protein (CRP) levels i.e., the lower the LDL-C or HDL-C level the higher the CRP levels (27,28,31,48,49). The lower the HDL-C and LDL-C levels the greater the severity of the COVID-19 infection (28,30-33,36-38,41,47,48,50). Low LDL-C and/or HDL-C levels at admission to the hospital predicted an increased risk of developing severe disease and mortality and in these very ill patients, lipid levels declined during the hospitalization (27,37,38,40,46,48,50,51). In a meta-analysis of 19 studies and a meta-analysis of 22 studies decreased levels of total cholesterol, HDL-C, and LDL-C was associated with severity and mortality in COVID-19 patients (52,53).

 

In patients with COVID-19 infections serum triglyceride levels were variable. This is likely due to the decreased food intake that commonly occurs in ill patients resulting in a decrease in triglyceride levels. Additionally, the timing of when blood samples were obtained, the use of medications that may affect triglyceride levels (for example glucocorticoids or propofol), or the development of disorders that effect triglyceride levels (for example poorly controlled diabetes) could have confounded the triglyceride results. Severe hypertriglyceridemia (triglycerides > 500mg/dL) occurred in 33.3% of patients with COVID-19 associated acute respiratory distress syndrome treated with propofol compared to only 4.3% of patients with non-COVID-19 acute respiratory distress treated with propofol (54). Of note it has been reported that serum triglyceride levels were elevated in patients with mild or severe infections but not in patients with critical illness (respiratory or multiple organ failure and septic shock) (31). In contrast, a study reported that triglyceride levels were higher in patients that died from COVID-19 compared to patients that were critically ill or non-critically ill (50). In another study a severe outcome was associated with lower HDL-C levels and higher triglyceride levels (55). However, a meta-analysis did not find that triglyceride levels were associated with disease severity in patients with COVID-19 (53). NMR analysis in patients with severe COVID-19 infections revealed an increase in triglyceride rich lipoprotein particles primarily due to an increase in the small and very small subfractions (44). Finally, a patient with a mild COVID-19 infection has been reported to develop marked hypertriglyceridemia due to transient inhibition of lipoprotein lipase activity presumably due to the development of autoantibodies against lipoprotein lipase similar to what has been reported in patients with autoimmune disorders such as systemic lupus erythematosus (56).

 

Lipoprotein (a) levels increase during COVID-19 and appear to be associated with an increased risk of venous thromboembolism (57). It had been hypothesized that an increase in Lp(a) could contribute to some of the clinical abnormalities, such as thrombosis, seen during severe COVID-19 infections and these results support that hypothesis (58).  

 

The potential mechanisms by which infections and inflammation alter lipid and lipoprotein levels and the consequences of these alterations are discussed in the Endotext chapter entitled “The Effect of Inflammation and Infection on Lipids and Lipoproteins” (59).

 

Table 1. Effect of COVID-19 Infection on Lipid and Lipoprotein Levels

Triglycerides- Variable but tend to be increased

Total cholesterol- Decreased

HDL-C- Decreased

LDL-C- Decreased

Small dense LDL- Increased

Lp(a)- Increased

Apolipoprotein A-I- Decreased

Apolipoprotein B- Decreased

 

DO PRE-INFECTION LIPID LEVELS PREDISPOSE TO SEVERE COVID-19 INFECTION?

Background

Numerous observational studies have suggested that low LDL-C and/or HDL-C levels increase the risk of developing infections and sepsis (60-72). Of course, it must be recognized that confounding variables could account for this association. For example, unrecognized disease (for example pulmonary or gastrointestinal disorders) could result in decreased HDL-C and LDL-C levels and independently also increase the risk of infections and sepsis.

 

Studies employing a genetic approach to epidemiology, which reduces the risk of confounding variables and reverse causation, have been used to investigate the relationship of lipid levels with the risk of infections and sepsis. In a study by Madsen and colleagues using two common variants in the genes encoding hepatic lipase and cholesteryl ester transfer protein that regulate HDL-C levels found in 97,166 individuals from the Copenhagen General Population Study that low HDL-C levels increased the risk of infection supporting the observational studies that low HDL-C levels increase the risk of infection (66). In studies by Walley and colleagues HMGCoA reductase and PCSK9 genetic variants that decrease LDL-C levels genetically were not associated with an increased mortality from sepsis suggesting that the observational studies linking low LDL-C with sepsis may have been due to confounding variables (70). In support of this contention a study demonstrated that low LDL-C levels were significantly associated with increased risk of sepsis and admission to intensive care unit, however, this association was found to be due to comorbidities (73). Finally, Trinder and colleagues using the UK Biobank data base (407,558 individuals) demonstrated that elevated levels of HDL-C and LDL-C were associated with a reduced risk of infectious disease related hospitalizations similar to prior observational studies while elevated levels of triglycerides were associated with increased risk of infectious disease related hospitalizations (74). However, this study also employed a genetic approach and found that for genetically determined lipid levels, only increased HDL-C levels were significantly associated with a reduced risk of hospitalizations for infectious disease and mortality from sepsis suggesting that HDL could be causally related to infections (74). Taken together these studies demonstrate that low LDL-C levels that are associated with an increased risk of infections are not likely to be a causal association while the low HDL-C levels that are associated with an increased risk of infection appears to be causal.

 

This protective effect of HDL could be due to HDL particles binding lipopolysaccharide and lipoteichoic acid, compounds that mediate the excessive immune activation in sepsis or to the immunomodulatory, antithrombotic, and antioxidant properties of HDL (6,75). Additionally, HDL may have direct effects on viruses that decrease their infectivity by direct viral inactivation, interference with viral entry into the cell, or inhibition of virus-induced cell fusion (76-79). Finally, HDL has an antiviral effect against SARS-CoV-2 (COVID-19) (80). 

COVID-19 Infections

Several studies using the UK Biobank and other databases have shown that elevated HDL-C and apolipoprotein AI levels measured many years prior to COVID-19 infections were associated with a reduced risk of COVID-19 infections while LDL-C, Apo B, lipoprotein (a) and triglyceride levels were not consistently found to be significantly associated with an increased risk (81-89). Hilser and colleagues found that a 10 mg/dl increase in HDL-C or apolipoprotein A1 levels were associated with ∼10% reduced risk of COVID-19 infection (82). In addition, an increased risk of death from COVID-19 infections was also inversely related to HDL-C and apolipoprotein A1 levels (82). Thus, there is consistent evidence that HDL-C and apolipoprotein A1 levels measured many years prior to COVID-19 play a role in determining the risk of developing COVID-19 infections. It should be noted that these were not genetic based analysis so these observations, as discussed above, are subject to the caveats of confounding variables and reverse causation effecting the results.

 

Aung et al reported that genetically higher exposure to LDL-C was related to increased risk of COVID-19 (84) and Zhang and colleagues reported that genetically determined higher total cholesterol and apolipoprotein B levels might increase susceptibility for COVID-19 (90). However, other studies found no evidence supporting an association of genetically induced increases in LDL-C and apolipoprotein B levels with an increased risk for severe COVID-19 infections (82,91-93). Hilser et al was also unable to demonstrate a link between genetically determined HDL-C and triglyceride levels and COVID-19 infection risk (82). Others have also not been able to demonstrate a genetic link of HDL-C, or triglyceride levels with COVID-19 infections (93). However, a Mendelian randomization study found a causal effect of higher serum triglyceride levels on a greater risk of COVID-19 severity (92). Lp(a) genetic risk scores were similar in COVID-19 infected patient and controls (89). Given the variability of results additional studies are required to determine whether LDL-C, apolipoprotein B, apolipoprotein A-I, HDL-C, or triglyceride levels have a causal role in determining the risk or severity of COVID-19 infections.

 

Several studies have found that homozygosity for apolipoprotein E4/4 is associated with a 2-3- fold increased risk of COVID-19 infections and this increase was not due to dementia or Alzheimer's disease (82,94,95). Interestingly, in patients with HIV, apolipoprotein E4/4 is associated with an accelerated disease progression and death compared with apolipoprotein E3/3 (96). Additionally, individuals who are apolipoprotein E3/4 have an increased inflammatory response to toll receptor ligands compared with patients who are apolipoprotein E3/3 (97). The mechanisms by which apolipoprotein E4/4 increases the risk of COVID 19 infections remains to be elucidated.

LIPID LOWERING DRUGS and COVID-19 INFECTIONS  

Detailed information on cholesterol and triglyceride lowering medications is provided in the Endotext chapters entitled “Cholesterol Lowering Drugs” and Triglyceride Lowering Drugs” (98,99). Only information that is of unique importance with regards to lipid lowering drugs and COVID-19 infections will be discussed in this chapter. For a detailed review of lipid lowering drug therapy in COVID-19 patients see “Managing hyperlipidaemia in patients with COVID-19 and during its pandemic: An expert panel position statement from HEART UK” (100).

Statins

Statins have pleiotropic effects, including decreasing inflammation and oxidative stress, improving endothelial function and immune response, and inhibiting the activation of coagulation cascade, all of which could be beneficial in patients infected with SARS-CoV-2 (101,102). In contrast to these potentially beneficial effects, statins upregulate the ACE2 receptor, the receptor that the SARS-CoV-2 virus uses to enter cells, which could potentially increase the severity of the infection (101,102).

 

Because of the possibility that statins could have beneficial effects on COVID-19 infections there have been a large number of observational studies comparing the severity of disease and/or mortality in patients taking statins vs. patients not taking stains. Most meta-analyses have found that statins reduce severity of disease and/or mortality (103-108). It should be appreciated that these observation studies have potential flaws and cannot definitively prove that statins are beneficial in COVID-19 infections. In a single randomized trial statin therapy did not reduce disease severity or mortality compared to placebo (109). It is worth noting that a meta-analysis of 7 randomized trials with 1720 patients examining the effect of statins in sepsis (not COVID-19 infections) did not demonstrate any benefit compared to placebo (110). However, the absence of harm from statin therapy in the majority of the COVID-19 observational studies and in the single randomized trial makes it reasonable to continue statin therapy in COVID-19 infected patients for their well-recognized benefits on cardiovascular disease.

 

One needs to be aware of potential drug interactions with statins and some of the drugs used to treat COVID-19 infections (see table 3) (100). Remdesivir is metabolized by the Cyp3A4 pathway and statins that are also metabolized by this pathway should be avoided (atorvastatin, simvastatin, and lovastatin) (100). With the antiretroviral drug, nirmatrelvir and ritonavir (Paxlovid), it is recommended to avoid statins metabolized by the Cyp3A4 pathway (atorvastatin, simvastatin, and lovastatin) and use low dose rosuvastatin therapy (100). Tocilizumab by inhibiting IL-6 can increase CYP3A4 activity thereby reducing the LDL-C lowering effect of atorvastatin, simvastatin, and lovastatin.Additionally, certain drugs (for example nirmatrelvir and ritonavir) that treat COVID-19 are only used for a short period of time and temporarily stopping statin therapy may be a reasonable approach.

Ezetimibe

A single study reported that patients taking ezetimibe had significantly reduced odds for SARS-CoV-2 hospitalization (OR=0.513, 95% CI 0.375-0.688) (111). The mechanism for this effect is not clear and additional studies are required.

PCSK9 Inhibitors, Evinacumab, and Bempedoic Acid

There is no information with regards to COVID-19 Infections and these cholesterol lowering drugs.

Bile Acid Sequestrants

There is no information with regards to COVID-19 Infections. Because bile acid sequestrants can bind drugs in the GI tract and decrease their absorption, care must be taken when using other oral medications in patients taking bile acid sequestrants.

Fibrates

Fibrates have anti-inflammatory properties (112). In a cohort study fenofibrate did not reduce the severity of COVID-19 infections (113). In patients treated with tocilizumab the use of fibrates should be suspended (100).

Omega-3-Fatty Acids

Omega-3-fatty acids have anti-inflammatory properties (114). In a randomized trial 2 grams per day of Docosahexaenoic acid (DHA) + Eicosapentaenoic acid (EPA) for 2 weeks improved the clinical symptoms of COVID-19 infection and reduced markers of inflammation (C-reactive protein and erythrocyte sedimentation rate) (115). In another randomized trial the administration of 400mg EPA and 200mg DHA per day decreased severity and improved survival in critically ill patients with COVID-19 infection (116). Additional studies are needed to confirm these intriguing results.  

Niacin

There is no information with regards to COVID-19 Infections.

Lomitapide

Lomitapide is metabolized in the liver through CYP3A4 and lomitapide is also an inhibitor of CYP3A4 (100). Therefore, one needs to be concerned about potential drug interactions.  

Volanesorsen

The major side effect of volanesorsen is thrombocytopenia. Studies have suggested that low platelet levels are associated with an increased risk of severe disease and mortality in patients with COVID-19 infections (100). Therefore, it is recommended that volanesorsen therapy be discontinued in patients infected with COVID-19 until the infection resolves.

Future Studies

There are a large number of on-going randomized trials of the effect of lipid lowering drugs in COVID-19 infections (table 2) (117). For details on these trials see reference (117).

 

Table 2. On-Going Randomized Trials of Lipid Lowering Drugs

 

Number of RCTs

Total Number of Patients

Statins

17

18,215

Fibrates

3

1,050

Niacin

5

1,200

Omega-3 fatty acids

14

21,898

RCTs- randomized controlled trials

 

Interaction Between Drugs to Treat COVID-19 and Lipid Lowering Drugs

The effect of various drugs that are used to treat COVID-19 infections and lipid lowering drugs are shown in table 3. Because drug therapy for patients with COVID-19 infections is rapidly evolving one needs to be alert for the use of new drugs with potential drug interactions.

Table 3. Interactions Between Drugs to Treat Covid-19 and Lipid Lowering Drugs

Covid-19 Drugs

Drug Interactions

Nirmatrelvir and Ritonavir (Paxlovid)

Contraindicated with drugs that are highly dependent on CYP3A for clearance and thereby increases levels of lovastatin, simvastatin, and atorvastatin. Also increases levels of rosuvastatin by a different mechanism but can use low dose.

Monoclonal antibodies against spike protein

No drug interactions

Remdesivir (Veklury)

Metabolized by the Cyp3A4 pathway and therefore should avoid lovastatin, simvastatin, and atorvastatin.

Molnupiravir (Movfor)

No drug interactions

Baricitinib (Olumiant)

No drug interactions

Tocilizumab (Actemra)

Deceasing IL-6 can upregulate CYP3A and reduce the activity of lovastatin, simvastatin, and atorvastatin.

Glucocorticoids

No drug interactions

MANAGEMENT OF HYPERLIPIDEMIA DURING THE COVID-19 PANDEMIC

During the COVID-19 pandemic diet and exercise should be continued and there is no reason to stop lipid lowering therapy. Patients on lipid lowering therapy should continue to take their medications and patients who have indications for starting lipid lowering therapy should be started on therapy (100). In patients who are asymptomatic or have only mild symptoms of COVID-19 they should also continue their lipid lowering medications (100). This is particular important as studies have shown an association with influenza and other respiratory infections and myocardial infarctions (118-120). In patients with severe symptoms of COVID-19 who are too ill to take oral medications, lipid lowering medications may be temporarily suspended (100). Medications should be re-started when the patient has recovered and is able to take oral medications.

 

Liver function test abnormalities are frequently observed in patients with severe COVID-19 infections. If the alanine transaminase (ALT) or aspartate transaminase (AST) is greater than 3 times the upper limit of normal lipid lowering therapy should be stopped (100). Creatine kinase measurements should be considered when clinically indicated and in patients who are critically ill. It is recommended that statin therapy be stopped if creatine kinase rises 10-fold (generally to levels above 2000 IU/L) in asymptomatic patients or at a lower level of 5-fold upper limit of normal in symptomatic patients (100).

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Diabetic Neuropathies

ABSTRACT

 

Diabetic neuropathy (DN) is the most common form of neuropathy in developed countries and may affect about half of all patients with diabetes (DM), contributing to substantial morbidity and mortality and resulting in a huge economic burden. DN encompasses multiple different disorders involving proximal, distal, somatic, and autonomic nerves. It may be acute and self-limiting or a chronic, indolent condition.  DN may progress insidiously or present with clinical symptoms and signs that may mimic those seen in many other diseases.  The proper diagnosis therefore requires a thorough history, clinical and neurological examinations, and exclusion of secondary causes. Distal peripheral neuropathy (DPN) is the most common manifestation and is characteristically symmetric, glove and stocking distribution and a length-dependent sensorimotor polyneuropathy. It develops on a background of long-standing chronic hyperglycemia superimposed upon cardiovascular risk factors. Diagnosis is mainly based on a combination of symptoms and signs and occasionally neurophysiological tests are required. Apart from optimizing glycemic control and cardiovascular risk factor management, there is no approved treatment for the prevention or reversal of DPN. Even tight glycemic control at best limits the progression of DPN in patients with type 1 DM, but not to the same extent in type 2 DM. It has been estimated that between 3 and 25% of persons with DM might experience neuropathic pain. Painful DPN can be difficult to treat, and is associated with reduced quality of life, poor sleep, depression, and anxiety. Pharmacotherapy is the mainstay symptomatic treatment for painful DPN. The reported prevalence of diabetic autonomic neuropathy (DAN) varies widely (7.7 to 90%) depending on the cohort studied and the methods used for diagnosis, and can affect any organ system. Cardiovascular autonomic neuropathy (CAN) is significantly associated with overall mortality and with morbidity, including silent myocardial ischemia, coronary artery disease, stroke, DN progression, and perioperative complications. Cardiovascular reflex tests are the criterion standard in clinical autonomic testing.

 

INTRODUCTION

 

Diabetic neuropathy (DN) is the most common and troublesome complication of diabetes mellitus, leading to the greatest morbidity and mortality resulting in a huge economic burden for diabetes care (1,2). It is the most common form of neuropathy in the developed world, accounting for more hospitalizations than all the other diabetes related complications combined. It is the primary risk factor for complications such as foot ulceration, which is responsible for 50-75% of non-traumatic amputations (3). In the United Kingdom, the cost of managing diabetic foot disease is greater than the combined cost of three of the four most common cancers – breast, lung and prostate (4,5). DN is a set of clinical syndromes that affect distinct regions of the nervous system, singly or combined.  It may be silent and go undetected while exercising its ravages; or it may present with clinical symptoms and signs that, although nonspecific and insidious with slow progression also mimics those seen in many other diseases.

 

SCOPE OF THE PROBLEM

 

Diabetic neuropathy results in a variety of syndromes and can be subdivided into focal/multifocal neuropathies, including diabetic amyotrophy, and symmetric polyneuropathies, including sensorimotor polyneuropathy (DPN). The latter is the most common type. The Toronto Diabetic Neuropathy Expert Group defined DPN as a symmetrical, length-dependent sensorimotor polyneuropathy attributable to metabolic and microvascular alterations as a result of chronic hyperglycemia exposure (diabetes) and cardiovascular risk covariates (6).  Its onset is generally insidious, and without treatment the course is chronic and progressive. The loss of small fiber-mediated sensation results in the loss of thermal and pain perception, whereas large fiber impairment results in loss of touch and vibration perception. Sensory fiber involvement may also result in “positive” symptoms, such as paresthesias and pain, although up to 50% of neuropathic patients are asymptomatic. DPN can be associated with the involvement of the autonomic nervous system, i.e., diabetic autonomic neuropathy (7,8) and in its cardiovascular form is associated with at least a three-fold increased risk for mortality (9,10). Cardiac autonomic dysfunction in patients with diabetes is strongly associated with major cardiovascular events and mortality (11).

 

Painful DPN which occurs in up to 34% of patients with diabetes is defined as ‘pain as a direct consequence of abnormalities in the peripheral somatosensory system in people with diabetes’ (12). Persistent neuropathic pain interferes significantly with quality of life (QOL), impairing sleep and recreation; it also significantly impacts emotional well-being, and is associated with – if not the cause of – depression, anxiety, loss of sleep, and noncompliance with treatment (13).  Painful DPN can pose a significant clinical management challenge and if poorly managed can lead to mood and sleep disturbances. Hence, recognition of psychosocial problems that co-exist with neuropathic pain is critical to the management of painful DPN. For many patients, optimal management of chronic pain may require a multidisciplinary team approach with appropriate behavioral therapy, as well as input from a broad range of healthcare professionals (14). 

 

CLASSIFICATION OF DIABETIC NEUROPATHIES

 

Figure 1 and Table 1 describe the classification first proposed by PK Thomas (15) and modified in a recent Position Statement by the American Diabetes Association (16).

Figure 1. Classification of diabetic neuropathy

 

Table 1.  Classification of Diabetic Neuropathies

A. Diffuse neuropathy

  Distal Symmetrical Peripheral Neuropathy

   • Primarily small-fiber neuropathy

   • Primarily large-fiber neuropathy

   • Mixed small- and large-fiber neuropathy (most common)

  Autonomic

   Cardiovascular

    • Reduced Heart Rate Variability

    • Resting tachycardia

    • Orthostatic hypotension

    • Sudden death (malignant arrhythmia)

   Gastrointestinal

    • Diabetic gastroparesis (gastropathy)

    • Diabetic enteropathy (diarrhea)

    • Colonic hypomotility (constipation)

   Urogenital

    • Diabetic cystopathy (neurogenic bladder)

    • Erectile dysfunction

    • Female sexual dysfunction

   Sudomotor dysfunction

    • Distal hypohydrosis/anhidrosis,

    • Gustatory sweating

   Hypoglycemia unawareness

   Abnormal pupillary function

B. Mononeuropathy (mononeuritis multiplex) (atypical forms)

            Isolated cranial or peripheral nerve (e.g., Cranial Nerve III, ulnar, median, femoral, peroneal)

      Mononeuritis multiplex (if confluent may resemble polyneuropathy)

C. Radiculopathy or polyradiculopathy (atypical forms)

            Radiculoplexus neuropathy (a.k.a. lumbosacral polyradiculopathy, proximal motor amyotrophy)

      Thoracic radiculopathy

D. Nondiabetic neuropathies common in diabetes

          Pressure palsies

          Chronic inflammatory demyelinating polyneuropathy

          Radiculoplexus neuropathy

          Acute painful small-fiber neuropathies (treatment-induced)

 

NATURAL HISTORY OF DIABETIC NEUROPATHIES (DN)

 

The natural history of DPN remains poorly understood, as there are few prospective studies that have examined this. The main reason for this is the lack of standardized methodologies for the diagnosis of DPN. Unlike diabetic retinopathy and nephropathy, the lack of simple, accurate and readily reproducible methods of measuring neuropathy is a major challenge. Furthermore, the methods currently used are not only subjective and reliant on the examiner’s interpretation but tend to diagnose DPN when it’s already well established. Nevertheless, it appears that the most rapid deterioration of nerve function occurs soon after the onset of type 1 diabetes; then within 2-3 years there is a slowing of the progress with a shallower slope to the curve of dysfunction (17).  In contrast, in type 2 diabetes, slowing of nerve conduction velocities (NCVs) may be one of the earliest neuropathic abnormalities and often is present even at diagnosis.  In fact, there is accumulating evidence that indicates that the risk of DPN is increased even in patients with prediabetes. In a large population study conducted in Augsburg, Southern Germany, the prevalence of DPN was 28% in subjects with known diabetes, 13% in impaired glucose tolerance (IGT), 11% among those with impaired fasting glucose and 7% in those with normal glucose tolerance (18). After diagnosis, slowing of NCV generally progresses at a steady rate of approximately 1 m/sec/year, and the level of impairment is positively correlated with duration of diabetes. Moreover, nerve conduction velocities remained stable with intensive therapy but decreased significantly with conventional therapy (19,20). In a long term follow up study of type 2 diabetes patients (9), electrophysiologic abnormalities in the lower limb increased from 8% at baseline to 42% after 10 years; in particular, a decrease in sensory and motor amplitudes (indicating axonal destruction) was more pronounced than the slowing of the NCVs. However, there now appears to be a decline in this rate of evolution. It appears that host factors pertaining to general health, management of risk factors and nerve nutrition are changing/improving. This is particularly important when doing studies on the treatment of DPN, which have always relied on differences between drug treatment and placebo, and have apparently been successful because of the decline in function occurring in placebo-treated patients (21).  Recent studies have pointed out the changing natural history of DPN with the advent of therapeutic lifestyle change and the use of statins and ACE inhibitors, which have slowed the progression of DPN and drastically changed the requirements for placebo-controlled studies (22,23).  It is also important to recognize that DPN is a disorder wherein the prevailing abnormality is loss of axons that electrophysiologically translates to a reduction in amplitudes and not conduction velocities; therefore, changes in NCV may not be an appropriate means of monitoring progress or deterioration of nerve function.  Moreover, small, unmyelinated nerve fibers are affected early in DM and are not assessed in NCV studies. Other methods such as quantitative sensory testing, autonomic function testing, skin biopsy with quantification of intraepidermal nerve fibers (IENF), or corneal confocal microscopy are necessary to identify these patients. These techniques will be discussed in greater depth later in this chapter.

 

Although, the true prevalence is unknown and reports vary, it is estimated to be 30% with a range between 6-54% of patients with diabetes (24). It largely depends on the criteria and sensitivity of the diagnostic tests used to define neuropathy, the population (e.g., hospital/community or urban/rural), or the country surveyed and even the etiology of diabetes (24,25). Eleven to 13% of patients reported DN using a questionnaire based survey (26,27); 42-54% were found to have neuropathy when more sensitive measures such as nerve conduction studies were used (28,29). Neurologic complications occur equally in type 1 and type 2 diabetes mellitus and additionally in various forms of acquired diabetes (30).

 

The major morbidity associated with somatic neuropathy is foot ulceration, the precursor of gangrene and limb loss. Neuropathy increases the risk of amputation 1.7 fold; 12 fold if there is deformity (itself a consequence of neuropathy), and 36 fold if there is a history of previous ulceration (31). For more than a decade now, it has been recognized that a limb is lost to diabetes every 30 seconds worldwide (32). According to the International Diabetes Federation (IDF), lower-limb amputations are ten times more common in people with diabetes than in people without diabetes (32, 33). Each week in England there is about 169 amputations in people with diabetes and almost all of these individuals have DN (34). Amputation is not only devastating in its impact on the individual and their family, but also leads to loss of independence and livelihood. In low-income countries, the financial costs can be equivalent to 5.7 years of annual income, potentially resulting in financial ruin for individuals and their families (35). DN also places a substantial financial burden on health-care systems and society in general.

 

MODIFIABLE RISK FACTORS FOR DPN INCIDENCE AND PROGRESSION

 

In both type 1 and 2 diabetes, chronic hyperglycemia has a key role in the pathogenesis of DPN (36). The benefit of glucose lowering is, however, more pronounced in type 1 diabetes (78% relative risk reduction) (37) compared to type 2 (5-9% relative risk reduction) (38). In fact, the benefit of intensive glucose lowering is greatest in younger patients at early stages of the disease. This treatment effects becomes weaker once nerve damage is established. The relationship between glycemic control and DPN in type 2 diabetes is less clear cut. Even when trials have shown that tighter glucose control might have a modest beneficial effect in preventing progression of DPN in type 2 diabetes, such as the Action to Control Cardiovascular Risk in Diabetes (ACCORD) study (39), confusion has arisen when it was reported that a self-reported history of DPN at baseline was associated with an increased risk of mortality with intensive glycemic treatment (40). This highlights the differences between the pathogenesis of DPN in type 1 and 2 diabetes and emphasizes the point that many people with type 2 diabetes develop DPN despite adequate glucose control. The presence of other risk factors, weight gain and multiple comorbidities may have significant roles to play. Although hyperglycemia and duration of diabetes play an important role in DPN, other risk factors have been identified. The EURODIAB Prospective Complications study in type 1 diabetes demonstrated that the incidence of DPN is associated with other potentially modifiable cardiovascular risk factors, including hypertriglyceridemia, hypertension, obesity and smoking (41). More recently, data from the ADDITION study also implicated similar cardiovascular risk factors in the pathogenesis of DPN in type 2 diabetes (26).

 

PATHOGENESIS OF DIABETIC NEUROPATHIES

 

Despite considerable research, the pathogenesis of diabetic neuropathy remains undetermined (42).  This is one reason why, despite several clinical trials, there has been relatively little progress in the development of disease-modifying treatments (43). Historically, a number of causative factors have been identified including persistent hyperglycemia, microvascular insufficiency, oxidative and nitrosative stress, defective neurotrophism, and autoimmune-mediated nerve destruction.  Figure 2 summarizes our current view of the pathogenesis of DPN (44). Detailed discussion of the different theories is beyond the scope of this Chapter and there are several excellent recent reviews (45).

Figure 2. Pathogenesis of diabetic neuropathies. Ab, antibody; AGE, advance glycation end products; C’, complement; DAG, diacylglycerol; ET, endothelin; EDHF, endothelium-derived hyperpolarizing factor; GF, growth factor; IGF; insulin-like growth factor; NFkB, nuclear factor kB; NGF, nerve growth factor; NO, nitric oxide; NT3, neurotropin 3; PKC, protein kinase C; PGI2, prostaglandin I2; ROS, reactive oxygen species; TRK, tyrosine kinase.

CLINICAL PRESENTATION

 

The spectrum of clinical neuropathic syndromes described in patients with diabetes mellitus includes dysfunction of almost every segment of the somatic peripheral and autonomic nervous system (16). Each syndrome can be distinguished by its pathophysiologic, therapeutic, and prognostic features.

 

Focal and Multifocal Neuropathies

 

Focal neuropathies comprise focal limb neuropathies and cranial neuropathies.

Focal limb neuropathies are usually due to entrapment, and mononeuropathies must be distinguished from these entrapment syndromes (Table 2) (46). Mononeuropathies often occur in the older population; they have an acute onset, are associated with pain, and have a self-limiting course resolving in 6–8 weeks. Mononeuropathies can involve the median (5.8% of all diabetic neuropathies), ulnar (2.1%), radial (0.6%), and common peroneal nerves (47). Cranial neuropathies in patients with diabetes are extremely rare (0.05%) and occur in older individuals with a long duration of diabetes (48). The commonest cranial neuropathy is the third nerve palsy and patients present with acute onset unilateral pain in the orbit or sometimes with a frontal headache. There is typically ptosis and ophthalmoplegia, although the pupillary response to light is usually spared. Recovery occurs usually over three months (48). The clinical onset and time-scale for recovery, and the focal nature of the lesions on the third cranial nerve, on post-mortem studies suggested an ischemic etiology.  It is important to exclude any other cause of third cranial nerve palsy (aneurysm or tumor) by CT or MR scanning, where the diagnosis is in doubt. Fourth, sixth and seventh cranial nerve palsies have also been described in patients with diabetes, but the association with diabetes is not as strong as that with third cranial nerve palsy.

 

Table 2. Distinguishing Characteristics of Mononeuropathies, Entrapment Syndromes and Distal Symmetrical Polyneuropathy

Feature

Mononeuropathy

Entrapment syndrome

Neuropathy

Onset

Sudden

Gradual

Gradual

Pattern

Single nerve but may be multiple

Single nerve exposed to trauma

Distal symmetrical poly neuropathy

Nerves involved

CN III, VI, VII, ulnar, median, peroneal

Median, ulnar, peroneal, medial and lateral plantar

Mixed, Motor, Sensory, Autonomic

Natural history

Resolves spontaneously

Progressive

Progressive

Treatment

Symptomatic

Rest, splints, local steroids, diuretics, surgery

Tight Glycemic control, Pregabalin, Duloxetine, Antioxidants, “Nutrinerve”, Research Drugs.

Distribution of Sensory loss

Area supplied by the nerve

Area supplied beyond the site of entrapment

Distal and symmetrical. “Glove and Stocking” distribution.

CN, cranial nerves; NSAIDs, non-steroidal anti-inflammatory drugs

 

Entrapment Syndromes

 

These start slowly and will progress and persist without intervention. A number of nerves including the median, ulnar, radial, lateral femoral cutaneous, fibular, and plantar nerves are vulnerable to pressure damage in diabetes. The etiology is multifactorial involving metabolic and ischemic factors, impaired reinnervation, and even obesity. Carpal tunnel syndrome occurs three times as frequently in people with diabetes compared with healthy populations (49) and is found in up to one third of patients with diabetes.  Its increased prevalence in diabetes may be related to repeated undetected trauma, metabolic changes, or accumulation of fluid or edema within the confined space of the carpal tunnel. The diagnosis is confirmed by electrophysiological studies. Treatment consists of rest, aided by placement of a wrist splint in a neutral position to avoid repetitive trauma.  Anti-inflammatory medications and steroid injections are sometimes useful. Surgery should be considered if weakness appears and medical treatment fails (50).  It consists of sectioning the volar carpal ligament or unentrapping the nerves in the ulnar canal or the peroneal nerve at the head of the fibula and release of the medial plantar nerve in the tarsal tunnel amongst others. A more detailed review of other peripheral nerves vulnerable to entrapment in anatomically constraint channels are discussed elsewhere (51).

 

Proximal Motor Neuropathy (Diabetic Amyotrophy) and Chronic Demyelinating Neuropathies

 

For many years proximal neuropathy has been considered a component of DN.  Its pathogenesis was ill understood (52), and its treatment was neglected with the anticipation that the patient would eventually recover, albeit over a period of some 1-2 years and after suffering considerable pain, weakness and disability. The condition has a number of synonyms including diabetic amyotrophy and femoral neuropathy.  It can be clinically identified based on the occurrence of these common features: 1) primarily affects those aged 50 to 60 years old with type 2 diabetes; 2) onset can be gradual or abrupt; 3) presents with severe pain in the thighs, hips and buttocks, followed by significant weakness of the proximal muscles of the lower limbs with inability to rise from the sitting position (positive Gower's maneuver); 4) can start unilaterally and then spread bilaterally; 5) often coexists with distal symmetric polyneuropathy; and 6) is characterized by muscle fasciculation, either spontaneous or provoked by percussion. Pathogenesis is not yet clearly understood although immune-mediated epineural microvasculitis has been demonstrated in some cases. Despite limited evidence of efficacy some immunosuppressive therapy is recommended using high dose steroids or intravenous immunoglobulin (53). Close monitoring and appropriate management of blood glucose is advised if high dose steorids are used (54). The condition can occur secondary to a variety of causes unrelated to diabetes, but which have a greater frequency in patients with diabetes than the general population.  Hence, it is important to exclude other causes such as chronic inflammatory demyelinating polyneuropathy (CIDP), monoclonal gammopathy, circulating GM1 antibodies, and inflammatory vasculitis (55,56). In the classic form of diabetic amyotrophy, axonal loss is the predominant process (57). Electrophysiologic evaluation reveals lumbosacral plexopathy (58). In contrast, if demyelination predominates and the motor deficit affects proximal and distal muscle groups, the diagnoses of CIDP, monoclonal gammopathy of unknown significance, and vasculitis should be considered (59,60).  The diagnosis of these demyelinating conditions is often overlooked although recognition is very important because unlike DN, they are sometimes treatable. Furthermore, they occur 11 times more frequently in patients with diabetes than nondiabetic patients (61,62).  Biopsy of the obturator nerve have revealed deposition of immunoglobulin, demyelination and inflammatory cell infiltrate of the vasa nervorum (63). Cerebrospinal fluid (CSF) protein content is high and lymphocyte count increased.  Treatment options include: intravenous immunoglobulin for CIDP (64), plasma exchange for MGUS, steroids and azathioprine for vasculitis, and withdrawal of drugs or other agents that may have caused vasculitis. It is important to divide proximal syndromes into these two subcategories, because the CIDP variant responds dramatically to intervention (65), whereas amyotrophy runs its own course over months to years. Until more evidence is available, they should be considered separate syndromes.

 

Diabetic Truncal Radiculoneuropathy

 

Diabetic truncal radiculoneuropathy affects middle-aged to elderly patients and has a predilection for male sex (16).  Acute onset of pain is the most important symptom and it occurs in a girdle-like distribution over the lower thoracic or abdominal wall. It can be uni- or bilaterally distributed. Motor weakness is rare but there may be local bulging of the muscle. Patchy sensory loss may be present and other causes of nerve root compression should be excluded. Resolution generally occurs within 4-6 months (16).

 

Rapidly Reversible Hyperglycemic Neuropathy

 

Reversible abnormalities of nerve function may occur in patients with recently diagnosed or poorly controlled diabetes. These are unlikely to be caused by structural abnormalities, as recovery soon follows restoration of euglycemia.  Rapidly reversible hyperglycemic neuropathy usually presents with distal sensory symptoms, and whether these abnormalities result in an increased risk of developing chronic neuropathies in the future remains unknow (8).

 

Generalized Symmetric Polyneuropathy

 

ACUTE SENSORY NEUROPATHY

 

Acute sensory (painful) neuropathy is considered by some authors a distinctive variant of distal symmetrical polyneuropathy (66). The syndrome is characterized by severe pain, cachexia, weight loss, depression and sexual dysfunction. It occurs predominantly in male patients and may appear at any time in the course of both type 1 and type 2 diabetes.  It is self-limiting and invariably responds to simple symptomatic treatment (67). Conditions such as Fabry's disease, amyloidosis, HIV infection, heavy metal poisoning (such as arsenic), and excess alcohol consumption should be excluded. Autonomic nervous system involvement can also occur and can be very disabling.

 

Patients report unremitting burning, deep pain and hyperesthesia especially in the feet. Other symptoms include sharp, stabbing, lancinating pain; “electric shock” like sensations in the lower limbs that appear more frequently during the night; paresthesia; tingling; coldness, and numbness. Signs are usually absent with a relatively normal clinical examination, except for allodynia (exaggerated response to non-noxious stimuli) during sensory testing and, occasionally, absent or reduced ankle reflexes. There are no motor signs and little or no abnormality on nerve conduction studies.

 

Acute sensory neuropathy is usually associated with poor glycemic control but may also appear after sudden improvement of glycemia. Most commonly associated with the onset of insulin therapy, being termed "insulin neuritis",it can also occur with oral hypoglycemic treatment. Patients present with severe neuropathic pain and/or autonomic symptoms with or without an acute worsening of retinopathy.  Although the pathologic basis has not been determined, one hypothesis suggests that changes in blood glucose flux produce alterations in epineural blood flow, leading to ischemia; proinflammatory cytokines from activation of microglia have also been implicated (68). Hence, rapid glycemic changes in patients with uncontrolled diabetes increases the risk of this complication and should be avoided. A 2-3% (10-42mmol/mol) decrease in HbA1c over 3 months is associated with a 20% absolute risk of developing this complication. The risk exceeds 80% with a decreased in HbA1c of >4% (20mmol/mol) (69).  A study using in vivo epineural vessel photography and fluorescein angiography demonstrated abnormalities of epineural vessels including arteriovenous shunting and proliferating new vessels in patients with acute sensory neuropathy (68). Other authors relate this syndrome to diabetic lumbosacral radiculoplexus neuropathy (DLRPN) and propose an immune mediated mechanism (70).

 

The key in the management of this syndrome is achieving and maintaining blood glucose stability (71).  Most patients also require medication for neuropathic pain. The natural history of this disease is resolution of symptoms within one year.

 

CHRONIC SENSORIMOTOR NEUROPATHY OR DISTAL SYMMETRIC POLYNEUROPATY (DPN)

 

The most common form of neuropathy in diabetes is a distal symmetrical polyneuropathy.  It occurs in both type 1 and type 2 DM with similar frequency and may already be present at the time of diagnosis of type 2 DM (18). Sensory symptoms include numbness (‘dead feeling’), paraesthesia, and neuropathic pain (hyperalgesia, allodynia, deep aching, burning and sharp stabbing sensations). Patients do occasionally present paradoxically with a painful/painless leg i.e. painful neuropathic symptoms in the presence of severe sensory loss (72). Symptoms begin in the toes before progressing in a stocking and then a glove distribution as the disease progresses. Unsteadiness or sensory ataxia leading to increased falls risk occurs in advanced neuropathy loss of proprioception, foot deformity, and abnormal muscle sensory function (73). In the absence of painful symptoms, the onset of DPN is insidious whereby patients remain completely asymptomatic and signs discovered by a detailed neurological examination. Unfortunately, DPN is often already established or well advanced when identified by bedside clinical examination.

 

It is critically important to annually (at least) examine the feet of patients with diabetes as loss of protective sensation is the strongest risk factor for diabetic foot ulceration. On physical examination, a symmetrical stocking like distribution of sensory abnormalities in both lower limbs is usually seen. In more severe cases, hands may be involved. All sensory modalities can be affected, particularly vibration, touch and position perceptions (large Aα/β fiber damage); and pain, with abnormal heat and cold temperature perception (small thinly myelinated Aδ and unmyelinated C fiber damage, see Figure 3, 4 and 5; Table 3). Deep tendon reflexes may be absent or reduced, especially in the lower extremities, although this may occur with advancing age in the absence of neuropathy. When DPN is established, small muscle wasting of the foot and extensor halluces longus may be seen but severe weakness is rare and should raise the possibility of a non-diabetic etiology of the neuropathy. High arching of the foot, clawing of the toes with prominent metatarsal heads also become apparent – increasing the risk ulceration (74). A thorough assessment of patient’s footwear is essential. A poor fit, abnormal wear from internal pressure areas and foreign objects found in footwear are common causes of trauma leading to foot ulceration (75).

Figure 3. Clinical presentation of small and large fiber neuropathies. Aα fibers are large myelinated fibers, in charge of motor functions and muscle control. Aα/β fibers are large myelinated fibers too, with sensory functions such as perception to touch, vibration, and position. Aδ fibers are small myelinated fibers, in charge of pain stimuli and cold perception. C fibers can be myelinated or unmyelinated and have both sensory (warm perception and pain) and autonomic functions (blood pressure and heart rate regulation, sweating, etc.)

Figure 4. Clinical manifestations of small fiber neuropathies

Figure 5. Nerve fibers of the skin and their functions

 

Table 3. Subtypes of Neuropathies

Clinical Manifestations of Small Fiber Neuropathies:

•           Small thinly myelinated Aδ and unmyelinated C fibers are affected.

•           Prominent symptoms with burning, superficial, or lancinating pain often accompanied by hyperalgesia, dysesthesia, and allodynia.

•           Progression to numbness and hypoalgesia (Disappearance of pain may not necessarily reflect nerve recovery but rather nerve death, and progression of neuropathy must be excluded by careful examination).

•           Abnormal cold and warm thermal sensation.

•           Abnormal autonomic function with decreased sweating, dry skin, impaired vasomotion and skin blood flow with cold feet.

•           Intact motor strength and deep tendon reflexes.

•           Negative nerve conduction velocity findings.

•           Loss of cutaneous nerve fibers on skin biopsies.

•           Can be diagnosed clinically by reduced sensitivity to 1.0 g Semmes Weinstein monofilament and prickling pain perception using the Waardenberg wheel or similar instrument.

•           Patients at risk of foot ulceration and subsequent gangrene and amputations.

Clinical Manifestations of Large Fiber Neuropathies

•           Large myelinated, rapidly conducting Aα/β fibers are affected and may involve sensory and/or motor nerves.

•           Prominent signs with sensory ataxia (waddling like a duck), wasting of small intrinsic muscles of feet and hands with hammertoe deformities and weakness of hands and feet.

•           Abnormal deep tendon reflexes.

•           Impaired vibration perception (often the first objective evidence), light touch, and joint position perception.

•           Shortening of the Achilles tendon with pes equinus.

•           Symptoms may be minimal: sensation of walking on cotton, floors feeling "strange", inability to turn the pages of a book, or inability to discriminate among coins.  In some patients with severe distal muscle weakness, inability to stand on the toes or heels.

•           Abnormal nerve conduction velocity findings

•           Increased skin blood flow with hot feet.

•           Patients at higher risk of falls, fractures, and development of Charcot Neuroarthropathy

•           Most patients with DPN, however, have a "mixed" variety of neuropathy with both large and small nerve fiber damages.

 

DIAGNOSIS OF DIABETIC NEUROPATHIES

 

Diabetic peripheral neuropathy can be diagnosed by the bedside with careful clinical examination of the feet and legs using simple tools within a few minutes. The basic neurological assessment comprises the general medical and neurological history, inspection of the feet, and neurological examination of sensation using simple semi-quantitative bed-side instruments such as the 10g Semmes-Weinstein monofilament, Neuropen (76) (to assess touch/pressure), NeuroQuick (77) or Tiptherm (78) (temperature), calibrated Rydel-Seiffer tuning fork (vibration), pin-prick (pain), and tendon reflexes (knee and ankle) (Table 4).  In addition, assessment of joint position and motor power should also be assessed. The Rydel Seiffer tuning fork is a 128 Hz tuning fork which allows quantifiable assessment of vibration perception in the feet of diabetic patients. When vibrating, two triangles appear on the graduated scale of 0–8 which join together as the amplitude decreases. The normal range for the graduated tuning fork on the dorsal distal joint of the great toe is ≥5/8 scale units in persons 21-40 years old, ≥4.5/8 in those 41-60 years old, ≥4/8 in individuals 61-71 years old, and ≥3.5/8 scale units in those 72-82 years old (79). In resource, limited settings the simple Ipswich Touch Test can be performed by lightly touching the tips of the first, third and fifth toes (80). It is recommended that a simple foot examination to detect loss of protective foot sensation, pedal pulses, and foot deformity is performed from the diagnosis of type 2 diabetes, 5-years after the diagnosis of type 1 diabetes and annually thereafter (81,82,16). This is performed in order to determine the risk of foot ulceration and prompt early referral for foot protection, regular podiatry or specialist input.

 

Table 4.  Examination - Bedside Sensory Tests

Sensory Modality

Nerve Fiber

Instrument

Associated Sensory Receptors

Vibration

Ab (large)

128 Hz

Tuning fork

Ruffini corpuscle mechanoreceptors

Pain (pinprick)

C (small)

Neuro-tips

Nociceptors for pain and warmth

Pressure

Ab, Aa (large)

1 g and 10 g

Monofilament

Pacinian  corpuscle

Light touch

Ab, Aa (large)

Wisp of cotton

Meissner’s corpuscle

Cold

Ad (small)

Cold tuning fork

Cold thermoreceptors

 

A consensus definition of DPN has been proposed by the Toronto Diabetic Neuropathy Expert Group, see below (6). In a clinical context, the diagnosis of ‘possible’ or ‘probable’ DPN is normally sufficient without the need for specialist investigations. For research purposes further tests are needed for a diagnosis of ‘confirmed’ DPN’, ‘Subclinical’ DPN or small fiber neuropathy.

 

Toronto Classification of DPN (6)

 

1)         Possible DSN: The presence of symptoms or signs of DPN may include the following: symptoms–decreased sensation, positive neuropathic sensory symptoms (e.g., “asleep numbness,” prickling or stabbing, burning or aching pain) predominantly in the toes, feet, or legs; or signs–symmetric decrease of distal sensation or unequivocally decreased or absent ankle reflexes.

 

2)         Probable DPN: The presence of a combination of symptoms and signs of neuropathy including any 2 or more of the following: neuropathic symptoms, decreased distal sensation, or unequivocally decreased or absent ankle reflexes.

 

3)         Confirmed DPN: The presence of an abnormality of nerve conduction and a symptom or symptoms, or a sign or signs, of neuropathy confirm DPN.  If nerve conduction is normal, a validated measure of small fiber neuropathy (with class 1 evidence) may be used. To assess for the severity of DPN, several approaches can be recommended: for e.g., the graded approach outlined above; various continuous measures of sum scores of neurologic signs, symptoms or nerve test scores; scores of functions of activities of daily living; or scores of predetermined tasks or of disability.

 

4)         Subclinical DPN: The presence of no signs or symptoms of neuropathy are confirmed with abnormal nerve conduction or a validated measure of small fiber neuropathy (with class 1 evidence).  Definitions 1, 2, or 3 can be used for clinical practice and definitions 3 or 4 can be used for research studies.

 

5)         Small fiber neuropathy (SFN): SFN should be graded as follows: 1) possible: the presence of length-dependent symptoms and/or clinical signs of small fiber damage; 2) probable: the presence of length-dependent symptoms, clinical signs of small fiber damage, and normal sural nerve conduction; and 3) definite: the presence of length-dependent symptoms, clinical signs of small fiber damage, normal sural nerve conduction, and altered intraepidermal nerve fiber density (IENFD) at the ankle and/or abnormal thermal thresholds at the foot (Figure 4).

 

The following findings should alert the physician to consider causes for DPN other than diabetes and referral for a detailed neurological work-up: 1.) pronounced asymmetry of the neurological deficits, 2.) predominant motor deficits, mononeuropathy, or cranial nerve involvement, 3.) rapid development or progression of the neuropathic impairments, 4.) progression of the neuropathy despite optimal glycemic control, 5.) symptoms from the upper limbs, 6.) family history of non-diabetic neuropathy, and 7.) diagnosis of DPN cannot be ascertained by clinical examination.

 

Conditions Mimicking Diabetic Neuropathy

 

An atypical pattern of presentation of symptoms or signs, i.e., the presence of relevant motor deficits, an asymmetrical or proximal distribution, or rapid progression, always requires referral for electrodiagnostic testing. Furthermore, in the presence of such atypical neuropathic signs and symptoms other forms of neuropathy should be sought and excluded.  A good medical history is essential to exclude other causes of neuropathy: a history of trauma, cancer, unexplained weight loss, fever, substance abuse, or HIV infection suggests that an alternative source should be sought. Screening laboratory tests may be considered: serum B12 with its metabolites, folic acid, thyroid function, full blood count, metabolic profile, and serum free light chains (16).

 

There are a number of conditions that can be mistaken for painful DPN: intermittent claudication in which the pain is exacerbated by walking; Morton’s neuroma, in which the pain and tenderness are localized to the intertarsal space and are elicited by applying pressure with the thumb in the appropriate intertarsal space; osteoarthritis/inflammatory arthritis, in which the pain is confined to the joints, made worse with joint movement or exercise, and associated with morning stiffness that improves with ambulation; radiculopathy in which  the pain originates in the shoulder, arm, thorax, or back and radiates into the legs and feet; Charcot neuropathy in which the pain is localized to the site of the collapse of the bones of the foot, and the foot is hot rather than cold; plantar fasciitis, in which there is shooting or burning in the heel with each step and there is exquisite tenderness in the sole of the foot; and tarsal tunnel syndrome in which the pain and numbness radiate from beneath the medial malleolus to the sole and are localized to the inner side of the foot. These contrast with the pain of DPN which is bilateral, symmetrical, covering the whole foot and particularly the dorsum, and is worse at night interfering with sleep.  

 

Scored Clinical Assessment Tools for Diabetic Peripheral Neuropathy

 

Scored Clinical assessments provide standardized, quantitative, and objective measures to assess for both the severity of symptoms and the degree of neuropathic deficits. These tools which have been subjected to strict validation studies, are sufficiently reproducible but require some minimal training. The most widely used instruments include: the Michigan Neuropathy Screening Instrument Questionnaire (MNSIQ, 15-item self-administered questionnaire), Michigan Neuropathy Screening Instrument (MNSI, MNSIQ plus a structured clinical examination), Michigan Diabetic Neuropathy Score (neurological assessment coupled with nerve conduction studies) (83), Toronto Clinical Neuropathy Score (TCNS, composite score of neuropathy symptoms sensory exam and reflexes) (84), modified TCNS (composite score of neuropathy symptoms and signs) (85), Neuropathy Disability Score (neuropathy signs, including reflexes) (86), Neurological Disability Score (neurological examination of cranial nerves, and upper and lower limbs) (87), the Neuropathy Symptom Score (assessment of sensory, motor and autonomic neuropathy symptoms) (87), and the Neuropathy impairment score (NIS) for neuropathic deficits (impairments) (87). A number of instruments have also been used to assess neuropathic pain and these include: the Neuropathy Total Symptom Score-6 (NTSS-6; measures frequency and intensity of neuropathic symptoms) (88), PainDETECT (patient administered 10-item questionnaire) (89), DN4 (Doleur Neuropathique en 4 Questions; 7 sensory descriptors and 3 clinical signs) (90) and the Neuropathic Pain Symptom Inventory (NPSI; self-administered 12-item questionnaire evaluating different symptoms of neuropathic pain) (91).

 

Objective Devices for the Diagnosis of Neuropathy

 

Nerve conduction studies are the current ‘gold’ standard for the diagnosis of DN. This robust measure also predicts foot ulceration and mortality. However, they are time consuming, labor intensive, costly, and impractical in routine clinical care.

 

Skin biopsy has become a widely used tool to investigate small caliber sensory nerves including somatic unmyelinated intraepidermal nerve fibers (IENF), dermal myelinated nerve fibers, and autonomic nerve fibers in peripheral neuropathies and other conditions (92).  Different techniques for tissue processing and nerve fiber evaluation have been used.  For diagnostic purposes in peripheral neuropathies, the current recommendation is to perform a 3-mm punch skin biopsy at the distal leg and quantification of the linear density of IENF in at least three 50-µm thick sections per biopsy, fixed in 2% PLP or Zamboni's solution, by bright-field immunohistochemistry or immunofluorescence with anti-protein gene product (PGP) 9.5 antibodies (93). Quantification of IENF density appeared more sensitive than sensory nerve conduction study or sural nerve biopsy in diagnosing SFN.

 

Quantitative sensory testing (QST) enables more accurate assessment of sensory deficits - also those related to small fiber function - by applying controlled and quantified stimuli and standardized procedures. Moreover, assessment of thermal thresholds can be a helpful tool in the diagnostic pathway of small fiber polyneuropathy (16).

 

Point of Care Devices for the Diagnosis of DN

 

Significant progress has been made to develop point-of-care (POC) devices that are capable of diagnosing early, subclinical neuropathy. Papanas et al have recently comprehensively reviewed these devices (94). Therefore, we will briefly outline the following devices: the NeuroQuick 77, NeuroPAD (95), NC-Stat DPN-Check (96), Corneal Confocal Microscopy (CCM) (97,98), and Sudoscan (99,100).

 

DPN CHECK

 

The DPN-Check is a novel, user-friendly, handheld POC devices that performs a sural nerve conduction study in three minutes (Figure 6). It is an acceptable proxy to standard nerve conduction studies which are time-consuming, expensive, and often require patients to be seen in specialist’s clinics. The DPN check has been demonstrated to have excellent reliability with an inter- and intra-observer intraclass correlation coefficients of between 0.83 and 0.97 for sensory nerve action potentials respectively (101). It also has good validity with 95% sensitivity and 71% specificity when compared against reference standard nerve conduction study (101) for the diagnosis of DN.

Figure 6. DPN Check device

As detailed above, nerve conduction studies are only an assessment of large nerve fiber function. DPN, on the other hand, usually involves both small and large nerve fibers, with some evidence suggesting small nerve fiber involvement early in its natural history (102,103). Small nerve fibers constitute 80-91% of peripheral nerve fibers and control pain perception, autonomic and sudomotor function. Although intraepidermal nerve fiber density measurement from lower limb skin biopsy is considered the gold standard for the diagnosis of small fiber neuropathy (104,92) it is invasive and hence not suitable for routine screening. However, a number of POC devices have been developed to assess small fiber dysfunction. These include:

 

NEUROQUICK

 

Thinly myelinated Aδ and unmyelinated C-fibers are small caliber nerves that mediate thermal sensation and nociceptive stimuli. Quantitative sensory testing of thermal discrimination thresholds is a non-invasive test used to examine impaired small nerve fiber function. NeuroQuick is a handheld device for quantitative bedside testing of cold thermal perception threshold. It allows near patient assessment of small fiber dysfunction avoiding the use of time-consuming and expensive quantitative sensory testing equipment in a laboratory. To date, one published clinical validation study has been performed in a diabetic population which suggests it is a valid and reliable screening tool for the assessment of small fiber dysfunction (77). Use of NeuroQuick was more sensitive in detecting early DPN compared to the traditional bedside screening tests such as the tuning fork or elaborate thermal testing (77). However, it is a psychophysical test that relies on the cognition/attention of the patient. Furthermore, the coefficients of variation for repeated NeuroQuick measurements ranged between 8.5% and 20.4% (77). Further studies are required to demonstrate whether the NeuroQuick is a useful screening tool to detect small fiber dysfunction in DPN.

 

NEUROPAD    

 

This is a 10-minute test which measures sweat production on the plantar surface of the foot (Figure 7). It is based on a color change in a cobalt compound from blue to pink which produces a categorical output with modest diagnostic performance for DPN compared to electrophysiological assessments. If the patch remains completely or partially blue within 10 min, the result is considered abnormal (105).   No training is required to administer Neuropad, nor does it require responses from the patient. Therefore, this method of assessment may be more suitable for screening in community settings and those with cognitive or communication difficulties who have to respond to other methods of assessment. A number of clinical validation studies (95, 106) have been conducted which demonstrates low sensitivity for large fiber neuropathy (50-64%) but much higher sensitivity for small fiber neuropathy (80%) 107. Neuropad has also shown good reproducibility with intra- and inter-observer coefficient of variation between 4.1% and 5.1% (108).

Figure 7. NeuroPAD

 

CORNEAL CONFOCAL MICROSCOPY 

 

Corneal confocal microscopy (CCM, Figure 8) is a noninvasive technique used to detect small nerve fiber loss in the cornea which correlates with both increasing neuropathic severity and reduced IENFD in patients with diabetes (103,109). A novel technique of real-time mapping permits an area of 3.2 mm² to be mapped with a total of 64 theoretically non-overlapping single 400 µm² images (110). There have been a number of clinical validation studies including one 3.5-year prospective study in T1DM which demonstrated relatively modest to high sensitivity (82%) and specificity (69%) of CCM for the incipient DPN (98). It has good reproducibility for corneal nerve fiber length measurements with intra- and inter-observer intraclass correlation coefficients of 0.72 and 0.73 respectively. Currently, CCM is used in specialist centers, but would suit widespread application given its easy application for patient follow-up. However, large, multicenter, prospective studies are now required to confirm that corneal nerve changes unequivocally reflect the complex pathological processes in the peripheral nerve. Moreover, the establishment of a normative database and technical improvements in automated fiber measurements and wider-area image analysis may be useful to increase diagnostic performance.

Figure 8. Examples of corneal nerve fiber density in a patient with no diabetic neuropathy on the left and with established diabetic neuropathy on the right.

CONTACT HEAT EVOKED POTENTIALS  

 

Contact Heat Evoked Potentials (CHEPS) has been studied in healthy controls, newly diagnosed and established patients with diabetes, and patients with the metabolic syndrome. It does appear that CHEPS is capable of detecting small fiber neuropathy in the absence of other indices, and that CHEPS correlates with quantitative sensory perception and objective tests of small fiber structure (intraepidermal nerve fiber density) (111) and function (cooling detection threshold and cold pain) (112) .

 

SUDOSCAN

 

Sudoscan®, an instrument capable of detecting chloride ion flux in response to a very low current (Figure 9), is an objective and quantitative sudomotor function test with promising sensitivity and specificity in the investigation of DPN (113). The entire evaluation takes only 2 minutes and can be done in an ambulatory setting. A measurement of electrochemical skin conductance (ESC) for the hands and feet, that are rich in sweat glands, is generated from the derivative current associated with the applied voltage. Sensitivity and specificity of foot ESC for classifying DPN were 87.5% and 76.2%, respectively. The area under the ROC curve (AUC) was 0.85 (99).

Figure 9. SUDOSCAN test of sudomotor function being performed

SUMMARY OF POINT OF CARE DEVICES

 

In summary, the sensitivity of point of care devices seems acceptable and perhaps a combination of devices may be used in the future for detecting DPN. However, there is high heterogeneity and patient selection bias in most of the studies. Further studies are needed to evaluate the performance of point of care devices against Wilson criteria for screening of undiagnosed DPN at the population level. Prospective studies of hard endpoints (e.g., foot ulcerations and lower limb amputations) are also necessary to ensure that the benefits of screening are important for patients. The cost-effectiveness of implementing screening using these devices also needs to be carefully appraised. Point of care devices provide rapid, non-invasive tests that could be used as an objective screening test for DPN in busy diabetic clinics, ensuring adherence to current recommendation of annual assessment for all patients with diabetes that remains unfulfilled.

 

Summary of Clinical Assessment of DPN

 

Symptoms of neuropathy can vary markedly from one patient to another. For this reason, a number of symptom screening questionnaires with similar scoring systems have been developed. These questionnaires are useful for patient follow-up and to assess response to treatment. A detailed clinical examination is the key to the diagnosis of DPN.  The latest position statement of the American Diabetes Association recommends that all patients with diabetes be screened for DPN at diagnosis in type 2 DM and 5 years after diagnosis in type 1 DM. DPN screening should be repeated annually and must include sensory examination of the feet and ankle reflexes (16).  One or more of the following can be used to assess sensory function: pinprick (using the Waardenberg wheel or similar instrument), temperature, vibration perception (using 128-Hz tuning fork) or 10-g monofilament pressure perception at the distal halluces. For this last test a simple substitute is to use 25 lb strain fishing line cut into 4 cm and 8 cm lengths, which translate to 10 and 1 g monofilaments respectively (114). The most sensitive measure has been shown to be the vibration detection threshold, although sensitivity of 10-g Semmes-Weinstein monofilament to identify feet at risk varies from 86 to 100% (115,116). Combinations of more than one test have more than 87% sensitivity in detecting DPN (117). Longitudinal studies have shown that these simple tests are good predictors of foot ulcer risk (118). Numerous composite scores to evaluate clinical signs of DN, such as the Neuropathy Impairment Score (NIS) are currently available. These, in combination with symptom scores, are useful in documenting and monitoring neuropathic patients in the clinic (119). Feet should always be examined in detail to detect ulcers, calluses, and deformities, and footwear must be inspected at every visit. However, these simple bedside tests are crude and detect DN very late in its natural history. Even the benefits gained by standardising clinical assessment using scored clinical assessments such as the Michigan Neuropathy Screening Instrument (MNSI) (120), the Toronto Clinical Neuropathy Score (TCNS) (84,85) and the United Kingdom Screening Test (UKST) (86), remain subjective, heavily reliant on the examiners’ interpretations (121). Bedside tests used to aid diagnosis of neuropathy such as the 10g monofilament (122), the Ipswich Touch Test (80), and vibration perception threshold using the tuning fork (123) are not only reliant on patients’ subjective response but are mainly utilised to identify the loss of protective foot sensation and risk of ulceration (124). As such, these tests tend to diagnose DPN when it is already well-established (125). Late diagnosis hampers the benefits of early identification which includes a focus on early, intensified diabetes control, and the prevention of neuropathy-related sequelae. Conversely, the situation is different for the detection of diabetic retinopathy using digital camera-based retinal photography (126) or diabetic kidney disease using blood and urine tests. These developments led to the institution of a robust annual screening program that has led to significant reduction in blindness, such that retinopathy is no longer the commonest cause of blindness in working age adults (127) and reductions in end stage renal failure (128). Unfortunately, by the time neuropathy is detected using these crude tests, it is often very well established and consequently impossible to reverse or even to halt the inexorable neuropathic process.

 

In the clinical research settings nerve conduction studies, quantitative sensory testing, and skin biopsy is used to identify and quantify early, subclinical neuropathy. Multiple studies have proven the value of Quantitative Sensory Testing (QST) measures in the detection of subclinical neuropathy (small fiber neuropathy), the assessment of progression of neuropathy, and the prediction of risk of foot ulceration (117,129,130). These standardized measures of vibration and thermal thresholds also play an important role in multicenter clinical trials as primary efficacy endpoints. A consensus subcommittee of the American Academy of Neurology stated that QST receive a Class II rating as a diagnostic test with a type B strength of recommendation (131).

 

The use of electrophysiologic measures (nerve conduction velocity, NCV) in both clinical practice and multicenter clinical trials is recommended (6, 132). In a long term follow-up study of type 2 patients with diabetes (28) NCV abnormalities in the lower limbs increased from 8% at baseline to 42% after 10 years of disease. A slow progression of NCV abnormalities was seen in the Diabetes Control and Complication Trial (DCCT). The sural and peroneal nerve conduction velocities diminished by 2.8 and 2.7 m/s respectively, over a 5-year period (21). Furthermore, in the same study, patients who were free of neuropathy at baseline had a 40% incidence of abnormal NCV in the conventionally treated group versus 16% in the intensive therapy treated group after 5 years. However, the neurophysiologic findings vary widely depending on the population tested and the type and distribution of the neuropathy. Patients with painful, predominantly small fiber neuropathy have normal studies. There is consistent evidence that small, unmyelinated fibers are affected early in DM and these alterations are not diagnosed by routine NCV studies (45). Therefore, other methods, such as QST, autonomic testing, or skin biopsy with quantification of intraepidermal nerve fibers (IENF) are needed to detect these patients (22,133,134). Nevertheless electrophysiological studies play a key role in ruling out other causes of neuropathy and are essential for the identification of focal and multifocal neuropathies (46,8).

 

Intraepithelial Nerve Fiber Density

 

The importance of the skin biopsy as a diagnostic tool for DPN is increasingly being recognized (45, 135). This technique quantitates small epidermal nerve fibers through antibody staining of the pan-axonal marker protein gene product 9.5 (PGP 9.5). Though minimally invasive (3-mm diameter punch biopsy), it enables a direct study of small fibers, which cannot be evaluated by NCV studies. It has led to the recognition of the small nerve fiber syndrome as part of IGT and the metabolic syndrome (Figure 10). When patients present with the “burning foot or hand syndrome”, evaluation for glucose tolerance and the metabolic syndrome (including waist circumference, blood pressure, and plasma triglyceride and HDL-C levels) becomes mandatory.  Therapeutic life style changes (136) can result in nerve fiber regeneration, reversal of the neuropathy, and alleviation of symptoms (see below). 

Figure 10. Intraepidermal nerve fiber loss in small vessel neuropathy. Loss of cutaneous nerve fibers that stain positive for the neuronal antigen protein gene product 9.5 (PGP 9.5) in metabolic syndrome and diabetes.

It is widely recognized that neuropathy per se can affect the quality of life (QOL) of patients with diabetes. A number of instruments have been developed and validated to assess QOL in DPN. The NeuroQoL measures patients’ perceptions of the impact of neuropathy and foot ulcers (137). The Norfolk QOL questionnaire for DPN is a validated tool addressing specific symptoms and the impact of large, small, and autonomic nerve fiber functions (138). The tool has been used in clinical trials and is available in several validated language versions. It was tested in 262 subjects (healthy controls, controls with diabetes, and DPN patients): differences between DN patients and both diabetes and healthy controls were significant (p<0.05) for all item groupings (small fiber, large fiber, and autonomic nerve function; symptoms; and activities of daily living (ADL). Total QOL scores correlated with total neuropathy scores. The ADL, total scores, and autonomic scores were also greater in controls with diabetes compared to healthy controls (p<0.05), suggesting that diabetes per se impacts some aspects of QO (137).

 

The diagnosis of DPN is mainly a clinical one with the aid of specific diagnostic tests according to the type and severity of the neuropathy. However other non-diabetic causes of neuropathy must always be excluded, depending on the clinical findings (B12 deficiency, hypothyroidism, uremia, CIDP, etc.) (Figure 11).

Figure 11. A diagnostic algorithm for assessment of neurologic deficit and classification of neuropathic syndromes: B12, vitamin B12; BUN, blood urea nitrogen; CHEPS, Contact Heat Evoked Potentials CIDP, chronic inflammatory demyelinating polyneuropathy; EMG, electromyogram; Hx, history; MGUS, monoclonal gammopathy of unknown significance; NCV, nerve conduction studies; NIS, neurologic impairment score (sensory and motor evaluation); NSS, neurologic symptom score; QAFT, quantitative autonomic function tests; QST, quantitative sensory tests; Sudo, sudomotor function testing.

Central Nervous System Involvement

 

Hitherto considered a disease of the peripheral nervous system, there is now mounting evidence of central nervous system (CNS) involvement in DN (Figure 12). Several magnetic resonance imaging studies provide valuable insight into CNS alterations in DN. From the spinal cord (139,140) to the cerebral cortex, structural (141), biochemical (142,143), perfusion (144), and functional changes (145,146) have been described. Although the initial injury may occur in the peripheral nerves, concomitant changes within the CNS may have a crucial role in the pathogenesis and determining clinical phenotype and even treatment response in painful DN.

 

Central nervous system involvement was first recognized in the 1960’s when post-mortem autopsy studies of patients with advanced diabetes found evidence of spinal cord atrophy, demyelination, and axonal loss (147,148). These findings were largely dismissed as being secondary to poor diabetes control and infection (e.g., syphilis) rather than DN. Indeed, the pathological abnormalities in the spinal cord were reported in isolation and not examined in the context of DN related peripheral nerve changes. Subsequent studies performed in the late 70’s and 80’s utilized advances in somatosensory evoked potentials and demonstrated central (brain and spinal cord) slowing in humans with DN (149) and rodent models (150). With the advent and accessibility of demonstrated magnetic resonance imaging in the 90’s and early 00’s, investigators were able to demonstrate clear spinal cord involvement in the form of cervical cord atrophy not only in patients with established DN (140) but also in those with early subclinical DN (139). Subsequent studies have sought to apply advances multimodal magnetic resonance imaging to gain unique insights into brain involvement, particularly brain regions involved with somatosensory and nociception in DN – e.g. primary somatosensory cortex (141) and the thalamus (142). Accompanying the reduction in cervical spine volume is a reduction in primary somatosensory cortical volume in both painful and painless DN (141). Proton magnetic resonance spectroscopy studies have demonstrated evidence of thalamic neuronal dysfunction in painless but not in painful DN – indicating that preservation of thalamic neuronal function may be a prerequisite for the perception of pain in DN (142). In addition, there was also an increase in thalamic vascularity (144), altered thalamic-cortical functional connectivity (146), and a reorganization of the primary somatosensory cortex in patients with painful DN (146). Thus, the involvement of the central nervous system in DN has opened a whole new area of further research and has great potential for future patient stratification and development of new therapeutic targets.

Figure 12. Multimodal magnetic resonance imaging studies of the central nervous system in diabetic neuropathy.

Risk Factors for Diabetic Polyneuropathies

 

Diabetic neuropathy is the end results of a culmination of several etiologically linked pathophysiological processes – some not fully understood. Although hyperglycemia and duration of diabetes play an important role in DN, other risk factors have been identified. The EURODIAB Prospective Complications study demonstrated that the incidence of DN is associated with other potentially modifiable cardiovascular risk factors, including hypertriglyceridemia, hypertension, obesity and smoking (41). In the Look AHEAD study in patients with type 2 diabetes, there was a greater increase in neuropathic symptoms (but not neuropathic signs) in the control cohort (diabetes support and education program) compared to the cohort receiving intensive diet and exercise lifestyle intervention programmed focused on weight loss (151).

 

TREATMENT OF DIABETIC POLYNEUROPATHIES

 

Treatment of DN should be targeted towards a number of different aspects: firstly, treatment of specific underlying pathogenic mechanisms; secondly, treatment of symptoms and improvement in QOL; and thirdly, prevention of progression and treatment of complications of neuropathy.

 

Targeting Risk Factors

 

GLYCEMIC AND METABOLIC CONTROL

 

Several long-term prospective studies that assessed the effects of intensive diabetes therapy on the prevention and progression of chronic diabetic complications have been published. The large randomized trials such as the Diabetes Control and Complications Trial (DCCT) and the UK Prospective Diabetes Study (UKPDS) were not designed to evaluate the effects of intensive diabetes therapy on DPN, but rather to study the influence of such treatment on the development and progression of the chronic diabetic complications (152,153). Thus, only a minority of the patients enrolled in these studies had symptomatic DPN at entry. Studies in patients with type 1 diabetes show that intensive diabetes therapy retards but does not completely prevent the development of DPN.  In the DCCT/EDIC cohort, the benefits of former intensive insulin treatment persisted for 13-14 years after DCCT closeout and provided evidence of a durable effect of prior intensive treatment on DPN and cardiac autonomic neuropathy (“hyperglycemic memory”) (154,155).

 

In contrast, in patients with type 2 diabetes, who represent the vast majority of people with diabetes, the results were largely negative. The UKPDS showed a lower rate of impaired vibration perception threshold (VPT) (VPT >25 V) after 15 years for intensive therapy (IT) vs. conventional therapy (CT) (31% vs. 52%). However, the only additional time point at which VPT reached a significant difference between IT and CT was the 9-year follow-up, whereas the rates after 3, 6, and 12 years did not differ between the groups. Likewise, the rates of absent knee and ankle reflexes as well as the heart rate responses to deep breathing did not differ between the groups (153). In the ADVANCE study including 11,140 patients with type 2 diabetes randomly assigned to either standard glucose control or intensive glucose control, the relative risk reduction (95% CI) for new or worsening neuropathy for intensive vs. standard glucose control after a median of 5 years of follow-up was −4 (−10 to 2), without a significant difference between the groups (156).  Likewise, in the VADT study including 1,791 military veterans (mean age, 60.4 years) who had a suboptimal response to therapy for type 2 diabetes, after a median follow-up of 5.6 years no differences between the two groups on intensive or standard glucose control were observed for DPN or microvascular complications (157). In the ACCORD trial (39), intensive therapy aimed at HbA1c <6.0% was stopped before study end because of higher mortality in that group, and patients were transitioned to standard therapy after 3.7 years on average. At transition, loss of sensation to light touch was significantly improved on intensive vs standard diabetes therapy. At study end after 5 years, MNSI score >2 and loss of sensation to vibration and light touch were significantly improved on intensive vs standard diabetes therapy. However, because of the premature study termination and the aggressive HbA1c goal, the neuropathy outcome in the ACCORD trial is difficult to interpret.

 

In the Steno 2 Study (158), intensified multifactorial risk intervention including intensive diabetes treatment, angiotensin converting enzyme (ACE)-inhibitors, antioxidants, statins, aspirin, and smoking cessation in patients with microalbuminuria showed no effect on DPN after 7.8 (range: 6.9-8.8) years and again at 13.3 years, after the patients were subsequently followed for a mean of 5.5 years.  However, the progression of cardiac autonomic neuropathy (CAN) was reduced by 57%. Thus, there is no evidence that intensive diabetes therapy or a target-driven intensified intervention aimed at multiple risk factors favorably influences the development or progression of DPN as opposed to CAN in patients with type 2 diabetes.  However, the Steno study used only vibration detection, which measures exclusively the changes in large fiber function.

 

DYSLIPIDEMIA  

 

Observational and cross-sectional studies have demonstrated, to varying degrees, an association between lipids and DPN (159). The strongest evidence, however, is for the association of elevated levels of triglycerides and DPN (160). In a study of patients with T2DM there was a graded relationship between triglyceride levels and the risk of lower-limb amputations (160). Likewise, another study demonstrated that hypertriglyceridemia was an independent risk factor of loss of sural (myelinated) nerve fiber density and lower limb amputations (161). In addition to hypertriglyceridemia, low-level of HDL cholesterol is reported to as an independent risk factor for DPN (159). However, clinical studies investigating the effects of statins on the development of DPN are far from conclusive. This is partly because several large statin studies that included patients with diabetes did not report data on the development of microvascular disease (162,163) let alone DPN. The Freemantle Diabetes Study, an observational study with cross-sectional and longitudinal analysis, suggested that statin or fibrate therapy may protect against DPN in T2DM (164). Two subsequent, relatively small, randomized clinical studies have reported improvements in nerve conduction parameters of DPN following 6 to 12 weeks of statin treatment (165,166). The Fenofibrate Intervention and Event Lowering in Diabetes (FIELD) study has since, demonstrated that fibrates are beneficial in preventing microvascular complications (retinopathy and nephropathy) and non-traumatic lower limb amputations but DPN outcomes have not been reported (167). Subsequently, a patient registry study from Denmark, found that the use of statins before diagnosis of incident diabetes was protective against the development of DPN (168). In summary, whether lipid lowering treatment reduces the risk of DPN —a possibility raised by these data—will need to be addressed in other studies preferably in randomized controlled trials.

 

HYPERTENSION

 

An association between hypertension and DPN has been demonstrated in several observational studies in both T2DM (169,170) and T1DM (171). There is some preliminary evidence from relatively small randomized control trials with improvements in DPN based on clinical and nerve conduction parameters following antihypertensive treatment with angiotensin converting enzyme (ACE) inhibitors (172) and calcium channel blockers (173). However, the significance of this relationship is uncertain as several large intervention studies targeting hypertension (26) studies failed to show a reduction in DPN despite clear benefits in renal and retinal complications (174). One possible explanation is that the methods used in these intervention studies to diagnose/quantify DPN lacked the necessary sensitivity or reliability to diagnose/quantity DPN let alone examine differences between study groups. The heterogeneity in effect size estimates for this outcome in many of these studies supports this view. Another possible explanation for this finding could be the strengthening of guidelines for diabetes care and the more widespread routine use antihypertensive treatment.

 

OBESITY  

 

Several studies have revealed an association between obesity and polyneuropathy even in the presence of normoglycemia (175,176) The prevalence of polyneuropathy, however, increases in obese patients with prediabetes and diabetes (177). Subsequent studies appear to demonstrate that adopting a healthy lifestyle incorporating a balanced diet, regular aerobic and weight-resistance physical activities may reverse the process, particularly if they are undertaken at an early stage of DPN (136,178,179). A randomized control study of a 2.5-hour, weekly supervised treadmill exercise and dietary intervention program aimed at normalizing body mass index or losing 7% baseline body weight in T2DM demonstrated significant improvement in markers (intraepithelial nerve fiber density and regenerative capacity) of DPN (180). However, once DPN is established, restoration of normal weight did not show significant improvement.

 

Targeting Underlying Pathophysiological Mechanisms

 

OXIDATIVE STRESS

 

Several studies have shown that hyperglycemia causes oxidative stress in tissues that are susceptible to complications of diabetes, including peripheral nerves. Figure 2 presents our current understanding of the mechanisms and potential therapeutic pathways for oxidative stress-induced nerve damage. Studies show that hyperglycemia induces an increased presence of markers of oxidative stress, such as superoxide and peroxynitrite ions, and that antioxidant defense moieties are reduced in patients with diabetic peripheral neuropathy (181). Therapies known to reduce oxidative stress are therefore recommended. Therapies that are under investigation include aldose reductase inhibitors (ARIs), α-lipoic acid, γ-linolenic acid, benfotiamine, and protein kinase C (PKC) inhibitors.

 

Advanced glycation end-products (AGE) are the result of non-enzymatic addition of glucose or other saccharides to proteins, lipids, and nucleotides. In diabetes, excess glucose accelerates AGE generation that leads to intra- and extracellular protein cross-linking and protein aggregation. Activation of RAGE (AGE receptors) alters intracellular signaling and gene expression, releases pro-inflammatory molecules, and results in an increased production of reactive oxygen species (ROS) that contribute to diabetic microvascular complications. Aminoguanidine, an inhibitor of AGE formation, showed good results in animal studies but trials in humans have been discontinued because of toxicity (182).  Benfotiamine is a transketolase activator that reduces tissue AGEs. Several independent pilot studies have demonstrated its effectiveness in diabetic polyneuropathy. The BEDIP 3-week study used a 200 mg daily dose, and the BENDIP 6-week study used 300 and 600 mg daily doses; both studies demonstrated subjective improvements in neuropathy scores in the groups receiving benfotiamine, with a pronounced decrease in reported pain levels (183). In a 12-week study, the use of benfotiamine plus vitamin B6/B12 significantly improved nerve conduction velocity in the peroneal nerve along with appreciable improvements in vibratory perception. An alternate combination of benfotiamine (100 mg) and pyridoxine (100 mg) has been shown to improve diabetic polyneuropathy in a small number of patients with diabetes (184,185). The use of benfotiamine in combination with other antioxidant therapies such as α-Lipoic acid (see below) are commercially available.

 

ARIs reduce the flux of glucose through the polyol pathway, inhibiting tissue accumulation of sorbitol and fructose. In a 12-month study of zenarestat a dose dependent improvement in nerve fiber density was shown (186). In a one year trial of fidarestat in Japanese patients with diabetes, improvement of symptoms was shown (187), and a 3 year study of epalrestat showed improved nerve function (NCV) as well as vibration perception (188). Epalrestat is marketed only in Japan and India. Newer ARIs are currently being explored, and some positive results have emerged (189), but it is becoming clear that these may be insufficient per se and combinations of treatments may be needed.

 

Gamma-Linolenic acid can cause significant improvement in clinical and electrophysiological tests for neuropathy (190). Alpha-Lipoic acid or thioctic acid has been used for its antioxidant properties and for its thiol-replenishing redox-modulating properties. A number of studies show its favorable influence on microcirculation and reversal of symptoms of neuropathy (191,192). A meta-analysis including 1,258 patients from four randomized clinical trials concluded that 600 mg of i.v. α-lipoic acid daily significantly reduced symptoms of neuropathy and improved neuropathic deficits (193). The SYDNEY 2 trial showed significant improvement in neuropathic symptoms and neurologic deficits in 181 diabetes patients with 3 different doses of α-lipoic acid compared to placebo over a 5-week period (194). The long-term effects of oral α-lipoic acid on electrophysiology and clinical assessments were examined during the NATHAN-1 study.  The study showed that 4 years of treatment with α-lipoic acid in mild to moderate DSP is well tolerated and improves some neuropathic deficits and symptoms, but not nerve conduction (195). Additional long-term RCTs could further strengthen the rationale for the use of these agents in clinical practice. Safety profiles of α-lipoic acid are favorable during long-term treatment. An overview on the usual dosages of α-lipoic acid and benfothiamine, most frequent adverse events and scientific evidence can be found here (193,196,197,185).

 

Protein kinase C (PKC) activation is a critical step in the pathway to diabetic microvascular complications. It is activated by both hyperglycemia and disordered fatty-acid metabolism, resulting in increased production of vasoconstrictive, angiogenic, and chemotactic cytokines including transforming growth factor β (TGF-β), vascular endothelial growth factor (VEGF), endothelin (ET-1), and intercellular adhesion molecules (ICAMs). A multinational, randomized, phase-2, double blind, placebo-controlled trial with ruboxistaurin (a PKC-β inhibitor) failed to achieve the primary endpoints although significant changes were observed in a number of domains (198). Nevertheless, in a subgroup of patients with less severe DN (sural nerve action potential greater than 0.5 μV) at baseline and clinically significant symptoms, a statistically significant improvement in symptoms and vibratory detection thresholds was observed in the ruboxistaurin-treated groups as compared with placebo (199). A smaller, single center study showed improvement in symptom scores, endothelium dependent skin blood flow measurements, and quality of life scores in the ruboxistaurin treated group (200). These studies and the NATHAN studies have pointed out the change in the natural history of DPN with the advent of therapeutic lifestyle change, statins and ACE inhibitors, which have slowed the progression of DPN and drastically altered the requirements for placebo-controlled studies. Several studies (201,202) have demonstrated that patients with type 1 diabetes who retain some β-cell activity are considerably less prone to developing microvascular complications than those who are completely C-peptide deficient, and that C-peptide may have substantial anti-oxidant, cytoprotective, anti-anabolic, and anti-inflammatory effects.  C-peptide administration for 6 months in type 1 diabetes has been shown to improve sensory nerve function (203).

 

GROWTH FACTORS  

 

There is increasing evidence that there is a deficiency of nerve growth factor (NGF) in diabetes, as well as the dependent neuropeptides substance P (SP) and calcitonin gene-related peptide (CGRP) and that this contributes to the clinical perturbations in small-fiber function (204). Clinical trials with NGF have not been successful but are subject to certain caveats with regard to design; however, NGF still holds promise for sensory and autonomic neuropathies (205). The pathogenesis of DN includes loss of vasa nervorum, so it is likely that appropriate application of vascular endothelial growth factor (VEGF) would reverse the dysfunction. Introduction of VEGF gene into the muscle of DM animal models improved nerve function (206). However, VEGF gene studies with transfection of the gene into the muscle in humans failed to meet efficacy end points in painful DPN trials 207. Hepatocyte growth factor (208,209) (HGF) is another potent angiogenic cytokine under study for the treatment of painful neuropathy.  INGAP peptide comprises the core active sequence of Islet Neogenesis Associated Protein (INGAP), a pancreatic cytokine that can induce new islet formation and restore euglycemia in diabetic rodents. Maysinger et al showed significant improvement in thermal hypoalgesia in diabetic mice after a 2-week treatment with INGAP peptide (210,211).

 

IMMUNE THERAPY

 

Several different autoantibodies in human sera have been reported that can react with epitopes in neuronal cells and have been associated with DN.  Milicevic et al have reported a 12% incidence of a predominantly motor form of neuropathy in patients with diabetes associated with monosialoganglioside antibodies (anti GM1 antibodies) (63). Perhaps the clearest link between autoimmunity and neuropathy has been the demonstration of an 11-fold increased likelihood of CIDP, multiple motor polyneuropathy, vasculitis, and monoclonal gammopathies in diabetes (61). New data, however, support a predictive role of the presence of antineuronal antibodies on the later development of neuropathy, suggesting that these antibodies may not be innocent bystanders but neurotoxins (212). There may be selected cases, particularly those with autonomic neuropathy, evidence of antineuronal autoimmunity, and CIDP, that may benefit from intravenous immunoglobulin or large dose steroids (59).

 

Summary of Treatment of Diabetic Peripheral Neuropathy

 

In summary, the risk factors for DPN are well recognized and to-date only small-scale intervention studies targeting these risk factors that have used appropriate DPN biomarkers have been conducted. Nevertheless, these have provided preliminary evidence for the efficacy of multifactorial risk factor management in preventing the development and progression of DPN. Hence, early identifications of subjects with insipient/sub-clinical neuropathy using validated, yet novel non-invasive point of care devices will allow larger studies to determine if targeted intensified cardiometabolic risk factor control can prevent clinical DPN or halt disease progression. Unfortunately, despite several clinical trials, there has been relatively little progress in the development of disease modifying treatments despite some advances in the management of symptoms in painful DN, as described below.

 

PAINFUL DIABETIC PERIPHERAL NEUROPATHY

 

Pathogenesis

 

Peripheral neuropathic pain in diabetes is defined as “pain arising as a direct consequence of abnormalities in the peripheral somatosensory system” after exclusion of other causes (213). Nerve damage results in the release of inflammatory mediators which activate intracellular signal transduction pathways in the nociceptor terminal, prompting an increase in the production, transport, and membrane insertion of transducer channels and voltage-gated ion channels (214). Following nerve injury, different types of voltage-gated sodium and calcium channels are up-regulated at the site of the lesion and in the dorsal root ganglion membrane, promoting ectopic spontaneous activity along the primary afferent neuron and determining hyperexcitability associated with lowered activation threshold, hyper-reactivity to stimuli, and abnormal release of neurotransmitters such as substance P and glutamate (215, 216). As a consequence of this hyperactivity in primary afferent nociceptive neurons, important secondary changes may occur in the dorsal horn of the spinal cord and higher up in the central nervous system leading to neuron hyperexcitability. This phenomenon, called central sensitization, is a form of use-dependent synaptic plasticity, considered a major pathophysiological mechanism of neuropathic pain (217).

 

Diagnosis

 

Painful DPN is often underdiagnosed and under treated. Binns-Hall et al. trialed a ‘one-stop’ microvascular screening service, which tested a model for patients to receive combined eye, foot (DPN and painful-DPN), and renal screening (218). A new diagnosis of painful-DPN in this cohort was identified in 25% of participants using the validated screening tool for neuropathic pain, the Doleur Neuropathique en 4 Questions (DN4). Additionally, Daousi et al. found that in a community sample of 350 patients with diabetes 12.5% of patients with painful-DPN had not reported their symptoms to their treating physician (219). This study also found that 39.3% had never received treatment for their painful neuropathy. In the clinical environment, most cases of painful DPN can be diagnosed with a careful history to identify presence of typical painful neuropathic symptoms lasting > 3 months and clinical examination to demonstrate the clinical signs of DPN. In these circumstances and other causes are excluded (see above), there is no need for further investigations.

 

A number of self-administered questionnaires have been developed, validated, translated, and subjected to cross-cultural adaptation both to diagnose and distinguish neuropathic as opposed to non-neuropathic pain  (screening tools such as the Leeds Assessment of Neuropathic Symptoms and Signs (LANSS) Pain Scale (220), Douleur Neuropathique en 4 questions (DN4), Neuropathic Pain Questionnaire (NPS) (221), pain DETECT (89) and to assess pain quality and intensity such as the Short-Form McGill Pain Questionnaire (222), the Brief Pain Inventory (BPI) (223), and the Neuropathic Pain Symptom Inventory (NPSI) (224).

 

It is important to assess the intensity (severity) of neuropathic pain as it is helpful when assessing and monitoring response to therapy. The best approach is to use a simple 11-Point numerical rating scale (Likert scale) or a visual analogue scale. In clinical trials of neuropathic pain treatment a number of questionnaires are used to capture the complex, multidimensional impact of chronic pain. According to IMMPACT (Initiative on Methods, Measurement and Pain Assessment in Clinical Trials) the following assessments are performed to assess the efficacy and effectiveness of new treatments: 1. pain intensity measured on a 0 to 10 numerical rating scale (NRS); 2. physical functioning assessed by the Multidimensional Pain Inventory (MPI) and Brief Pain Inventory (BPI) Interferences scale; 3. emotional functioning, assessed by the Beck Depression Inventory (BPI) and Profile of Mood states; and 4. patient rating of overall improvement, assessed by the Patient Global Impression of Change (PGI-C) (225).

 

Quality of Life

 

Over time the persistence of extremely unpleasant painful symptoms can have a profound impact upon its sufferers’ lives. This often results in a poor quality of life (226), disruption of employment (227), and mood disturbance (13). This adds to the burden of suffering and increases the challenge of managing neuropathic effectively. This is further compounded when patients also suffer from other co-morbid conditions associated with diabetes. Painful-DPN is also an expensive condition, incurring high healthcare costs (228). Data from the US found that patients with DPN and painful-DPN have greater healthcare resource utilization and costs than those with diabetes alone (228). Patients with severe painful-DPN incurred five-fold higher annual direct medical costs (USD $30,755) than for patients with diabetes alone (USD $6632) (226).

 

Sensory Profiling  

 

For many years, sensory profiling has been the mainstay for identifying a homogenous subgroup of neuropathic pain patients in clinical pain research. The basis of this approach is that painful symptoms reflect specific pathophysiological mechanisms, which are present to varying degrees in individual patients (229,230). Detailed sensory profiling using quantitative sensory testing (QST) can be used to subgroup patients into more homogenous cohorts (pain phenotypes), which could then be targeted with treatments known to act specifically on pathophysiological pathways underlying the phenotypes (231) (Figure 13). QST refers to a battery of standardized, psychophysical tests (e.g., thermal testing, pin prick, pressure algometry, and von Frey filaments) used to assess central and peripheral nervous system sensory function (232). In DPN, QST has been used for several decades mainly for diagnosing and quantifying the extent of small and large nerve fiber impairment in individuals predominantly with painless DPN. In the context of pain somatosensory phenotyping, a standardized QST protocol was developed by the German Research Network on Neuropathic Pain (DFNS), which includes 12 sensory testing parameters (i.e., cold and warm detection thresholds, paradoxical heat sensations, thermal sensory limen procedure, cold and heat pain thresholds, mechanical detection threshold, mechanical pain threshold, mechanical pain sensitivity, dynamic mechanical allodynia, wind-up ratio, vibration detection threshold, and pressure pain threshold) (232). The positive and negative results of individual patients are obtained by comparison against a normative QST reference dataset, comprised of age- and sex-stratified healthy individuals.

Figure 13. Schematic representation of the generation of pain. (A) Normal: Central terminals of c-afferents project into the dorsal horn and make contact with secondary pain-signaling neurons. Mechanoreceptive Aβ afferents project without synaptic transmission into the dorsal columns (not shown) and also contact secondary afferent dorsal horn neurons. (B) C-fiber sensitization: Spontaneous activity in peripheral nociceptors (peripheral sensitization, black stars) induces changes in the central sensory processing, leading to spinal-cord hyperexcitability (central sensitization, gray star) that causes input from mechanoreceptive Aβ (light touch) and Aδ fibers (punctuate stimuli) to be perceived as pain (allodynia). (C) C-fiber loss: C-nociceptor degeneration and novel synaptic contacts of Aβ fibers with “free” central nociceptive neurons, causing dynamic mechanical allodynia. (D) Central disinhibition: Selective damage of cold-sensitive Aδ fibers that leads to central disinhibition, resulting in cold hyperalgesia. Sympat, sympathetic nerve

Two Distinct Pain Phenotypes – The Non-Irritable and Irritable Nociceptor

 

Application of the QST technique has shown that there are two distinct subgroups of patients who have particular patterns of sensory symptoms and signs: (a) a predominant differentiation with loss of sensory function (non-irritable nociceptor phenotype), and (b) a relatively preserved small fiber function associated with thermal/mechanical hypersensitivity (irritable nociceptor phenotype) (231). Using the DFNS protocol, the PiNS reported that the non-irritable nociceptor was the predominant phenotype in painful DPN, whilst only a minority of patients had the irritable nociceptor phenotype (6.3%) (233). Nevertheless, a small but significant proportion of patients (15%) did demonstrate signs of sensory gain with dynamic mechanical allodynia, often in combination with hyposensitivity across a range of small and large nerve fiber sensory assessments. The presence of allodynia would suggest that aberrant central processing of sensory inputs has an important role in these patients. Recent studies have demonstrated proof-of-concept for using sensory profiling to improve clinical trial efficiency by demonstrating that some treatments are more effective in patients with the irritable versus the non-irritable nociceptor phenotype (230-234). However, most of these studies examined patients with peripheral neuropathy of diverse causes.

 

Phenotype-Driven Therapeutic Experience in Painful DPN

 

Examples of studies that focused on painful DPN include an open label retrospective study using the DFNS protocol, which evaluated key phenotypic differences in sensory profiling associated with response to intravenous lidocaine in patients with severe, intractable painful DPN (235). Patients with the irritable nociceptor phenotype were more likely to respond to intravenous lidocaine, which inactivates sodium channels, compared to the non-irritable nociceptor phenotype (235). In fact, dynamic mechanical allodynia and pain summation to repetitive pinprick stimuli were the only evoked ‘gain of function’ QST parameters that informed treatment response. The presence of these sensory gain parameters suggests aberrant central processing with hyperexcitable neurons driven by abnormal sodium channel regulation, generating ectopic impulses and amplifying afferent sensory inputs. In another painful DPN study by Campbell et al. of topical clonidine, sensory profiling was performed using the capsaicin challenge test (236). The post-hoc analysis demonstrated a significant reduction in pain in the patient subgroup with increased spontaneous pain following cutaneous capsaicin administration, indicating the presence of functioning and sensitized nociceptors. Bouhassira et al. published post-hoc analysis data of treatment response based on sensory profiling using the Neuropathic Pain Symptom Inventory (NPSI) questionnaire from the Combination vs Monotherapy of pregabalin and duloxetine in Diabetic Neuropathy (COMBO-DN) study (237). This study examined the effect of high-dose duloxetine, a serotonin noradrenaline reuptake inhibitor, or pregabalin, a calcium channel blocker, as monotherapy versus combined pregabalin and duloxetine for painful DPN. The investigators showed that adding pregabalin (300 mg) to duloxetine (60 mg) improved the dimensions of ‘pressing pain’ and ‘evoked pain’ more significantly. On the other hand, increasing duloxetine from 60 mg to 120 mg daily improved the dimension ‘paresthesia/dysesthesia’ to a greater extent.

 

SENSORY PHENOTYPING TO PREDICT THERAPEUTIC RESPONSE

 

In a randomized, double-blind, placebo-controlled, and phenotype-stratified study of patients with painful DPN Demant et al. reported that oxcarbazepine was more efficacious for relief of peripheral neuropathic pain in patients with the irritable vs the nonirritable nociceptor phenotype (234).  Based on this and other recent studies, current opinion with regard to neuropathic pain clinical trials recommends a detailed sensory profiling of participants at baseline; and even if there is no significant separation of a drug with placebo, a subgroup analysis can be performed to see if the drug was efficacious in a particular subgroup. If there is a clear signal that this was the case, a further, adequately powered, phenotype stratified trial would be designed.   

 

Sensory profiling can also identify subgroups with altered endogenous pain modulation to predict treatment outcomes of drugs and other interventions that affect a given mechanism. Figure 14 describes the different nerve fibers affected and possible targeted treatments.

 

In a study of pain modulation in DPN, individuals were assessed using QST for conditioned pain modulation (CPM), a psychophysical paradigm in which central pain inhibition is measured via the phenomenon of ‘pain inhibiting pain,’ via the simultaneous administration of a conditioning painful stimulus at a distant body site. The pain in participants with abnormal CPM was more receptive to duloxetine, which is believed to increase descending inhibitory pain pathway activation, than individuals with normal pain modulation, although there was no comparison to placebo in this open-label study (238).

Figure 14. Schematic representation of the generation of pain. (A) Normal: Central terminals of c-afferents project into the dorsal horn and make contact with secondary pain-signaling neurons. Mechanoreceptive Aβ afferents project without synaptic transmission into the dorsal columns (not shown) and also contact secondary afferent dorsal horn neurons. (B) C-fiber sensitization: Spontaneous activity in peripheral nociceptors (peripheral sensitization, black stars) induces changes in the central sensory processing, leading to spinal-cord hyperexcitability (central sensitization, gray star) that causes input from mechanoreceptive Aβ (light touch) and Aδ fibers (punctuate stimuli) to be perceived as pain (allodynia). (C) C-fiber loss: C-nociceptor degeneration and novel synaptic contacts of Aβ fibers with “free” central nociceptive neurons, causing dynamic mechanical allodynia. (D) Central disinhibition: Selective damage of cold-sensitive Aδ fibers that leads to central disinhibition, resulting in cold hyperalgesia. Sympat, sympathetic nerve

Taken together, these studies support the notion that mechanism-based approaches to pain management may be feasible in painful DPN. However, in an elegant mechanistic study, Haroutounian et al examined 14 patients with neuropathic pain of mixed etiology [unilateral foot pain from nerve injury (n=7) and distal polyneuropathy (n=7)] to determine the contribution of primary afferent input in maintaining peripheral neuropathic pain (239). Each patient underwent randomized ultrasound-guided peripheral nerve block with lidocaine versus intravenous lidocaine infusion. They found that peripheral afferent input was critical for maintaining neuropathic pain, but improvement in evoked hypersensitivity was not related to improvements in spontaneous pain intensity. This suggests that further studies are needed to rationalize sensory phenotyping in order to optimize clinical trial outcomes in painful DPN. Moreover, given the rarity of the irritable-nociceptor phenotype, as determined by QST, a single assessment modality may be unlikely to help stratify patients and combining with additional modalities may be necessary (e.g., brain imaging). 

 

Brain Imaging in Painful Diabetic Peripheral Neuropathy

 

Recent advances in neuroimaging provide us with unique insights into the human central nervous system in chronic pain conditions (240). We now have a better understanding how the brain modulates nociceptive inputs to generate the pain experience, and how this is disrupted in patients with painful DPN. However, to date, brain imaging serves mainly as a research tool, with minimal direct application in clinical trials for pain or clinical practice. While mechanistic approaches that require carefully evaluating specific responses to guide therapy have significant appeal (e.g., cold, heat, von Frey etc.), in practice, these are time consuming and may be difficult to implement in busy clinical practices. Furthermore, these are psychophysical measures which rely on patient responses and may be subjective and biased. Sensory profiling methods also do not capture the complex and multidimensional pain experience, which affects emotional and cognitive processing in addition to sensory processing. For example, chronic pain patients often undergo neuropsychological changes, which include changes in emotion and motivation or changes in cognition (241). Chronic pain may also arise after the onset of depression, even in patients without a prior history of pain or depression. Collectively, these clinical insights suggest a better strategy for assessing and treating painful DPN, given it is a chronic disease of dynamic process (e.g., evolution of co-morbid phenotypes such as anxiety or depression), which is not easily reversed in most patients. It is important to determine specific targets that are relevant to pain across individuals, because modulating activation in these targets may provide evidence that a compound engages a target or attenuates nociceptive processing.

 

Structural and functional cortical plasticity is a fundamental property of the human central nervous system, which can adjust to nerve injury. However, it can have maladaptive consequences, possibly resulting in chronic pain. Studies using structural magnetic resonance (MR) neuroimaging have demonstrated a clear reduction in both spinal cord cross-sectional area (139) and primary somatosensory cortex (S1) gray matter volume in patients with DPN (141). These findings are supported by studies in other pain conditions, which have also reported dynamic structural and functional plasticity with profound effects on the brain in patients with neuropathic pain. More recently, it has been demonstrated how brain structural and functional changes are related to painful DPN clinical phenotypes (146). Patients with the painful insensate phenotype have a more pronounced reduction in S1 cortical thickness and a remapping of S1 sensory processing compared to painful DPN subjects with relatively preserved sensation (146). Furthermore, the extent to which S1 cortical structure and function is altered is related to the severity of neuropathy and the magnitude of self-reported pain. These data suggest a dynamic plasticity of the brain in DPN driven by the neuropathic process and may ultimately determine an individual’s clinical pain phenotypes.

Over the last decade, resting-state functional MR imaging (RS-fMRI) – a quick, and simple non-invasive technique – has become an increasingly appealing way to examine spontaneous brain activity in individuals, without relying on external stimulation tasks. During a typical RS-fMRI examination, the hemodynamic response to spontaneous neuronal activity (bold oxygen level dependent, BOLD) signal is acquired whilst subjects are instructed to simply rest in the MR scanner (242). The data acquired is used in brain mapping to evaluate regional interactions or functional connectivity, which occur in a resting state. Most studies use a machine learning approach to identify patterns of functional connectivity, which differentiates patients from controls. RS-fMRI experiments in painful DPN have reported greater thalamic-insula functional connectivity and decreased thalamic-somatosensory cortical functional connectivity in patients with the irritable versus non-irritable nociceptor phenotype (235). There was a significant positive correlation between thalamic-insula functional connectivity with self-reported pain scores (235). Conversely, there was a more significant reduction in thalamic-somatosensory cortical functional connectivity in those with more severe neuropathy. This demonstrates how RS-fMRI measures of functional connectivity relates to both the somatic and non-somatic assessments of painful DPN. In one study, using a machine learning approach to integrate anatomical and functional connectivity data achieved an accuracy of 92% and sensitivity of 90%, indicating good overall performance (235). Multimodal MR imaging combining structural and RS-fMRI has also been used to predict treatment response in painful DPN. Responders to intravenous lidocaine treatment have significantly greater S1 cortical volume and greater functional connectivity between the insular cortex and corticolimbic system compared to non-responders (235). The insular cortex plays a pivotal role in processing the emotion and cognitive dimensions of the chronic pain experience. The corticolimbic circuits have also long been implicated in reward, decision making, and fear learning. Hence, these findings suggest that this network may have a role in determining treatment response in painful DPN.

 

Using advanced multimodal MR neuroimaging, a number of studies have demonstrated alterations in pain processing brain regions, which relate to clinical pain phenotype, treatment response, and behavioral/psychological factors impacted by pain. Taken together, these assessments could serve as a possible Central Pain Signature for painful DPN. The challenge now is to apply this potential pain biomarker at an individual level in order to demonstrate clinical utility. To this end, applying machine learning (243) to leverage brain imaging features from a quick 6-minute RS-fMRI scan to classify individual patients into different clinical pain phenotypes is appealing. Future studies should externally validate and optimize current models in larger patient cohorts to examine if/how such models can be used as biomarkers in clinical trials of pain therapeutics. Although many of the findings described are consistent with neuroimaging studies in other chronic pain conditions, it is difficult to assess convergence of findings across a number of relatively small cohort studies employing different analytical methods to derive complex models involving a large number of distributed brain regions (244). These are important limitations that are being addressed with 1) a number of large scale multi-center studies in progress or in preparation (MAPP consortium (245) and Placebo Imaging consortium (246), and 2) several consensus statements by key stakeholders, promoting standardized approaches and reporting and transparent/sharable models. 

 

General Principals of Managing Painful DPN

 

Managing painful symptoms in DPN may constitute a considerable treatment challenge. The efficacy of a single therapeutic agent is not the rule, and most patients require combination therapy to control the pain. The present ‘trial and error’ approach is to offer the available therapies in a stepwise fashion until an effective treatment is achieved (247,248). Effective pain treatment considers a favorable balance between pain relief and side effects without implying a maximum effect. The following general considerations in the pharmacotherapy of neuropathic pain require attention (249):

 

  • The appropriate and effective drug has to be tried and identified in each patient by carefully titrating the dose based on efficacy and side effects.
  • Lack of efficacy should be judged only after 2-4 weeks of treatment using an adequate dose.
  • As the evidence from clinical trials suggests a > 50% reduction in pain for any monotherapy, combination therapy is considered a ‘robust’ response. A reduction of pain of 30-49% may be considered a ‘clinically relevant’ response.
  • Potential drug interactions have to be considered given the frequent use of polypharmacy in patients with diabetes.

 

For many patients, optimal management of chronic pain may require a multidisciplinary team approach with appropriate behavioral therapy, as well as input from a broad range of healthcare professionals. Here we highlight the common agents used to manage painful DPN and key papers to demonstrate the evidence base. The most recent guidelines for pharmacotherapy for neuropathic pain in general and specifically in painful DPN can be found elsewhere (16,250,251,252,253,254,67, 255,256).

 

ANTIDEPRESSANTS 

 

Antidepressants are commonest agents used in the treatment of chronic neuropathic pain (217). The putative mechanisms of interrupting pain transmission by these agents include inhibition of norepinephrine and/or serotonin reuptake within the endogenous descending pain-inhibitory systems in the brain and spinal cord (257). Antagonism of N-Methyl-D-Aspartate receptors that mediate hyperalgesia and allodynia has also been proposed.

 

Tricyclic Antidepressants (TCAs)

 

Imipramine, amitriptyline, and clomipramine induce a balanced reuptake inhibition of both norepinephrine and serotonin, while desipramine is a relatively selective norepinephrine inhibitor. The most frequent adverse events of tricyclic antidepressants (TCAs) are anticholinergic symptoms including tiredness and dry mouth and may exacerbate cardiovascular and gastrointestinal autonomic neuropathy. The starting dose should be 25 mg (10 mg in frail patients) taken as a single night time dose one hour before sleep. The maximum dose is usually 150 mg per day and doses >100mg should be avoided in the elderly.

 

TCAs should be used with caution in patients with orthostatic hypotension and are contraindicated in patients with unstable angina, recent (<6 months) myocardial infarction, closed-angle glaucoma, heart failure, history of ventricular arrhythmias, significant conduction system disease, and long QT syndrome. Their use is limited by relatively high rates of adverse events and several contraindications.

 

Serotonin Noradrenaline Reuptake Inhibitors (SNRI)

 

The efficacy and safety of duloxetine has been evaluated in 7 RCTs establishing it as a mainstay treatment option in painful DPN. Several systematic reviews demonstrate a moderate strength of evidence for duloxetine reduces neuropathic pain to a clinically meaningful degree in patients with painful DPN (258,259,260). Patients with higher pain intensity tend to respond better than those with lower pain levels. The most frequent side effects of duloxetine (60/120 mg/day) include nausea (16.7/27.4%), somnolence (20.2/28.3%), dizziness (9.6/23%), constipation (4.9/10.6%), dry mouth (7.1/15%), and reduced appetite (2.6/12.4%). These adverse events are usually mild to moderate and transient. To minimize them the starting dose should be 30 mg/day for 4-5 days. In contrast to TCAs and some anticonvulsants, duloxetine does not cause weight gain, but a small increase in fasting blood glucose may occur (261).

 

Venlafaxine is another SNRI that has mixed action on catecholamine uptake. Compared to duloxetine, the strength of evidence for venlafaxine is lower and it could be considered an alternative if duloxetine is not tolerated. At lower doses, venlafaxine inhibits serotonin uptake and at higher doses it inhibits norepinephrine uptake (262). The extended release version of venlafaxine was found to be superior to placebo in painful DPN in non-depressed patients at doses of 150-225 mg daily, and when added to gabapentin there was improved pain, mood, and quality of life (263).  In a 6-week trial comprised of 244 patients the analgesic response rates were 56%, 39%, and 34% in patients given 150-225 mg venlafaxine, 75 mg venlafaxine, and placebo, respectively. Because patients with depression were excluded, the effect of venlafaxine (150-225 mg) was attributed to an analgesic, rather than antidepressant, effect. The most common adverse events were tiredness and nausea (264); additionally, clinically important electrocardiogram changes were found in seven patients in the treatment arm.

 

ANTI-EPILEPTIC DRUGS

 

Calcium Channel Modulators (a2-δ ligands)

 

Gabapentin is an anticonvulsant structurally related to g-aminobutyric acid (GABA), a neurotransmitter that plays a role in pain transmission and modulation. The exact mechanisms of action of this drug in neuropathic pain are not fully elucidated. Among others, they involve an interaction with the L-amino acid transporter system and high affinity binding to the a2-δ subunit of voltage-activated calcium channels. A Cochrane review reported 4 out of 10 patients with painful DPN achieved greater than 50% pain relief with gabapentin compared to placebo (2 out of 10). Pain was reduced by a third or more for 5 in 10 with gabapentin and 4 in 10 with placebo. Over half of those treated did not benefit from worthwhile pain relief but experienced adverse event (265).

 

In contrast to gabapentin, pregabalin is a more specific a2-δ ligand with a 6-fold higher binding affinity. It also has a more rapid onset with a dose-dependent linear pharmacokinetic profiled i.e., 600mg/day being more effective that 300mg/day (266). Hence, the administration (BD vs QDS) and dose titration of pregabalin in considerably easier compared to gabapentin. A recent Cochrane review reported moderate quality evidence for the efficacy of pregabalin in painful DPN compared to placebo (267). 3 or 4 in 10 people had pain reduced by half or more with pregabalin 300 mg or 600 mg daily, and 2 or 3 in 10 with placebo. Pain was reduced by a third or more for 5 or 6 in 10 people with pregabalin 300 mg or 600 mg daily, and 4 or 5 in 10 with placebo.

 

Common side-effects associated with the use of gabapentinoids include weight gain, edema, dizziness, and somnolence. They should be used with caution in patients with congestive cardiac failure (NYHA class III or IV) and renal impairment (dose reduction required). Pooled trial analysis of adverse events showed a higher risk of side-effects with increasing pregabalin dose but not older age (268). The misuse and abuse of gabapentinoids is a growing problem in the US and in Europe necessitating monitoring for signs of misuse/abuse and caution when used in at risk populations (269). Gabapentinoids may also increase the risk of respiratory depression, a serious concern for patients taking opioids or with underlying respiratory impairment (270,271,272).

 

TOPICAL CAPSAICIN

 

C-fibers utilize the neuropeptide substance P as their neurotransmitter, and depletion of axonal substance P (through the use of capsaicin) will often lead to amelioration of the pain. Prolonged application of capsaicin, a highly selective agonist of transient receptor potential vanilloid-1 (TRPV1), depletes stores of substance P, and possibly other neurotransmitters, from sensory nerve endings. This reduces or abolishes the transmission of painful stimuli from the peripheral nerve fibers to the higher centers (273). The 8% capsaicin patch (Qutenza) (274) is authorized for the treatment of peripheral neuropathic pain. In one RCT in painful DPN, a single application of 8% capsaicin patch applied for 30min provided modest pain relief for up to 3 months (275). Specialist trained staff are required for application which can be repeated every 2-3 months. A Cochrane review of low dose (0.025% and 0.075%) topical capsaicin cream was not able to provide any recommendations due to insufficient data (276).

 

LIDOCAINE 

 

Lidocaine has unique analgesic properties. Although the exact mechanism by which intravenous lidocaine provides systemic analgesia is unknown, it is thought to have both peripheral and central mechanisms of action (277,278,279). It exhibits state-dependent binding where sodium channels that are rapidly and repeatedly activated and inactivated are more readily blocked (280). This state-dependence is thought to be very important in limiting the hyperexcitability of cells exhibiting abnormal activity. Thus, it is likely to have greater efficacy in patients with neuropathic pain (281,282) and has been used to relieve chronic pain for over 50 years (283). A Cochrane review of 30 RCT found that intravenous lidocaine (284), which is more effective than its oral analogue (mexilitine, NNT10-38) and gastrointestinal intolerance most common side effect and major factor limiting its use) (284,285) and is more effective than placebo in decreasing neuropathic pain. It was found to be generally well tolerated with little or no side effects (286). Hence, intravenous lidocaine is a recognized treatment option for patients with severe painful DPN (287), and is included in clinical guidelines (288).

 

Although 5% lidocaine patch is being used in patients with postherpetic neuralgia (289), there is insufficient evidence to recommend its use in those with painful DPN.

 

OPIOIDS

 

Tramadol and NMDA Receptor Antagonists

 

The most examined compounds in painful DPN are tramadol, oxycodone, and tapentadol. Tramadol is a centrally acting weak opioid and SNRI for use in treating moderate to severe pain.  More severe pain requires administration of strong opioids such as oxycodone (µ-opioid agonist) or tapentadol (µ-opioid agonist and SNRI).  There is limited data available on the efficacy of these agents from relatively small-scale studies. Recent Cochrane reviews graded the available evidence as mostly of low or very low quality and likely to overestimate the efficacy of tramadol and oxycodone in the treatment of painful DPN (290,291). Side effects typical of opioids were common including somnolence, headache, and nausea. There is an increased risk of serotonergic syndrome if tramadol and tapentadol are prescribed with other agents with serotonin reuptake inhibitor properties and thus best avoided. Nevertheless, there is role for these agents as 2nd or 3rd line analgesics for painful DPN in carefully selected patients unresponsive to standard treatments. Non-pharmacological and non-opioid analgesic treatments should be optimized and established and/or not tolerated/contraindicated before opioid treatment is considered (292). Regular monitoring/evaluation of efficacy is recommended particularly if treatment is longer than 3 months. Opioids are associated with less pain relief during longer trials possibly due to opioid tolerance or opioid induced hyperalgesia. Moreover, adverse outcomes such as dependence, overdose, depression, and impaired functional status were more common in patients with neuropathic pain (painful DPN 68%) receiving long-term (>90 days) vs short term (<90 days) of treatment (293). Hence, referral to specialist or centers with experience in opioid use is recommended to avoid risks.

 

PSYCHOLOGICAL SUPPORT 

 

A psychological component to pain should not be underestimated. Hence, an explanation to the patient that even severe pain may remit, particularly in poorly controlled patients with acute painful neuropathy or in those painful symptoms precipitated by intensive insulin treatment. Thus, the empathetic approach addressing the concerns and anxieties of patients with neuropathic pain is essential for their successful management (294).

 

PHYSICAL MEASURES

 

The temperature of the painful neuropathic foot may be increased due to arterio-venous shunting. Cold water immersion may reduce shunt flow and relieve pain. Allodynia may be relieved by wearing silk pajamas or the use of a bed cradle. Patients who describe painful symptoms on walking as comparable to walking on pebbles may benefit from the use of comfortable footwear (255).

 

ACUPUNCTURE

 

A 10-week uncontrolled study with a follow-up period of 18-52 weeks in patients with diabetes showed significant pain relief after up to 6 courses of traditional Chinese acupuncture without any side effects (295). A single-blind placebo-controlled randomized trial of acupuncture in 45 subjects with painful DN recently reported an improvement in the outcome measures assessing pain in the acupuncture arm relative to sham treatment (296). However, Chen and colleagues warn that design flaws and lack of robust outcome measures of pain in acupuncture trials make meaningful conclusions difficult (297).  Larger controlled studies are needed to confirm these early findings.

 

ELECTRICAL STIMULATION

 

Transcutaneous electrical nerve stimulation (TENS) influences neuronal afferent transmission and conduction velocity, increases the nociceptive flexion reflex threshold, and changes the somatosensory evoked potentials. In a 4-week study of TENS applied to the lower limbs, each for 30 minutes daily, pain relief was noted in 83% of the patients compared to 38% of a sham-treated group. In patients who only marginally responded to amitriptyline, pain reduction was significantly greater following TENS given for 12 weeks as compared with sham treatment. Thus, TENS may be used as an adjunctive modality combined with pharmacotherapy to augment pain relief  (298).

 

Frequency-modulated electromagnetic nerve stimulation (FREMS) in 2 studies, including a recent double-blind randomized placebo controlled trial with 51 weeks of follow-up, proved to be a safe treatment for symptomatic diabetic neuropathy, with immediate but transient reduction in pain and no effect on nerve conduction velocities (299,300).  Six out of eight trials analyzed in a recent review evaluating the use of electrical stimulation in painful DN found significant pain relief in patients treated with electrical stimulation compared with placebo or sham treatment (301). 

 

Electrical spinal cord stimulation (SCS) was first reported in painful DPN in 1996 (302). With electrodes implanted between T9 and T11, 8 out of 10 patients reported greater than 50% pain relief. Most of these early devices utilized low-frequency stimulation (40-60Hz) with two RCTs demonstrating moderate utility (n=36 to 60) with 6-month to 24-month follow up (303,304,305) with responder attrition within 12 months (306). Modern iterations of SCS employ high-frequency stimulation (10kHz) provides pain relief without generating paresthesia (307,308,309,310). A recent RCT examine the use of 10kHz electrical SCS in patients with refractory painful DPN compared to conventional medical management in 216 randomized patients (311). 50% reduction in pain relief was observed in 5% in the control group compared to 79% in the electrical SCS group with 6 months follow up. The main limitation of this study was the lack of blinding and potential for placebo effects as an important confounding factor. Nevertheless, this is an interesting finding which should open a new area for further research. Overall complications of electrical SCS include wound infection and lead migration requiring reinsertion. Currently, therefore, this invasive treatment option should be reserved for patients who do not respond to analgesic combination pharmacotherapy.

 

SURGICAL DECOMPRESSION

 

Surgical decompression at the site of anatomic narrowing has been promoted as an alternative treatment for patients with symptomatic DPN. A systematic review of the literature revealed only Class IV studies concerning the utility of this therapeutic approach. Given the current evidence available, this treatment alternative should be considered unproven. Prospective randomized controlled trials with standard definitions and outcome measures are necessary to determine the value of this therapeutic intervention (312,313).

 

The odds ratios for efficacy of neuropathic pain medications are given in Figure 15. In addition, Table 5 shows the dosages of the different drugs and the commonly encountered side effects.

Figure 15. Efficacy analysis of drugs used for the treatment of PDN

Guidelines for Pharmacotherapy of Painful Neuropathy

 

Figure 16 is a pharmacotherapy algorithm that we propose for the management of painful neuropathy in diabetes. This presumes that the cause of the pain has been attributed to DPN and that all causes masquerading as DPN have been excluded. The identification of neuropathic pain as being focal or diffuse dictates the initial course of action. Focal neuropathic pain is best treated with splinting, steroid injections, and surgery to release entrapment. Diffuse neuropathies are treated with medical therapy and in a majority of cases, need combination therapy.  Essential to the DPN evaluation is the identification of the patient’s comorbidities, potential adverse events, and drug interactions. When single agents fail, combinations of drugs with different mechanisms of action should be considered. Comorbidities that accompany pain include depression, anxiety, and sleep disturbances, all of which must be addressed for successful management of pain. Treatment of peripheral neuropathic pain conditions can benefit from further understanding of the impact of pain response and QOL, including activities of daily living (ADLs) and sleep. Patients often benefit from participation in pain management groups and psychological intervention to develop/gain better coping strategies and deal with harmful/disruptive pain-related behaviors. There is currently minimal evidence for the use of combination treatment for painful DPN – hence, most guidelines recommend switching to an alternative agent. There are also few head-to-head comparator trials of commonly used agent evaluating efficacy and safety between drugs. We await the outcome of the much-anticipated OPTION-DM study – head-to-head multicenter, RCT will inform clinicians of the most cost effective monotherapy (amitriptyline, pregabalin and duloxetine) followed by combination therapy for painful DPN (314).

Figure 16. Algorithm for the Management of Symptomatic Diabetic Neuropathy. Non-pharmacological, topical or physical therapies can be useful at any time. SNRIs, serotonin and norepinephrine reuptake inhibitors; TCA, tricyclic antidepressants.

AUTONOMIC NEUROPATHY

 

Introduction

 

The autonomic nervous system (ANS) supplies all organs in the body and consists of an afferent and an efferent system, with long efferents in the vagus (cholinergic) and short postganglionic unmyelinated fibers in the sympathetic system (adrenergic). A third component is the neuropeptidergic system with its neurotransmitters substance P (SP), vasoactive intestinal polypeptide (VIP), and calcitonin gene related peptide (CGRP) amongst others. Diabetic autonomic neuropathy (DAN) is a serious and common complication of diabetes but remains among the least recognized and understood. Diabetic autonomic neuropathy (DAN) can cause dysfunction of every part of the body, and has a significant negative impact on survival and quality of life (315). The organ systems that most often exhibit prominent clinical autonomic signs and symptoms in diabetes include the pupils, sweat glands, genitourinary system, gastrointestinal tract, adrenal medullary system, and the cardiovascular system (Table 6). Clinical symptoms generally do not appear until long after the onset of diabetes. However, subclinical autonomic dysfunction can occur within a year of diagnosis in type 2 diabetes patients and within two years in type 1 diabetes patients (316).

 

 

Table 6. Clinical Manifestations of Autonomic Neuropathy

Cardiovascular

Central:

Tachycardia/ Bradycardia

Systolic and diastolic dysfunction

Decreased exercise tolerance

Orthostasis,

Orthostatic tachycardia and bradycardia syndrome

Sleep apnea

Anxiety/ depression

Cardiac denervation syndrome

Paradoxic supine or nocturnal hypertension

Intraoperative and perioperative cardiovascular instability

Peripheral:

Decreased thermoregulation

Decreased sweating

Altered blood flow

Impaired vasomotion

Edema

Gastrointestinal

Esophageal dysmotility

Gastroparesis diabeticorum

Diarrhea

Constipation

Fecal incontinence

Genitourinary

Erectile dysfunction

Retrograde ejaculation

Neurogenic bladder and cystopathy

Female sexual dysfunction (e.g., loss of vaginal lubrication)

Sudomotor

Anhidrosis

Hyperhidrosis

Heat intolerance

Gustatory sweating

Dry skin

Metabolic

Hypoglycemia unawareness

Hypoglycemia unresponsiveness

Pupillary

Pupillomotor function impairment (e.g., decreased diameter of dark-adapted pupil)

Pseudo Argyll-Robertson pupil

 

 

Microvascular flow is under the control of the ANS and is regulated by both the central and peripheral components of the ANS. Defective blood flow in the small capillary circulation is found with decreased responsiveness to mental arithmetic, cold pressor, hand grip, and heating (317). The defect is associated with a reduction in the amplitude of vasomotion (318) and resembles premature aging (277). There are differences in the glabrous and hairy skin (319) and is correctable with antioxidants (320). The clinical counterpart is a dry cold skin, loss of sweating, and development of fissures and cracks that are portals of entry for organisms leading to infectious ulcers and gangrenes. Silent myocardial infarction, respiratory failure, amputations, and sudden death are hazards for diabetes patients with cardiac autonomic neuropathy (321). Therefore, it is vitally important to make this diagnosis early so that appropriate intervention can be instituted (322).

 

Disturbances in the autonomic nervous system may be functional, e.g., gastroparesis with hyperglycemia and ketoacidosis, or organic wherein nerve fibers are actually lost. This creates inordinate difficulties in diagnosing, treating, and prognosticating as well as establishing true prevalence rates. Tests of autonomic function generally stimulate entire reflex pathways. Furthermore, autonomic control for each organ system is usually divided between opposing sympathetic and parasympathetic innervations, so that heart rate acceleration, for example, may reflect either decreased parasympathetic or increased sympathetic nervous system stimulation. Since many conditions affect the autonomic nervous system and autonomic neuropathy (AN) is not unique to diabetes, the diagnosis of DAN rests with establishing the diagnosis and excluding other causes (Table 7 and 8). The best studied diagnostic methods, for which there are large databases and evidence to support their use in clinical practice, relate to the evaluation of cardiovascular reflexes (Figure 17). In addition, the evaluation of orthostasis is fairly straightforward and is readily done in clinical practice (Figure 18), as is the establishment of the cause of gastrointestinal symptoms (Figure 19) and erectile dysfunction. The combination of cardiovascular autonomic tests with sudomotor function tests may allow a more accurate diagnosis of diabetic autonomic neuropathy (323). Tables 9 and 10 below present the diagnostic tests that would be applicable to the diagnosis of cardiovascular autonomic neuropathy. These tests can be used as a surrogate for the diagnosis of AN of any system since it is generally rare to find involvement (although it does occur) of any other division of the ANS in the absence of cardiovascular autonomic dysfunction. For example, if one entertains the possibility that the patient has erectile dysfunction due to AN, then prior to embarking upon a sophisticated and expensive evaluation of erectile status, a measure of heart rate and its variability in response to deep breathing would - if normal - exclude the likelihood that the erectile dysfunction is a consequence of disease of the autonomic nervous system. The cause thereof would have to be sought elsewhere. Similarly, it is extremely unusual to find gastroparesis secondary to AN in a patient with normal cardiovascular autonomic reflexes.

 

Table 7. Differential Diagnosis of Diabetic Autonomic Neuropathy

Clinical Manifestations

Differential Diagnosis

Cardiovascular

Resting tachycardia, Exercise intolerance

Orthostatic tachycardia and bradycardia syndromes

Cardiac denervation, painless myocardial infarction

Orthostatic hypotension

Intraoperative and perioperative cardiovascular instability

Cardiovascular disorders

Idiopathic orthostatic hypotension, multiple system atrophy with Parkinsonism, orthostatic tachycardia, hyperadrenergic hypotension

Shy-Drager syndrome

Panhypopituitarism

Pheochromocytoma

Hypovolemia

Congestive heart disease

Carcinoid syndrome

Gastrointestinal

Esophageal dysfunction

Gastroparesis diabeticorum

Diarrhea

Constipation

Fecal incontinence

Gastrointestinal disorders

Obstruction

Bezoars

Secretory diarrhea (endocrine tumors)

Biliary disease

Psychogenic vomiting

Medications

Genitourinary

Erectile dysfunction

Retrograde ejaculation

Cystopathy

Neurogenic bladder

Genitourinary disorders

Genital and pelvic surgery

Atherosclerotic vascular disease

Medications

Alcohol abuse

Neurovascular

Heat intolerance

Gustatory sweating

Dry skin

Impaired skin blood flow

Other causes of neurovascular dysfunction

Chaga's disease

Amyloidosis

Arsenic

Metabolic

Hypoglycemia unawareness

Hypoglycemia unresponsiveness

Hypoglycemia associated autonomic failure

Metabolic disorders

Other cause of hypoglycemia, intensive glycemic control and drugs that mask hypoglycemia

Pupillary

Decreased diameter of dark- adapted pupil

Argyll-Robertson type pupil

Pupillary disorders

Syphilis

 

Table 8. Diagnosis and Management of Autonomic Nerve Dysfunction

Symptoms

Assessment Modalities

Management

Resting tachycardia, exercise intolerance, early fatigue and weakness with exercise

HRV, respiratory HRV, MUGA thallium scan, 123I MIBG scan

Graded supervised exercise, beta blockers, ACE-inhibitors

Postural hypotension, dizziness, lightheadedness, weakness, fatigue, syncope, tachycardia/bradycardia

HRV, blood pressure measurement lying and standing

Mechanical measures, clonidine, midodrine, octreotide, erythropoietin, pyridostigmine

Hyperhidrosis

Sympathetic/parasympathetic balance

Clonidine, amitryptylline, trihexyphenidyl, propantheline, or scopolamine ,botox, Glycopyrrolate

 

Table 9.  Diagnostic Tests of Cardiovascular Autonomic Neuropathy

TEST

METHOD/ PARAMETERS

Resting heart rate Beat-to-beat heart rate Variation*

>100 beats/min is abnormal. With the patient at rest and supine (no overnight coffee or hypoglycemic episodes), breathing 6 breaths/min, heart rate monitored by EKG or ANSCORE device, a difference in heart rate of >15 beats/min is normal and <10 beats/min is abnormal, R-R inspiration/R-R expiration >1.17. All indices of HRV are age-dependent**.

Heart rate response to Standing*

During continuous EKG monitoring, the R-R interval is measured at beats 15 and 30 after standing. Normally, a tachycardia is followed by reflex bradycardia. The 30:15 ratio is normally >1.03.

Heart rate response to Valsalva maneuver*

The subject forcibly exhales into the mouthpiece of a manometer to 40 mmHg for 15 s during EKG monitoring. Healthy subjects develop tachycardia and peripheral vasoconstriction during strain and an overshoot bradycardia and rise in blood pressure with release. The ratio of longest R-R shortest R-R should be >1.2.

Spectral analysis of heart rate variation, very low frequency power (VLFP 0.003-0.04) and high frequency power (HFP 0.15-0.40 Hz)

Series of sequential R-R intervals into its various frequent components. It defines two fixed spectral regions for the low-frequency and high-frequency measure.

Systolic blood pressure response to standing 

Systolic blood pressure is measured in the supine subject. The patient stands and the systolic blood pressure is measured after 2 min. Normal response is a fall of <10 mmHg, borderline is a fall of 10-29 mmHg, and abnormal is a fall of >30 mmHg with symptoms.

Diastolic blood pressure response to isometric exercise

The subject squeezes a handgrip dynamometer to establish a maximum. Grip is then squeezed at 30% maximum for 5 min. The normal response for diastolic blood pressure is a rise of >16 mmHg in the other arm.

EKG QT/QTc intervals Spectral analysis with respiratory frequency

The QTc (corrected QT interval on EKG) should be <440 ms. VLF peak (sympathetic dysfunction) LF peak (sympathetic dysfunction) HF peak (parasympathetic dysfunction) LH/HF ratio (sympathetic imbalance)

Neurovascular flow

Using noninvasive laser Doppler measures of peripheral sympathetic responses to nociception.

* These can now be performed quickly (<15 min) in the practitioners' office, with a central reference laboratory providing quality control and normative values. LF, VLF, HF =low, very low and high frequency peaks on spectral analysis. These are now readily available in most cardiologist's practice.** Lowest normal value of E/I ratio: Age 20-24:1.17, 25-29:1.15, 30-34:1.13, 35-30:1.12, 40-44:1.10, 45-49:1.08, 50-54:1.07, 55-59:1.06, 60-64:1.04, 65-69:1.03, 70-75:1.02 .

 

Table 10. Diagnostic Assessment of Cardiovascular Autonomic Function

Parasympathetic

Sympathetic

Resting heart rate

Beat to beat variation with deep breathing (E:I ratio)

30:15 heart rate ratio with standing

Valsalva ratio

Spectral analysis of heart rate variation , high frequency power (HFP 0.15-0.40 Hz)

Spectral Analysis of HRV respiratory frequency

Resting heart rate

Spectral analysis of heart rate variation, very low frequency power (VLFP 0.003-0.04)

Orthostasis BP

Hand grip BP

Cold pressor response

Sympathetic skin galvanic response (cholinergic)

Sudorimetry (cholinergic)

Cutaneous blood flow (peptidergic)

Figure 17. This is a sample power spectrum of the HRV signal from a subject breathing at an average rate of 7.5 breaths per minute (Fundamental Respiratory Frequency, FRF = 0.125 Hz). The method using HRV alone defines two fixed spectral regions for the low-frequency (LF) and high-frequency (HF) measure (dark gray and light gray, respectively). It is clear that the high-frequency (light gray) region includes very little area under the HRV spectral curve, suggesting very little parasympathetic activity. The great majority of the HRV spectral activity is under the low-frequency (dark gray) region suggesting primarily sympathetic activity. These representations are incorrect because the slow-breathing subject should have a large parasympathetic component reflective of the vagal activity. This parasympathetic component is represented correctly by the method using both HRV and respiratory activity which defines the red and blue regions of the spectrum in the graph. The blue region defined by the FRF represents purely parasympathetic activity whereas the remainder of the lower frequency regions (red region) represents purely sympathetic activity.

Figure 18. Evaluation of postural dizziness in patients with diabetes

Figure 19. Evaluation of a patient with suspected gastroparesis

The role of over-activation of the autonomic nervous system is illustrated in Figure 20 (324).

Figure 20. Role of over-activation of autonomic nervous system

There are few data on the longitudinal trends in small fiber dysfunction. Much remains to be learned of the natural history of diabetic autonomic neuropathy. Karamitsos et al (325) reported that the progression of diabetic autonomic neuropathy is significant during the 2 years subsequent to its discovery.

 

The mortality for diabetic autonomic neuropathy has been estimated to be 44% within 2.5 years of diagnosing symptomatic autonomic neuropathy (29).  In a meta-analysis, the Mantel-Haenszel estimates for the pooled prevalence rate risk for silent myocardial ischemia was 1.96, with 95% confidence interval of 1.53 to 2.51 (p<0.001; n = 1,468 total subjects). Thus, a consistent association between CAN and the presence of silent myocardial ischemia was shown (284) (Figure 21).

Figure 21. Relative risks and 95% CIs for studies of cardiovascular neuropathy (CAN) and mortality. Pooled relative risk for 10 studies with CAN define by two or more measures: 3.45 (95% CI 2.66–4.47). Pooled relative risk for 4 studies with CAN defined by a single measure: 1.20 (1.02–1.41). REF: Maser, R. E., Mitchell, B. D., Vinik, A. I., and Freeman, R. Diabetes Care. 2003;26(6):1895-1901.

Prevention and Reversibility of Autonomic Neuropathy

 

It has now become clear that strict glycemic control (37) and a stepwise progressive management of hyperglycemia, lipids, and blood pressure as well as the use of antioxidants (326) and ACE inhibitors (327) reduce the odds ratio for autonomic neuropathy to 0.32 (328). It has also been shown that early mortality is a function of loss of beat-to-beat variability with MI. This can be reduced by 33% with acute administration of insulin (329). Kendall et al (330) reported that successful pancreas transplantation improves epinephrine response and normalizes hypoglycemia symptom recognition in patients with long standing diabetes and established autonomic neuropathy. Burger et al (331) showed that a reversible metabolic component of CAN exists in patients with early CAN.

 

Management of Autonomic Neuropathy

 

POSTURAL HYPOTENSION

 

The syndrome of postural hypotension is posture-related dizziness and syncope. Patients who have Type 2 diabetes mellitus and orthostatic hypotension are hypovolemic and have sympathoadrenal insufficiency; both factors contribute to the pathogenesis of orthostatic hypotension (332). Postural hypotension in the patient with diabetic autonomic neuropathy can present a difficult management problem. Elevating the blood pressure in the standing position must be balanced against preventing hypertension in the supine position.

 

Supportive Garments: Whenever possible, attempts should be made to increase venous return from the periphery using total body stockings. But leg compression alone is less effective, presumably reflecting the large capacity of the abdomen relative to the legs (333). Patients should be instructed to put them on while lying down and to not remove them until returning to the supine position.

 

Drug Therapy: Some patients with postural hypotension may benefit from treatment with 9-flurohydrocortisone. Unfortunately, symptoms do not improve until edema occurs, and there is a significant risk of developing congestive heart failure and hypertension. If fluorohydrocortisone does not work satisfactorily, various adrenergic agonists and antagonists may be used (Table 11). Enhancement of ganglionic transmission via the use of pyridostigmine (inhibitor of acetylcholinesterase) improved symptoms and orthostatic hypotension with only modest effects in supine BP for patients with POTS. Similarly, the use of b-adrenergic blockers may benefit the tachycardia, and anticholinergics, the orthostatic bradycardia. Pyridostigmine has also been shown to improve HRV in healthy young adults.  If the adrenergic receptor status is known, then therapy can be guided to the appropriate agent.  Metoclopramide may be helpful in patients with dopamine excess or increased sensitivity to dopaminergic stimulation. Patients with α2-adrenergic receptor excess may respond to the α2-antagonist yohimbine. Those few patients in whom ß-receptors are increased may be helped with propranolol. α2-adrenergic receptor deficiency can be treated with the α2-agonist clonidine, which in this setting may paradoxically increase blood pressure. One should start with small doses and gradually increase the dose. If the preceding measures fail, midodrine, an α1-adrenergic agonist, or dihydroergotamine in combination with caffeine may help. A particularly refractory form of postural hypotension occurs in some patients post-prandially and may respond to therapy with octreotide given subcutaneously in the mornings.

 

 

Table 11. Pharmacologic Treatment of Autonomic Neuropathy

Clinical status

Drug

Dosage

Side effects

Orthostatic hypotension

 

9α flouro hydrocortisone, mineralocorticoid

0.5-2 mg/day

Congestive heart failure, hypertension

 

Clonidine, α2 adrenergic agonist

0,1-0,5 mg, at bedtime

Orthostatic Hypotension, sedation, dry mouth, constipation, dizziness, bradycardia.

 

Octreotide, somatostatin analogue

0.1-0.5 mg/kg/day

Injection site pain, diarrhea

Orthostatic tachycardia and bradycardia syndrome

 

Clonidine, α2 adrenergic agonist

0.1-0.5 mg, at bedtime

Orthostatic Hypotension, sedation, dry mouth, constipation, dizziness, bradycardia.

 

Octreotide, somatostatin analogue

0.1-0.5 μg/kg/day

Injection site pain, diarrhea

Gastroparesis diabeticorum

 

Domperidone, D2-receptor antagonist

10-20 mg, 30-60 min before meal and bedtime

Galactorrhea

 

Erythromycin, motilin receptor agonist

250 mg, 30 minutes before meals

Abdominal cramps, nausea, diarrhea, rash

 

Levosulphide, D2-receptor antagonist

25 mg, 3 times/day

Galactorrhea

Diabetic diarrhea

 

Metronidazole, broad spectrum antibiotics

250 mg, 3 times/day, minimum 3 weeks

Anorexia, rash, GI upset, urine discoloration, dizziness, disulfiram like reaction.

 

Clonidine, α2 adrenergic agonist

0.1 mg, 2-3 times/day

Orthostatic Hypotension, sedation, dry mouth, constipation, dizziness, bradycardia.

 

Cholestyramine, bile acid sequestrant

4 g, 1-6 times/day

Constipation

 

Loperamide, opiate-receptor agonist

2 mg, four times/day

Toxic megacolon

 

Octreotide, somatostatin analogue

50 μg, 3 times/day

Aggravate nutrient malabsorption (at higher doses)

Cystopathy

 

Bethanechol, acetylcholine receptor agonist

10 mg, 4 times/day

Blurred vision, abdominal cramps, diarrhea, salivation, and hypotension.

 

Doxazosin, α1 adrenergic antagonist

1-2 mg, 2-3 times/day

Hypotension, headache, palpitation

Exercise Intolerance

 

Graded supervised exercise

20 minutes, 3 times/week

Foot injury, angina.

Hyperhidrosis

 

Clonidine, α2 adrenergic agonist

0.1-0.5 mg, at bedtime and divided doses above 0.2 mg

Orthostatic Hypotension, sedation, dry mouth, constipation, dizziness, bradycardia.

 

Amitryptiline, Norepinephrine & serotonin reuptake inhibitor

150 mg/ day

Tachycardia, palpitation

 

Propantheline, Anti-muscarinic.

15 mg/ day PO

Dry mouth, blurred vision

 

Trihexyphenidyl,

2-5 mg PO

Dry mouth, blurred vision, constipation, tachycardia, photosensitivity, arrhythmias.

 

Botox,

 

 

 

Scopolamine, anti-cholinergic

1.5 mg patch/ 3 days; 0.4 to 0.8mg PO

Dry mouth, blurred vision, constipation, drowsiness, and tachycardia.

 

Glycopyrrolate, anti-cholinergic

1-2 mg, 2-3 times daily.

Constipation, tachycardia, dry mouth.

Erectile dysfunction

 

 

 

 

Sildenafil (Viagra), GMP type-5 phosphodiesterase inhibitor

50 mg before sexual activity, only once per day

Hypotension and fatal cardiac event (with nitrate-containing drugs), headache, flushing, nasal congestion, dyspepsia, musculoskeletal pain, blurred vision

 

Tadalafil (Cialis), GMP type-5 phosphodiesterase inhibitor

10 mg PO before sexual activity only once per day.

Headache, flushing, dyspepsia, rhinitis, myalgia, back pain.

 

Verdenafil (Levitra), GMP type-5 phosphodiesterase inhibitor

10 mg PO, 60 minutes before sexual activity.

Hypotension, headache, dyspepsia, priapism.

 

 

SLEEP APNEA

 

During sleep, increased sympathetic drive is a result of repetitive episodes of hypoxia, hypercapnia, and obstructive apnea (OSA) acting through chemoreceptor reflexes. Increased sympathetic drive has been implicated in increased blood pressure variability with repetitive sympathetic activation and blood pressure surges impairing baroreflex and cardiovascular reflex functions (284). A direct relationship between the severity of OSA and the increase in blood pressure has been noted. Furthermore, the use of continuous positive airway pressure (CPAP) for the treatment of OSA has been shown to lower blood pressure and improve cardiovascular autonomic nerve fiber function for individuals with OSA. Withdrawal of CPAP for even a short period (i.e., 1 week) has been shown to result in a marked increase in sympathetic activity (284).

 

GASTROPATHY

 

Gastrointestinal motor disorders are frequent and widespread in patients with type 2 diabetes, regardless of symptoms (334) and there is a poor correlation between symptoms and objective evidence of a functional or organic defect. The first step in management of diabetic gastroparesis consists of multiple, small feedings; decreased fat intake as it tends to delay gastric emptying; maintenance of glycemic control (335,336); and a low-fiber diet to avoid bezoar formation. Metoclopramide may be used. Domperidone (337,338) has been shown to be effective in some patients, although probably no more so than metoclopramide. Erythromycin given as either a liquid or suppository also may be helpful. Erythromycin acts on the motilin receptor, "the sweeper of the gut," and shortens gastric emptying time (339). Several novel drugs, including the ghrelin (orexigenic hormone) and ghrelin receptor agonists, motilin agonist (mitemcinal), 5-HT4-receptor agonists and the muscarinic antagonist are being investigated for their prokinetic effects (340,341).  If medications fail and severe gastroparesis persists, jejunostomy placement into normally functioning bowel may be needed. Different treatment modalities for gastroparesis include dietary modifications, prokinetic and antiemetic medications, measures to control pain and address psychological issues, and endoscopic or surgical options in selected instances (342).

 

For additional information see the Endotext chapter entitled “Gastrointestinal Disorders in Diabetes”.

 

ENTEROPATHY     

 

Enteropathy involving the small bowel and colon can produce both chronic constipation and explosive diabetic diarrhea, making treatment of this complication difficult.

 

Antibiotics: Stasis of bowel contents with bacterial overgrowth may contribute to the diarrhea. Treatment with broad-spectrum antibiotics is the mainstay of therapy, including tetracycline or trimethoprim and sulfamethoxazole. Metronidazole appears to be the most effective and should be continued for at least 3 weeks.

 

Cholestyramine: Retention of bile may occur and can be highly irritating to the gut. Chelation of bile salts with cholestyramine 4g tid mixed with fluid may offer relief of symptoms.

 

Diphenoxylate plus atropine: Diphenoxylate plus atropine may help to control the diarrhea; however, toxic megacolon can occur, and extreme care should be used.

 

Diet: Patients with poor digestion may benefit from a gluten-free diet, while constipation may respond to a high-soluble-fiber diet supplemented with daily hydrophilic colloid. Beware of certain fibers in the neuropathic patient that can lead to bezoar formation because of bowel stasis in gastroparetic or constipated patients.

 

For additional information see the Endotext chapter entitled “Gastrointestinal Disorders in Diabetes”.

 

SEXUAL DYSFUNCTION

 

Erectile dysfunction (ED) occurs in 50-75% of men with diabetes, and it tends to occur at an earlier age than in the general population. The incidence of ED in men with diabetes aged 20-29 years is 9% and increases to 95% by age 70. It may be the presenting symptom of diabetes. More than 50% notice the onset of ED within 10 years of the diagnosis, but it may precede the other complications of diabetes. The etiology of ED in diabetes is multifactorial. Neuropathy, vascular disease, diabetes control, nutrition, endocrine disorders, psychogenic factors as well as drugs used in the treatment of diabetes and its complications play a role (343,344). The diagnosis of the cause of ED is made by a logical stepwise progression in all instances. An approach to therapy has been presented to which the reader is referred; Figure 22 below shows a flow chart modified from Vinik et. al., 1998 (302).

Figure 22. Evaluation of patients with diabetes with erectile dysfunction

A thorough work-up for impotence will include: medical and sexual history; physical and psychological evaluations; blood tests for diabetes and levels of testosterone, prolactin, and thyroid hormones; tests for nocturnal erections; tests to assess penile, pelvic, and spinal nerve function; and a test to assess penile blood supply and blood pressure. The flow chart provided is intended as a guide to assist in defining the problem. The healthcare provider should initiate questions that will help distinguish the various forms of organic erectile dysfunction from those that are psychogenic in origin. Physical examination must include an evaluation of the autonomic nervous system, vascular supply, and the hypothalamic-pituitary-gonadal axis.

 

Autonomic neuropathy causing ED is almost always accompanied by loss of ankle jerks and absence or reduction of vibration sense over the large toes. More direct evidence of impairment of penile autonomic function can be obtained by (1) demonstrating normal perianal sensation, (2) assessing the tone of the anal sphincter during a rectal exam, and (3) ascertaining the presence of an anal wink when the area of the skin adjacent to the anus is stroked or contraction of the anus when the glans penis is squeezed, i.e., the bulbo-cavernosus reflex. These measurements are easily and quickly done at the bedside and reflect the integrity of sacral parasympathetic divisions.

 

Vascular disease is usually manifested by buttock claudication but may be due to stenosis of the internal pudendal artery. A penile/brachial index of <0.7 indicates diminished blood supply. A venous leak manifests as unresponsiveness to vasodilators and needs to be evaluated by penile Doppler sonography.

 

In order to distinguish psychogenic from organic erectile dysfunction, nocturnal penile tumescence (NPT) measurement can be done. Normal NPT defines psychogenic ED, and a negative response to vasodilators implies vascular insufficiency. Application of NPT is not so simple. It is much like having a sphygmomanometer cuff inflate over the penis many times during the night while one is trying to have a normal night's sleep and the REM sleep associated with erections. The individual may have to take home the device and become familiar with it over several nights before one has a reliable estimate of the failure of NPT.

 

Treatment of Erectile Dysfunction

 

A number of treatment modalities are available and each treatment has positive and negative effects; therefore, patients must be made aware of both aspects before a therapeutic decision is made. Before considering any form of treatment, every effort should be made to have the patient withdraw from alcohol and eliminate smoking. If possible, drugs that are known to cause erectile dysfunction should be removed. Additionally, metabolic control should be optimized.

 

Relaxation of the corpus cavernous smooth muscle cells is caused by NO and cGMP, and the ability to have and maintain an erection depends on NO and cGMP. The peripherally acting oral phosphodiesterase type 5 (PDE5) inhibitors block the action of PDE5, and cGMP accumulates, enhancing blood flow to the corpora cavernosum with sexual stimulation. This class of agents consists of sildenafil, vardenafil, and tadalafil. They have been evaluated in patients with diabetes with similar levels of efficacy of about 70%. A 50 mg tablet of sildenafil taken orally is the usual starting dose, 60 minutes before sexual activity. Lower doses should be considered in patients with renal failure and hepatic dysfunction. The duration of the drug effect is 4 hours. Generally, patients with diabetes require the maximum dose of each agent, sildenafil 100 mg, tadalafil 20 mg, and vardenafil 20 mg. Before prescribing a PDE5 inhibitor, it is important to exclude ischemic heart disease. These are absolutely contraindicated in patients being treated with nitroglycerine or other nitrate-containing drugs. Severe hypotension and fatal cardiac events can occur (345). Side-effects include headache, flushing, dyspepsia, and muscle pain (346). Direct injection of prostacyclin into the corpus cavernosum will induce satisfactory erections in a significant number of men. Also, surgical implantation of a penile prosthesis may be appropriate. The less expensive type of prosthesis is a semirigid, permanently erect type that may be embarrassing and uncomfortable for some patients. The inflatable type is three times more expensive and subject to mechanical failure, but it avoids the embarrassment caused by other devices.

 

Female Sexual Dysfunction

 

Women with diabetes mellitus may experience decreased sexual desire and more pain on sexual intercourse, and they are at risk of decreased sexual arousal, with inadequate lubrication (347). Diagnosis of female sexual dysfunction using vaginal plethysmography to measure lubrication and vaginal flushing has not been well established.

 

For additional information on this topic see the Endotext chapter entitled “Sexual Dysfunction in Diabetes”.

 

CYSTOPATHY

 

In diabetic autonomic neuropathy, the motor function of the bladder is unimpaired, but afferent fiber damage results in diminished bladder sensation. The urinary bladder can be enlarged to more than three times its normal size. Patients are seen with bladders filled to their umbilicus, yet they feel no discomfort. Loss of bladder sensation occurs with diminished voiding frequency, and the patient is no longer able to void completely. Consequently, dribbling and overflow incontinence are common complaints. A post-void residual of greater than 150cc is diagnostic of cystopathy. Cystopathy may put the patients at risk for urinary infections.

 

Treatment of Cystopathy

 

Patients with cystopathy should be instructed to palpate their bladder and, if they are unable to initiate micturition when their bladders are full, use Crede's maneuver (massage or pressure on the lower portion of abdomen just above the pubic bone) to start the flow of urine. The principal aim of the treatment should be to improve bladder emptying and to reduce the risk of urinary tract infection. Parasympathomimetics such as bethanechol are sometimes helpful, although frequently they do not help to fully empty the bladder. Extended sphincter relaxation can be achieved with an alpha-1-blocker, such as doxazosin. Self-catheterization can be particularly useful in this setting, with the risk of infection generally being low.

 

SWEATING DYSFUNCTION

 

Hyperhidrosis of the upper body, often related to eating (gustatory sweating), and anhidrosis of the lower body, are a characteristic feature of autonomic neuropathy. Gustatory sweating accompanies the ingestion of certain foods, particularly spicy foods, and cheeses. There is a suggestion that application of glycopyrrolate (an antimuscarinic compound) might benefit diabetes patients with gustatory sweating (348). Low-dose oral glycopyrrolate in the range of 1 mg to 2 mg once daily can be tolerated without problematic adverse effects to alleviate the symptoms of diabetic gustatory sweating. Although more long-term data are needed, the use of glycopyrrolate for diabetic gustatory sweating may be a viable option (349). Symptomatic relief can be obtained by avoiding the specific inciting food. Loss of lower body sweating can cause dry, brittle skin that cracks easily, predisposing one to ulcer formation that can lead to loss of the limb. Special attention must be paid to foot care.

 

METABOLIC DYSFUNCTION

 

Hypoglycemia Unawareness

 

Blood glucose concentration is normally maintained during starvation or increased insulin action by an asymptomatic parasympathetic response with bradycardia and mild hypotension, followed by a sympathetic response with glucagon and epinephrine secretion for short-term glucose counter regulation, and growth hormone and cortisol secretion for long-term regulation. The release of catecholamine alerts the patient to take the required measures to prevent coma due to low blood glucose. The absence of warning signs of impending neuroglycopenia is known as "hypoglycemic unawareness". The failure of glucose counter regulation can be confirmed by the absence of glucagon and epinephrine responses to hypoglycemia induced by a standard, controlled dose of insulin (350).

 

In patients with type 1 diabetes mellitus, the glucagon response is impaired with diabetes duration of 1-5 years; after 14-31 years of diabetes, the glucagon response is almost undetectable. Absence of the glucagon response is not present in those with autonomic neuropathy. However, a syndrome of hypoglycemic autonomic failure occurs with intensification of diabetes control and repeated episodes of hypoglycemia. The exact mechanism is not understood, but it does represent a real barrier to physiologic glycemic control. In the absence of severe autonomic dysfunction, hypoglycemia unawareness is at least in part reversible.

 

Patients with hypoglycemia unawareness and unresponsiveness pose a significant management problem for the physician. Although autonomic neuropathy may improve with intensive therapy and normalization of blood glucose, there is a risk to the patient, who may become hypoglycemic without being aware of it and who cannot mount a counterregulatory response. It is our recommendation that if a pump is used, boluses of smaller than calculated amounts should be used and, if intensive conventional therapy is used, long-acting insulin with very small boluses should be given. In general, normal glucose and HbA1 levels should not be goals in these patients to avoid the possibility of hypoglycemia. The use of continuous glucose monitoring with hypoglycemic alarms can be very helpful in warning patients of hypoglycemia and in preventing severe hypoglycemic reactions.

 

Further complicating management of some patients with diabetes is the development of a functional autonomic insufficiency associated with intensive insulin treatment, which resembles autonomic neuropathy in all relevant aspects. In these instances, it is prudent to relax therapy, as for the patient with bona fide autonomic neuropathy. If hypoglycemia occurs in these patients at a certain glucose level, it will take a lower glucose level to trigger the same symptoms in the next 24-48 hours. Avoidance of hypoglycemia for a few days will result in recovery of the adrenergic response.

 

For additional information on this topic see the Endotext chapter entitled “Hypoglycemia During Therapy of Diabetes”.

 

DIABETIC NEUROPATHIES: PROSPECTS FOR THE FUTURE

 

Management of DN encompasses a wide variety of therapies. Treatment must be individualized in a manner that addresses the particular manifestation and underlying pathogenesis of each patient's unique clinical presentation, without subjecting the patient to untoward medication effects. An increased understanding of the pathogenesis of DN will lead to more effective approaches to diagnose and treat this condition.  Refinements and adoption of new approaches to measure quantitatively and diagnose DN early is crucial, so that appropriate therapies (risk factor modification or pathogenic) can be commenced before nerve damage is established. These tests must be validated and standardized to allow comparability between studies and a more meaningful interpretation of study results. Our ability to manage successfully the many different manifestations of DN depends ultimately on our success in uncovering the pathogenic processes underlying this disorder.

 

ACKNOWLEDGEMENTS

 

This chapter updates the original Endotext chapter on this topic written by Aaron Vinik, Carolina Casellini, and Marie-Laure Nevoret.

 

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The Effect of Inflammation and Infection on Lipids and Lipoproteins

ABSTRACT

 

Chronic inflammatory diseases, such as rheumatoid arthritis (RA), systemic lupus erythematosus (SLE), and psoriasis and infections, such as periodontal disease and HIV, are associated with an increased risk of cardiovascular disease. Patients with these disorders also have an increase in coronary artery calcium measured by CT and carotid intima media thickness measured by ultrasound. Inflammation and infections induce a variety of alterations in lipid metabolism that may initially dampen inflammation or fight infection, but if chronic could contribute to the increased risk of atherosclerosis. The most common changes are decreases in serum HDL and increases in triglycerides. The increase in serum triglycerides is due to both an increase in hepatic VLDL production and secretion and a decrease in the clearance of triglyceride rich lipoproteins. The mechanisms by which inflammation and infection decrease HDL levels are uncertain. With inflammation there is also a consistent increase in lipoprotein (a) levels due to increased apolipoprotein (a) synthesis. LDL levels are frequently decreased but the prevalence of small dense LDL is increased due to exchange of triglycerides from triglyceride rich lipoproteins to LDL followed by triglyceride hydrolysis. In addition to affecting serum lipid levels, inflammation also adversely effects lipoprotein function. LDL is more easily oxidized as the ability of HDL to prevent the oxidation of LDL is diminished. Moreover, there are a number of steps in the reverse cholesterol transport pathway that are adversely affected during inflammation.  The greater the severity of the underlying inflammatory disease, the more consistently these abnormalities in lipids and lipoproteins are observed. Treatment of the underlying disease leading to a reduction in inflammation results in the return of the lipid profile towards normal. The changes in lipids and lipoproteins that occur during inflammation and infection are part of the innate immune response and therefore are likely to play an important role in protecting the host. The standard risk calculators for predicting cardiovascular disease (ACC/AHA, Framingham, SCORE, etc.) underestimate the risk in patients with inflammation. It has been recommended to increase the calculated risk by approximately 50% in patients with severe inflammatory disorders. The treatment of lipid disorders in patients with inflammatory disorders is similar to patients without inflammatory disorders. Of note statins, fibrates, and fish oil have anti-inflammatory properties and have been reported to have beneficial effects on some of these inflammatory disorders.

 

INTRODUCTION

 

A number of chronic inflammatory diseases, including rheumatoid arthritis (RA), systemic lupus erythematosus (SLE), ankylosing spondylitis, Sjögren's syndrome, polymyalgia rheumatica, inflammatory bowel disease, and psoriasis are associated with an increased risk of cardiovascular disease (1-9). For example, in a meta-analysis of twenty-four studies comprising 111,758 patients with 22,927 cardiovascular events it was observed that there was a 50% increased risk of CVD death in patients with RA (10). In some studies patients with RA have a similar risk for a cardiovascular event as patients with diabetes (11). Similarly, women with SLE in the 35- to 44-year age group were over 50 times more likely to have a myocardial infarction than were women of similar age in the Framingham Offspring Study (12). As a final example, a meta-analysis of 14 studies reported that in individuals with severe psoriasis the risk for cardiovascular mortality was 1.37, the risk for myocardial infarction was 3.04, and the risk for stroke was 1.59 times higher than the general population (13). It should be noted that the pathology in psoriasis is localized to the skin but nevertheless even this disorder, by inducing systemic inflammation, is associated with an increased risk of cardiovascular disease.

 

Further, supporting the link of RA, SLE, and psoriasis with atherosclerosis are studies showing that patients with these disorders have an increase in coronary artery calcium measured by CT and carotid intima media thickness measured by ultrasound (14-20). Finally, even children and adolescents with SLE have an increase in carotid intimal-medial thickness (21). Thus, it is clear that patients with a number of different chronic inflammatory diseases have an increased risk of atherosclerotic cardiovascular complications.

 

In addition, chronic infections are also associated with an increased risk of atherosclerosis (22-24). Since the development of effective anti-viral agents, it has been widely recognized that a major cause of morbidity and mortality in HIV infected patients is due to cardiovascular disease (25,26). Moreover, numerous studies have demonstrated an association of periodontal infections with an increased risk of atherosclerotic vascular disease (27). Additionally, carotid intima-media thickness is increased in patients with periodontal disease (28-31). The link between various chronic infections, such as HIV, dental infections, Helicobacter pylori, chronic bronchitis, and urinary tract infections with cardiovascular disease is presumably due to the chronic inflammation that accompanies these infections (32). For certain infections such as chlamydia pneumonia and cytomegalovirus it is possible that the association with cardiovascular disease is due to a direct role in the vessel wall.

 

To definitively link inflammation with cardiovascular disease studies determining the effect of anti-inflammatory drugs on cardiovascular events have been carried out. The Cantos study has provided data supporting a link between inflammation and cardiovascular disease (33). In this trial 10,061 patients with a previous myocardial infarction and a hsCRP level of 2 mg/L or more were randomized to canakinumab, a monoclonal antibody targeting interleukin-1β, or placebo. At 48 months canakinumab did not reduce lipid levels from baseline but did reduce hsCRP levels by approximately 30-40% indicating a decrease in inflammation. Most importantly, canakinumab administration led to a significantly lower rate of recurrent cardiovascular events than placebo. In addition, several randomized trials have demonstrated that colchicine reduces cardiovascular events in patients with chronic cardiovascular disease (34-36). These results support the hypothesis that inflammation increases the risk of cardiovascular events and that reducing inflammation will decrease events. In contrast to the positive trials described above, a trial using methotrexate to inhibit inflammation failed to reduce cardiovascular event (37). However, in this trial methotrexate did not reduce levels of interleukin-1β, interleukin-6, or C-reactive protein raising the possibility that methotrexate did not effectively inhibit inflammation and therefore did not reduce cardiovascular events. Clearly further studies determining the effect of drugs that reduce inflammation on cardiovascular events are required.

 

The mechanisms by which chronic inflammation and infection increase the risk of atherosclerotic cardiovascular disease are likely multifactorial. As will be discussed below inflammation and infection induce a variety of alterations in lipid and lipoprotein metabolism that could contribute to the increased risk of atherosclerosis.     

 

LIPID AND LIPOPROTEIN ABNORMALITIES IN PATIENTS WITH INFLAMMATORY DISORDERS AND INFECTIONS

 

Rheumatoid Arthritis

 

The most consistent abnormality in patients with RA is a decrease in HDL-C and apolipoprotein A-I levels (9,38-41). In particular, small HDL particles are decreased in patients with RA (42). Patients with more severe RA have the greatest reductions in HDL-C levels (38-41,43). There is an inverse correlation of CRP levels with HDL-C levels (i.e., higher CRP levels are associated with lower HDL-C levels). With regards to total cholesterol and LDL-C, there is more variability with many studies showing a decrease, other studies showing no change, and some studies showing an increase in patients with RA (38-41,43). The more severe the RA the greater the likelihood that the LDL-C levels will be decreased. Small dense LDL levels are increased in RA (44,45). Serum triglyceride levels tend to be increased in patients with RA (38-41,43,46). Levels of lipoprotein (a) are characteristically elevated in patients with RA and correlate with CRP levels (47-49).  

 

Systemic Lupus Erythematosus

 

The changes in serum lipids and lipoproteins seen in patients with SLE are very similar to those observed in patients with RA (50-52). Specifically, there is a decrease in HDL-C levels and an increase in serum triglyceride levels. LDL-C levels are variable and maybe increased, normal, or low but small dense LDL levels tend to be increased. Lipoprotein (a) levels are also increased (53). Similar to RA the more severe the disease state the greater the alterations in serum lipid levels.

 

Psoriasis

 

A large number of studies have compared serum lipid levels in controls and patients with psoriasis (54). However, many of these studies included only a small number of subjects and the results have therefore been extremely variable with some studies showing alterations in serum lipid levels in patients with psoriasis and other studies showing no changes. In general, there is a tendency for an increase in serum triglycerides and a decrease in HDL-C levels in patients with psoriasis (55-59). Additionally, a number of studies showed an increase in LDL-C and lipoprotein (a) levels in patients with psoriasis (55,56,58). Small dense LDL levels and oxidized Lp(a) are also increased in psoriasis (46) (60). This variability between studies is most likely due to differences in the severity of the psoriasis with more severe disease demonstrating more robust alterations in lipid levels. The prevalence of other abnormalities that affect lipid metabolism such as obesity and abnormalities in glucose metabolism could also account for the variability in results.

 

Other Inflammatory Disease

 

Decreased HDL-C levels have also been observed in patients with inflammatory bowel disease, Sjögren's syndrome, and ankylosing spondylitis (61-64). LDL-C and triglyceride levels varied but LDL-C levels tended to be decreased and triglyceride levels increased.

 

Periodontal Disease

 

Differences exist between studies but in general patients with periodontitis tend to have increased LDL-C and triglyceride levels and decreased HDL-C levels (65-69). Additionally, the prevalence of small dense LDL is increased in patients with periodontitis (68,70). The severity of the periodontitis correlated with the changes in the in the lipid profile with patients with increased periodontal disease having higher triglyceride levels, lower HDL-C levels, and smaller LDL particle size (71). Moreover, treatment of periodontitis improved the dyslipidemia, with the HDL-C levels increasing and the LDL-C levels decreasing (68,72,73).  

 

Acute Infections

 

Patients with a variety of different infections (gram positive bacterial, gram negative bacterial, viral, tuberculosis, parasitic) have similar alterations in plasma lipid levels. Specifically, total cholesterol, LDL-C, and HDL-C levels are decreased while plasma triglyceride levels are elevated or inappropriately normal for the poor nutritional status (32,74-81). As expected apolipoprotein A-I, A-II, and B levels are reduced (74,79,80). While LDL-C levels were decreased, the concentration of small dense LDL has been found to be increased during infections (82-84).That plasma cholesterol levels decrease during infection has been known for many years as it was described by Denis in 1919 in the Journal of Biological Chemistry (JBC 29: 93, 1919). The alterations in lipids correlate with the severity of the underlying infection i.e., the more severe the infection the more severe the alterations in lipid and lipoprotein levels (85,86). The decreases in plasma cholesterol levels can be quite profound and a case report described HDL-C levels < 10mg/dl and LDL-C levels < 3mg/dl in sepsis (87).

 

Of note studies have demonstrated that the degree of reduction in total cholesterol, HDL-C, and apolipoprotein A-I are predictive of mortality in patients with severe sepsis (81,88-92). Moreover, epidemiologic studies have suggested that low cholesterol, LDL-C, and HDL levels increase the chance of developing an infection (93-96). Additionally, a genetic approach, which reduces the risk of confounding variables, has suggested a causal relationship between low HDL-C levels and an increased risk of infections (97,98). During recovery from the infection plasma lipid and lipoprotein abnormalities return towards normal. The changes in lipid and lipoproteins that occur during infection can be experimentally reproduced in humans and animals by the administration of endotoxin and lipoteichoic acid (32,99).   

 

Summary  

 

Thus, in these different inflammatory disorders and infectious diseases, the alterations in plasma lipid and lipoprotein levels are very similar with decreases in plasma HDL being consistently observed. Also of note is the consistent increase in small dense LDL and Lp(a) level (the increase in Lp(a) occurs in inflammatory diseases but not infections) (32,100). There is also a tendency for plasma triglyceride levels to be elevated and LDL-C levels decreased. The greater the severity of the underlying disease the more consistently these abnormalities in lipids are observed. Additionally, treatment of the underlying disease leading to a reduction in inflammation results in a return of the lipid profile towards normal. This is best illustrated in periodontal disease where intensive dental hygiene can reverse the abnormalities in the lipid profile (72,73).

 

Table 1. Effect of Inflammation and Infection on Lipid and Lipoprotein Levels

Triglycerides- Tend to be increased

HDL-C- Decreased

LDL-C- Variable but with more severe inflammation or infection they are decreased

Small dense LDL- Increased

Lp(a)- Increased with inflammation; may decrease with certain infections

 

EFFECT OF ANTI-INFLAMMATORY DRUGS ON LIPID LEVELS

 

Treatments that reduce inflammation will return the lipid profile towards normal resulting in an increase in plasm HDL levels and a decrease in triglyceride levels. If LDL levels were reduced at baseline, treatment that reduces inflammation will also result in an increase in LDL levels (i.e., a return towards “normal” levels) (101-103). Many of the drugs used for the treatment of RA, SLE, and psoriasis decrease inflammation and have been shown to increase both HDL and LDL levels (9,101,102,104). The increase in HDL tends to be more robust. In a few instances, drugs used to treat inflammatory disorders have effects on lipid metabolism that are independent of the reduction in inflammation. For example, high dose glucocorticoid treatment results in an increase in serum triglyceride and LDL levels due to the increased production and secretion of VLDL by the liver (105-107) and hydroxychloroquine has been reported to lower total cholesterol, LDL, and triglycerides in patients with RA and SLE (108-110).

 

PATHOPHYSIOLOGY OF THE DYSLIPIDEMIA OF INFLAMMATION AND INFECTION

 

Inflammation and infections increase the production of a variety of cytokines, including TNF, IL-1, and IL-6, which have been shown to alter lipid metabolism (32). Many of the changes in plasma lipids and lipoproteins that are seen during chronic inflammation and infections are also observed following the acute administration of cytokines (32).

 

Increased Triglyceride Levels

 

Multiple cytokines increase serum triglyceride and VLDL levels (TNF, IL-1, IL-2, IL-6, etc.) (32). Following a single administration of a cytokine or LPS (a model of gram-negative infections), which stimulates cytokine production, an increase in serum triglyceride and VLDL levels can be seen within 2 hours and this effect is sustained for at least 24 hours. The increase in serum triglycerides is due to both an increase in hepatic VLDL production and secretion and a decrease in the clearance of triglyceride rich lipoproteins (figure 1) (32). The increase in VLDL production and secretion is a result of increased hepatic fatty acid synthesis, an increase in adipose tissue lipolysis with the increased transport of fatty acids to the liver, and a decrease in fatty acid oxidation in the liver. Together these changes provide an increased supply of fatty acids in the liver that stimulate an increase in hepatic triglyceride synthesis (32). The increased availability of triglycerides leads to the increased formation and secretion of VLDL. The decrease in the clearance of triglyceride rich lipoproteins is due to a decrease in lipoprotein lipase, the key enzyme that metabolizes triglycerides in the circulation (32). A variety of cytokines have been shown to decrease the synthesis of lipoprotein lipase in adipose and muscle tissue (32). Studies have also shown that inflammation also increases angiopoietin like protein 4, an inhibitor of lipoprotein lipase activity, which would further block the metabolism of triglyceride rich lipoproteins (111). In SLE, antibodies to lipoprotein lipase have been reported and are associated with increased triglyceride levels (112,113).

Figure 1. Pathogenesis of Hypertriglyceridemia

Production of Small Dense LDL

 

The elevation in triglyceride rich lipoproteins in turn has effects on other lipoproteins (32). Specifically, cholesterol ester transfer protein (CETP) mediates the exchange of triglycerides from triglyceride rich VLDL and chylomicrons to LDL. The increase in triglyceride rich lipoproteins per se leads to an increase in CETP mediated exchange, increasing the triglyceride content of LDL. The triglyceride on LDL is then hydrolyzed by hepatic lipase leading to the increased production of small dense LDL.

 

Decreased HDL Levels

 

In addition to a decrease in HDL, inflammation can also lead to structural changes in this lipoprotein (32). During inflammation HDL particles tend to be larger with a decrease in cholesterol ester and an increase in free cholesterol, triglycerides, and free fatty acids. Furthermore, there are marked changes in HDL associated proteins and the enzymes and transfer proteins involved in HDL metabolism and function (figure 2 and 3).

Figure 2. Changes in HDL Protein Composition During Inflammation

Figure 3. Changes in Enzymes and Transfer Proteins During Inflammation

The precise mechanism by which inflammation and infection decrease HDL levels is uncertain and is likely to involve multiple mechanisms (32). Decreases in apolipoprotein A-I synthesis in the liver occur during inflammation and would result in the decreased formation of HDL. However, in acute infection and inflammation HDL decreases faster than would be predicted from decreased synthesis of apolipoprotein A-I. Increased serum amyloid A (SAA) production by the liver and other tissues occurs during inflammation and infection and the SAA binds to HDL displacing apolipoprotein A-I, which can accelerate the clearance of HDL. However, the overexpression in SAA in the absence of the acute phase response does not result in a decrease in HDL levels (114). Inflammation results in a decrease in LCAT leading to decreased cholesterol ester formation, which would prevent the formation of normal HDL, leading to decreased cholesterol carried in HDL. Elevations in triglyceride rich lipoproteins that accompany inflammation and infection can lead to the enrichment of HDL with triglycerides that can accelerate the clearance of HDL. Finally, cytokine induced increases in enzymes such as secretory phospholipase A2 (sPLA2) and endothelial cell lipase, which metabolize key constituents of HDL, could alter the stability and metabolism of HDL. Given the complexity of HDL metabolism it is not surprising that multiple pathways could be affected by inflammation, which together may account for the decrease in HDL levels.

 

Increased Lipoprotein (a)

 

The mechanism accounting for the increase in lipoprotein (a) (Lp(a)) during inflammation is likely due to increased apolipoprotein (a) synthesis, as apolipoprotein (a) is a positive acute phase protein whose expression is up-regulated during inflammation (32,115). The apolipoprotein (a) gene contains several IL-6 responsive elements that enhance transcription (116). Tocilizumab an antibody against IL-6, that is used to treat RA, has been shown to decrease Lp(a) levels (117) .

 

FUNCTIONAL CHANGES IN LIPOPROTEINS THAT INCREASE THE RISK OF ATHEROSCLEROSIS

 

LDL

 

While the levels of LDL do not consistently increase and may even decrease with inflammation and infection, many studies have indicated that inflammation and infection are associated with small dense LDL (32). These small dense LDL particles are believed to be more pro-atherogenic for a number of reasons (118). Small dense LDL particles have a decreased affinity for the LDL receptor resulting in a prolonged period of time in the circulation. Additionally, they more easily enter the arterial wall and bind more avidly to intra-arterial proteoglycans, which traps them in the arterial wall. Finally, small dense LDL particles are more susceptible to oxidation, which could result in an enhanced uptake by macrophages (119).

 

Several markers of lipid peroxidation, including conjugated dienes, thiobarbituric acid-reactive substances, malondialdehyde, and lipid hydroperoxides are increased in serum and/or circulating LDL during inflammation and infection (32,71,120-123). Moreover, LDL isolated from LPS-treated animals is more susceptible to oxidation in vitro (32). Oxidized LDL is taken up very efficiently by macrophages and is thought to play a major role in foam cell formation in the arterial wall (124). Additionally, antibodies to oxidized LDL are present in patients with SLE and could facilitate the uptake of an antibody LDL complex via the Fc-receptor in macrophages (120). Finally, studies have shown that LDL isolated from patients with periodontal disease leads to enhanced uptake of cholesterol esters by macrophages (71)

 

HDL

 

In addition to a decrease in serum HDL, inflammation and infection affects the anti-atherogenic properties of HDL (32,125,126). Reverse cholesterol transport plays a key role in preventing cholesterol accumulation in macrophages thereby reducing atherosclerosis. Many steps in the reverse cholesterol transport pathway are adversely affected during inflammation and infection (figure 4 and 5)  (43,127). First, cytokines induced by inflammation and infection decrease the production of Apo A-I, the main protein constituent of HDL. Second, pro-inflammatory cytokines decrease the expression of ABCA1, ABCG1, SR-B1, and apolipoprotein E in macrophages, which will lead to a decrease in the efflux of phospholipids and cholesterol from the macrophage to HDL. Third, the structurally altered HDL formed during inflammation is a poor acceptor of cellular cholesterol and in fact may actually deliver cholesterol to the macrophage (43,61,127-134). HDL isolated from patients with RA, SLE, inflammatory bowel disease, psoriasis, ankylosing spondylitis, periodontal disease, and acute sepsis are poor facilitators of cholesterol efflux (61,128-133,135). Similarly, the experimental administration of endotoxin to humans also results in the formation of HDL that is a poor facilitator of the efflux of cholesterol from macrophages (136). Of note treatments that reduce inflammation in patients with RA, psoriasis, or periodontitis can restore towards normal the ability of HDL to remove cholesterol from cells (133,137-139). Fourth, pro-inflammatory cytokines decrease the production and activity of LCAT, which will limit the conversion of cholesterol to cholesteryl esters in HDL. This step is required for the formation of a normal spherical HDL particle and facilitates the ability of HDL to transport cholesterol. Fifth, pro-inflammatory cytokines decrease CETP levels, which will decrease the movement of cholesterol from HDL to Apo B containing lipoproteins, an important step in the delivery of cholesterol to the liver. Sixth, pro-inflammatory cytokines decrease the expression of SR-B1 in the liver. SR-B1 plays a key role in the uptake of cholesterol from HDL particles into hepatocytes. Finally, inflammation and infection decrease both the conversion of cholesterol to bile acids and the secretion of cholesterol into the bile, the two mechanisms by which cholesterol is disposed of by the liver.

Figure 4. Effect of Inflammation on Reverse Cholesterol Transport (from reference (127))

Figure 5. Effect of Inflammation on the Factors Involved in Reverse Cholesterol Transport (from reference (127))

Another important function of HDL is to prevent the oxidation of LDL. Oxidized LDL is more easily taken up by macrophages and is pro-atherogenic (124). Paraoxonase is an enzyme that is associated with HDL and plays a key role in preventing the oxidation of LDL. Inflammation and infection decrease the expression of paraoxonase 1 in the liver resulting in a decrease in circulating paraoxonase activity (32). Plasma paraoxonase levels are decreased in patients with RA, SLE, psoriasis, and infections (140-148) Studies have shown that HDL isolated from patients with RA and SLE have a diminished ability to protect LDL from oxidation and in fact may facilitate LDL oxidation (125). Moreover, in patients with RA, reducing inflammation and disease activity with methotrexate treatment restored HDL function towards normal (149). Additionally, treatment with atorvastatin 80mg improved the function of HDL in patients with RA (150). 

 

Thus, it should be recognized that in patients with inflammatory disorders and infections the absolute levels of lipids and lipoproteins may not be the only factor increasing the risk of atherosclerosis (32,54,121,125-127). Rather functional changes in LDL and HDL maybe pro-atherogenic and thereby contribute to the increased risk of atherosclerosis in inflammatory disorders and infections. Additionally, the increase in lipoprotein (a) may also play a role.

 

Table 2. Pro-Atherogenic Changes During Inflammation

Increased triglycerides

Decreased HDL

Increased small dense LDL

Increased Lp(a)

Oxidized LDL

Dysfunctional HDL

 

BENEFICIAL EFFECTS OF LIPIDS DURING INFECTIONS AND INFLAMMATION

 

The changes in lipids and lipoproteins that occur during inflammation and infection are part of the innate immune response and therefore are likely to play an important role in protecting from the detrimental effects of infection and inflammatory stimuli (32,151-153). Some of the potential beneficial effects are listed in Table 3. Thus, the changes in lipid and lipoprotein metabolism that occur during inflammation may initially be protective but if chronic can increase the risk of atherosclerosis.

 

Table 3. Beneficial Effects of Lipoproteins

Redistribution of nutrients to immune cells that are important in host defense

Lipoproteins bind endotoxin, lipoteichoic acid, viruses and other biological agents and prevent their toxic effects

Lipoproteins bind urate crystals

Lipoproteins bind and target parasites for destruction

Apolipoproteins neutralize viruses

Apolipoproteins lyse parasites

 

LIPID MANAGEMENT IN A PATIENT WITH AN INFLAMMATORY DISEASE

 

Deciding When to Treat

 

As noted earlier, patients with inflammatory disorders are at an increased risk for atherosclerosis and this is not totally accounted for by standard lipid profile measurements and other risk factors (1-3,9). Some authors have advocated considering inflammatory disorders as a cardiovascular risk equivalent similar to diabetes; risk calculators (ACC/AHA, Framingham,  and SCORE) commonly used for deciding on lipid lowering therapy do not take into account this increased risk in patients with inflammatory disorders (3,154,155). It should be noted that the QRISK calculator (http://qrisk.org/) does factor in the presence of RA when calculating risk (156). Not surprisingly, the standard risk calculators for predicting cardiovascular disease (ACC/AHA and Framingham) underestimate the risk in this population (157-162). Even the Reynolds Risk Calculator (http://www.reynoldsriskscore.org/Default.aspx), which uses measurements of hsCRP levels, a marker of inflammation, underestimates the risk of cardiovascular events in patients with inflammatory disorders (157-161). Thus, using these calculators will underestimate cardiovascular risk in patients with inflammatory disorders. However, in both the 2018 American College of Cardiology/American Heart Association and 2019 European Society of Cardiology (ESC)/European Atherosclerosis Society (EAS) guideline recommendations, the presence of inflammatory disease is included as a risk factor, which can influence decisions on whether to initiate treatment (163,164).

 

A reasonable approach is to use the standard approach and calculators but increase the calculated risk by approximately 50% in patients with severe inflammatory disorders. For example, if a patient with severe RA has a 5% ten-year risk and 40% lifetime risk one might increase the ten-year risk to 7.5% and lifetime risk to 60%. This approach has been recommended by an expert committee who advocated introducing a 1.5 multiplication factor (i.e., 50% increase) in patients with RA (9). Alternatively, one could carry out imaging studies such as obtaining a coronary artery calcium score to better define risk. Whatever the approach taken, it is crucial to recognize that patients with inflammatory diseases have an increased risk of cardiovascular disease and therefore one needs to be more aggressive.

 

Guidelines from the American College of Cardiology (ACC)/American Heart Association (AHA) and European Society of Cardiology (ESC)/European Atherosclerosis Society (EAS) are briefly summarized in table 4, 5,and 6 (163,164) and are discussed in detail in the Endotext chapter “Guidelines for the Management of High Blood Cholesterol” (165).

 

Table 4. ACC/AHA Guidelines

In patients with clinical ASCVD initiate high intensity statin therapy or maximally tolerated statin therapy. High intensity statin therapy is atorvastatin 40-80mg per day or rosuvastatin 20-40mg per day.

In very high-risk ASCVD, use an LDL-C > 70 mg/dL (1.8 mmol/L) to consider addition of non-statins (ezetimibe or PCSK9 inhibitors). Very high-risk includes a history of multiple major ASCVD events or 1 major ASCVD event and multiple high-risk conditions.

In patients with LDL-C ≥190 mg/dL [≥4.9 mmol/L]) begin high-intensity statin therapy. If the LDL-C level remains ≥100 mg/dL (≥2.6 mmol/L), adding ezetimibe is reasonable.

In patients with diabetes aged 40-75 years with an LDL > 70mg/dL begin moderate intensity statin therapy. For patients > 50 year consider high intensity statin to achieve a 50% reduction in LDL-C.

In adults 40 to 75 years of age without diabetes mellitus and with LDL-C levels ≥70 mg/dL (≥1.8 mmol/L) start a moderate-intensity statin if the 10-year ASCVD risk is ≥7.5%. Moderate intensity therapy is atorvastatin 10-20mg, rosuvastatin 5-10mg, simvastatin 20-40mg, pravastatin 40mg.

 

Table 5. ESC/EAS Cardiovascular Risk Categories

Very High-Risk

ASCVD, either clinical or unequivocal on imaging

DM with target organ damage or at least three major risk factors or T1DM of long duration (>20 years)

Severe CKD (eGFR <30 mL/min/1.73 m2)

A calculated SCORE >10% for 10-year risk of fatal CVD.

FH with ASCVD or with another major risk factor

High Risk

Markedly elevated single risk factors, in particular total cholesterol >8 mmol/L (>310mg/dL), LDL-C >4.9 mmol/L (>190 mg/dL), or BP >180/110 mmHg.

Patients with FH without other major risk factors.

Patients with DM without target organ damage, a with DM duration >_10 years or another additional risk factor.

Moderate CKD (eGFR 30-59 mL/min/1.73 m2).

A calculated SCORE >5% and <10% for 10-year risk of fatal CVD.

Moderate Risk

Young patients (T1DM <35 years; T2DM <50 years) with DM duration <10 years, without other risk factors.

Calculated SCORE >1 % and <5% for 10-year risk of fatal CVD.

Low Risk

Calculated SCORE <1% for 10-year risk of fatal CVD

 

Table 6. ESC/EAS LDL Cholesterol Goals

Very High Risk

LDL-C reduction of >50% from baseline and an LDL-C goal of <1.4 mmol/L (<55 mg/dL) is recommended

High Risk

LDL-C reduction of >50% from baseline and an LDL-C goal of <1.8 mmol/L (<70 mg/dL) is recommended

Moderate Risk

LDL-C goal of <2.6 mmol/L (<100 mg/dL) should be considered

Low Risk

LDL-C goal <3.0 mmol/L (<116 mg/dL) may be considered.

 

Treatment Approach

 

As in all patients with lipid abnormalities the initial approach is lifestyle changes. Dietary recommendations are not unique in patients with inflammatory disorders. Exercise is recommended but depending upon the clinical situation the ability of patients with certain inflammatory disorders to participate in an exercise regimen may be limited. Exercise programs will need to be tailored for each patient’s capabilities. Treatment of the underlying disease to decrease inflammation is likely to be beneficial (9,166). Studies have shown that increased disease activity is associated with a greater risk of cardiovascular disease while lower disease activity is associated with a lower risk (9,167-173). Moreover, treatments that reduce disease activity can decrease cardiovascular risk (9,166).

 

Drug Therapy

 

This section on drug therapy will focus solely on the studies that are unique to patients with inflammatory diseases. Detailed information on the use of these drugs can be found in the Endotext chapters on cholesterol lowering drugs and triglyceride lowering drugs (174,175).

 

STATIN THERAPY

 

As expected, studies have demonstrated that statins lower LDL-C levels in patients with inflammatory disorders to a similar degree as patients without inflammatory disorders. For example, in a randomized trial in 116 patients with RA with a mean LDL-C level of 125mg/dl, the effect of atorvastatin 40mg was compared to placebo (176). Atorvastatin reduced LDL-C by 54mgdl vs. 3mg/dl in the placebo group (176). Similarly in the IDEAL trial there was a small subgroup of patients with RA (177). The IDEAL trial compared the ability of atorvastatin 80mg vs. simvastatin 20-40mg to reduce cardiovascular events. The lowering of LDL-C with either simvastatin or atorvastatin was similar in the patients with and without RA (177). Finally, a combined analysis of the IDEAL, Treat to New Target (TNT), and CARDS trials reported that the decrease in LDL-C levels with statin therapy was similar in patients with or without psoriasis (178). Studies have shown similar reductions in LDL-C levels with statin therapy in patients with SLE (179-181). The effects of statin treatment on other lipid parameters were also similar in patients with and without inflammatory diseases. Thus, as expected statins improve the lipid profile in patients with inflammatory disorders. In some studies, the incidence of statin associated side effects have been increased in the patients with inflammatory disorders. Specifically, in the IDEAL trial RA patients reported myalgia more frequently than patients without RA (10.4% and 7.7% in RA patients vs 1.1% and 2.2% in non-RA patients receiving simvastatin and atorvastatin respectively) (177). Note that this does not necessarily indicate that statins induce myalgias more frequently in patients with RA as there was not a placebo group in the IDEAL trial. Rather it is likely that patients with RA have an increased prevalence of myalgias.

 

A key question is whether statin therapy will reduce cardiovascular events in patients with inflammatory diseases. A number of studies have looked at surrogate markers for events such as changes in carotid intima-media thickness or changes in cardiac calcium scores in patients treated with statins. The results have varied with some studies showing benefits and other studies showing no effects. Rollefstad et al measured changes in carotid plaque size in 86 patients with inflammatory joint disease treated with rosuvastatin for 18 months (182). The LDL-C levels decreased from 155mg/dl to 66mg/dl and plaque height was significantly reduced (182). Similarly, Mok et al treated 72 patients with SLE with rosuvastatin 10mg or placebo for 12 months and reported that carotid intima-media thickness appeared to decrease (179). Moreover, Plazak et al treated 60 patients with SLE with atorvastatin 40mg or placebo for 1 year and measured changes in coronary calcium score (180). They observed an increase in coronary calcium in the placebo group while there was no change in the patients treated with statin therapy (180).  In contrast, Petri et al treated 200 patients with SLE with atorvastatin 40mg or placebo for 2 years and measured both carotid intima-media thickness and coronary calcium score (183). In this study no beneficial effects of statin therapy were observed (183). Similarly, Schanberg et al treated 221 children with SLE with atorvastatin 10-20mg or placebo for 36 months and did not observe a beneficial effect of statin treatment on carotid intima-media thickness (181). Additionally, Tam et al also failed to find a decrease in carotid intima-media thickness with rosuvastatin treatment in patients with RA (184). Thus, the effect of statin therapy in patients with inflammatory disorders on these surrogate markers of atherosclerosis is uncertain.

 

There are no large randomized controlled trials evaluating the impact of statin therapy on cardiovascular disease outcomes in patients with inflammatory disease. A subgroup analysis of a small number of patients with SLE in the ALERT study has been reported (185). The ALERT study was a randomized placebo-controlled trial examining the effect of fluvastatin 40-80mg on cardiovascular events after kidney transplantation. In this trial fluvastatin therapy reduced the risk of cardiovascular events by 74% in the patients with SLE (185). Additionally, a post hoc analysis of patients with inflammatory arthritis in the IDEAL and TNT trial has been reported (186). The IDEAL trial compared atorvastatin 80mg vs simvastatin 20-40mg and the TNT compared atorvastatin 80mg vs. atorvastatin 10mg. In these trials, statin therapy resulted in a decrease in lipid levels in the patients with inflammatory arthritis to a similar degree as patients without inflammatory arthritis (186). Moreover, there was an approximate 20% reduction in the risk of cardiovascular events in patients treated with atorvastatin 80mg compared to moderate dose statin therapy in patients with and without inflammatory arthritis (186). Similarly, a post hoc analysis of the IDEAL and TNT trials reported a similar reduction in cardiovascular events with high dose statin therapy compared to low dose statin therapy in patients with psoriasis (178). A trial that focused solely on patients with RA was initiated but stopped early due to a lower than expected event rate (187). In this trial 3,002 patients with RA were randomized to atorvastatin 40mg/day vs. placebo for a median of 2.51 years.  As expected, the reduction in LDL-C levels was significantly greater in the atorvastatin group compared to placebo (-30mg/dL, p<0.001). There was a 34% risk reduction for major cardiovascular events in the atorvastatin group compared to placebo that was not statistically significant due to the small number of events. Of note, the decrease in events was actually greater than expected based on the Cholesterol Treatment Trialists’ Collaboration meta-analysis of the effect of statins in other populations (42% decrease per 39mg/dL in this trial whereas in the large collaboration meta-analysis there was a 21% decrease per 39mg/dL). The number and type of adverse events were similar in the atorvastatin and placebo groups. Taken together these results strongly suggest that patients with inflammatory diseases will have a reduction in cardiovascular events with statin theapy.

 

It is well recognized that statins have anti-inflammatory properties and studies have consistently demonstrated a decrease in CRP levels in patients treated with statins (175). Two meta-analyses have explored the effect of statin therapy on disease activity in patients with RA. A meta-analysis by Ly et al included 15 studies with 992 patients and reported that statin therapy decreased erythrocyte sedimentation rate, CRP, tender joint count, swollen joint count, and morning stiffness (188). Similarly, a meta-analysis by Xing et al included 13 studies with 737 patients (189). They reported that statin therapy decreased erythrocyte sedimentation rate, CRP, tender joint count, and swollen joint count (189). Additionally, the disease activity score 28 (DAS28), which focuses on joint pathology, decreased significantly in the patients treated with statin therapy and the patients with the most active disease benefited the most (189,190).

 

In contrast to the beneficial effects seen in patients with RA, in randomized placebo controlled trials in patients with SLE studies by Plazak et al and Petri et al failed to show a decrease in disease activity with statin therapy (180,183). In psoriasis treatment with statins has produced mixed results with some studies showing a decrease in skin abnormalities and others showing no significant effect or even an increase in disease activity (191). A meta-analysis of 5 randomized trials with 223 patients found that statins may improve psoriasis, particularly in patients with severe disease (192). Finally, treatment with statins has been shown to improve periodontal disease and reduce inflammation (193-195). Thus, statins can decrease the clinical manifestations of RA, periodontitis, and perhaps psoriasis but has no effect on the clinical manifestations of SLE. These differences could be due to the relative severity of the inflammatory response and/or the specific pathways that induce inflammation in these different disorders.

 

The effect of statins on outcomes in patients with sepsis has been extensively studied. Numerous observational studies have shown that patients treated with statins have a marked reduction in morbidity and mortality (196,197). For example, in a meta-analysis by Wan et al of 27 observational studies with 337,648 patients, statins were associated with a relative mortality risk of 0.65 (CI 0.57-0.75) (197). However, in randomized placebo controlled clinical trials statin administration has not been shown to reduce mortality or improve outcomes (196-198). For example in a meta-analysis by Wan et al of 5 randomized controlled trials with 867 patients the relative risk was 0.98 (197). Similarly, a meta-analysis by Pertzov et al of fourteen randomized trials evaluating 2628 patients also did not observe any benefits of statin therapy in patients with sepsis (199). Additionally, a recent study examining the effect of rosuvastatin on sepsis associated acute respiratory distress also failed to demonstrate a benefit of statin therapy (200). Finally, meta-analyses of observational studies have found that statins in patients with COVID-19 infections are beneficial (201,202) but a randomized trial failed to demonstrate that statin treatment was beneficial (203). Thus, while observational data suggested that statins may be beneficial the more rigorous randomized placebo-controlled trials have not provided evidence of benefit. 

 

FIBRATE THERAPY

 

Fibrates, gemfibrozil and fenofibrate, are used to lower triglycerides and raise HDL-C levels. However, fibrates, by activating PPAR alpha, are well known to have anti-inflammatory effects. Several studies have shown that fibrate therapy improves the clinical manifestations in patients with RA. For example, Shirinsky et al treated 27 patients with RA with fenofibrate and reported a significant reduction in disease activity score (DAS28) (204). A recent review described 4 randomized trials and 2 observation trials of fibrates in patients with RA and in general these studies showed that fibrate therapy decreased disease activity in patients with RA (205). The authors are not aware of clinical trials of fibrate therapy in patients with sepsis, psoriasis, SLE, and periodontal disease. Thus, there is a suggestion that the anti-inflammatory properties of fibrates may beneficially impact disease activity, but clearly further studies are required.

 

BILE ACID SEQUESTRANT THERAPY

 

Bile acid binders are used to lower LDL-C levels. While there are no studies of the effect of bile acid binders in patients with either RA, SLE, or periodontal disease, there are two studies in patients with psoriasis. Both Roe and Skinner et al reported that the treatment of patients with psoriasis with bile acid binders improved the skin condition (206,207). The mechanism for this beneficial effect is unknown.

 

EZETIMIBE THERAPY

 

Ezetimibe is used to lower LDL-C levels. There is a single six-week trial in 20 patients with RA that demonstrated that ezetimibe treatment decreased total cholesterol, LDL-C, and CRP levels (208). Moreover, ezetimibe treatment reduced disease activity (208). The mechanism for this beneficial effect is unclear.

 

FISH OIL THERAPY

 

Fish oil (omega-3-fatty acids) is widely used to reduce serum triglyceride levels and is recognized to have anti-inflammatory properties. There are numerous studies examining the effect of fish oil therapy on inflammatory diseases. A meta-analysis of 17 randomized controlled trials by Goldberg and Katz of the effect of omega-3-fatty acids in patients with RA reported that treatment with omega-3-fatty acids reduced joint pain intensity, morning stiffness, number of painful and/or tender joints, and the use of non-steroidal anti-inflammatory medications (209). Similarly, a meta-analyses by Lee et al and Gioxari et al also demonstrated that fish oil had beneficial effects in patients with RA (210,211). In psoriasis, a recent review of 15 trials reported that overall, there was a moderate benefit of fish oil supplements with 12 trials showing clinical benefit and 3 trials showing no benefit (212). In contrast, Gamret et al evaluated fish oil treatment in patients with psoriasis in 20 studies (12 randomized controlled trials, 1 open-label nonrandomized controlled trial, and 7 uncontrolled studies) (213). They reported that most of the randomized controlled trials showed no significant improvement in psoriasis, whereas most of the uncontrolled studies showed benefit when fish oil was used daily. In a meta-analysis of eighteen randomized controlled trials involving 927 study participants reached the conclusion that fish oil as monotherapy for psoriasis had not affect but when combined with conventional treatments appeared to be beneficial (214). In SLE four randomized trials have demonstrated clinical benefit with fish oil therapy, while three trials failed to show disease improvement (215-221). Finally, there are data suggesting that treatment with fish oil reduces periodontal disease (222-224). A major limitation of the studies in patients with periodontal disease is that in these trials the experimental group treated with fish oil also was simultaneously treated with aspirin making it difficult to be sure that the beneficial effects were solely due to fish oil supplementation (222,223). A meta-analysis of 20 randomized trials involving 1514 patients with sepsis reported that parenteral or enteral omega-3 fatty acid supplementation was associated with a decrease in mortality and length of stay in the intensive care unit (225). Taken together these studies indicate that in addition to lowering serum triglyceride levels, fish oil therapy may have beneficial effects on the underlying inflammatory disorder in some instances.

 

NIACIN THERAPY

 

Niacin is used to lower LDL-C levels and triglycerides and raise HDL-C levels.  The authors are not aware of clinical trials of niacin in patients with RA, SLE, psoriasis, or periodontal disease.

 

PCSK9 INHIBITORS

 

PCSK9 inhibitors are used to lower LDL-C level. In addition, PCSK9 inhibitors also lower Lp(a) levels. The authors are not aware of clinical trials of PCSK9 inhibitors in patients with RA, SLE, psoriasis, or periodontal disease.

 

BEMPEDOIC ACID

 

Bempedoic acid is used to lower LDL-C levels. The authors are not aware of clinical trials of bempedoic acid in patients with inflammatory diseases or infections.

 

Treatment Strategy

 

The first priority in treating lipid disorders is to lower the LDL-C levels to goal, unless triglycerides are markedly elevated (> 500-1000mg/dl), which increases the risk of pancreatitis. LDL-C is the first priority because the database linking lowering LDL-C with reducing cardiovascular disease is extremely strong and we now have the ability to markedly decrease LDL-C levels in the vast majority of patients. Dietary therapy is the initial step but, in many patients, will not be sufficient to achieve the LDL-C goals. If patients are willing and able to make major changes in their diet it is possible to achieve remarkable reductions in LDL-C levels but this seldom occurs in clinical practice (for details see the Endotext chapter on the effect of lifestyle changes on lipids and lipoproteins) (226).

 

Statins are the first-choice drugs to lower LDL-C levels and many patients with inflammatory disorders will require statin therapy. Statins are available as generic drugs and are relatively inexpensive. The choice of statin will depend on the magnitude of LDL-C lowering required and whether other drugs that the patient is taking might alter statin metabolism thereby increasing the risk of statin toxicity. For example, cyclosporine affects the metabolism of many of the statins and in patients taking cyclosporine fluvastatin appears to be the safest statin (227).

 

If a patient is unable to tolerate statins or statins as monotherapy are not sufficient to lower LDL-C to goal the second-choice drug is either ezetimibe or a PCSK9 inhibitor. Ezetimibe is a generic drug and relatively inexpensive and can be added to any statin. PCSK9 inhibitors can also be added to any statin and are the drugs of choice if a large decrease in LDL-C is required to reach goal (PCSK9 inhibitors will lower LDL-C levels by 50-60% when added to a statin, whereas ezetimibe will only lower LDL-C by approximately 20%).  Bile acid sequestrants are an alternative particularly if a reduction in A1c level is also needed. Bempedoic acid also lowers LDL-C by approximately 20% and is another alternative. Ezetimibe, PCSK9 inhibitors, bempedoic acid, and bile acid sequestrants additively lower LDL-C levels when used in combination with a statin, because these drugs increase hepatic LDL receptor levels by different mechanisms, thereby resulting in a reduction in serum LDL-C levels. Niacin and the fibrates also lower LDL-C levels but are not usually employed to lower LDL-C levels

 

The second priority should be non-HDL-C (non-HDL-C = total cholesterol – HDL-C), which is particularly important in patients with elevated triglyceride levels (>150mg/dl). Non-HDL-C is a measure of all the pro-atherogenic apolipoprotein B containing particles. Numerous studies have shown that non-HDL-C is a strong risk factor for the development of cardiovascular disease. The non-HDL-C goals are 30mg/dl greater than the LDL-C goals. For example, if the LDL goal is <100mg/dl then the non-HDL-C goal would be <130mg/dl. Drugs that reduce either LDL-C or triglyceride levels will reduce non-HDL-C levels. If LDL-C is only slightly below goal increasing drug dose or adding drugs to further lower LDL-C is a reasonable approach. If the LDL-C is significantly below goal lowering TG levels is reasonable.

 

The third priority in treating lipid disorders is to decrease triglyceride levels. Initial therapy should focus on lifestyle changes including a decrease in simple sugars and ethanol intake and initiating and exercise program. Fibrates, niacin, statins, and omega-3-fatty acids all reduce serum triglyceride levels. Typically, one will target triglyceride levels when one is trying to lower non-HDL-C levels to goal. Patients with very high triglyceride levels (> 500-1000 mg/dl) are at risk of pancreatitis and therefore lifestyle and triglyceride lowering drug therapy should be initiated early. Note that there is limited evidence demonstrating that lowering triglyceride levels reduces cardiovascular events with fibrates, niacin, and most omega-3-fatty acid preparations. A study has shown that adding the omega-3-fatty acid icosapent ethyl (EPA) to statins in patients with elevated triglyceride levels reduces cardiovascular events (228). In addition, the potential beneficial effects of fish oil on disease activity in many patients with inflammatory diseases make the use of omega-3-fatty acids an attractive choice in patients with inflammatory diseases and elevated triglyceride levels/non-HDL-C levels.

 

The fourth priority in treating lipid disorders is to increase HDL-C levels. There is strong epidemiologic data linking low HDL-C levels with cardiovascular disease, but whether increasing HDL levels with drugs reduces cardiovascular disease is unknown and studies have not been encouraging (229). Life style changes are the initial step and include increased exercise, weight loss, and stopping cigarette smoking. The role of recommending ethanol, which increases HDL levels, is controversial but in patients who already drink moderately there is no reason to recommend that they stop. The most effective drug for increasing HDL levels is niacin, but studies have not demonstrated a reduction in cardiovascular events when niacin is added to statin therapy (230,231). Fibrates and statins also raise HDL-C levels but the increases are modest (usually less than 15%). Additionally, the ACCORD-LIPID trial failed to demonstrate that adding fenofibrate to statin therapy reduces cardiovascular disease (232). Unfortunately, given the currently available drugs, it is very difficult to significantly increase HDL-C levels and in many of our patients we are unable to achieve HDL-C levels in the recommended range. Furthermore, whether this will result in a reduction in cardiovascular events is unknown.

 

Note that there is very limited evidence that adding fibrates or niacin to lower triglyceride levels and/or increase HDL-C levels will reduce cardiovascular events. However, the studies of fibrates or niacin in combination with statins did not specifically target patients with high triglycerides, high non-HDL-C, and low HDL-C levels. The only drugs in combination with statin therapy that has been shown to further reduce cardiovascular events when added to statin therapy are ezetimibe, PCSK9 inhibitors, and icosapent ethyl (EPA), an omega-3-fatty acid (175).

 

In summary, modern therapy of patients with inflammatory diseases demands that we aggressively treat lipids to reduce the high risk of cardiovascular disease in this susceptible population. Furthermore, treatment with lipid lowering drugs in some instances may improve the underlying inflammatory disorder.

 

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Prediabetes

ABSTRACT

 

The global epidemic of type 2 diabetes remains one of the greatest health challenges of our time. The collective human and economic costs are staggering and rising. Widespread initiatives now exist to prevent diabetes wherever possible. These initiatives are singularly focused on preventing diabetes in the very highest risk group: people with prediabetes. Plasma glucose concentrations can exist over a continuum with normoglycemia on one side and diabetes mellitus on the other. Nevertheless, the concept of “prediabetes” – a state of neither normoglycemia or bonafide diabetes – has been in the clinical purview since the first formal diagnostic criteria of diabetes itself. Most can agree that prediabetes represents a high-risk state for diabetes (and for the sake of this review, high-risk for type 2 diabetes, specifically), but consensus is lacking for much else, including the diagnostic thresholds, if, when, or what to initiate as to pharmacotherapy for diabetes prevention, and whether prediabetes is actually just an earlier form of diabetes warranting similarly aggressive risk factor modification for diabetes-related complications. In this chapter, PREDIABETES, we will review the recommendations for screening, diagnosis, and intervention, largely according to the American Diabetes Association (ADA).  We will also look at the pathogenesis of this highly heterogeneous dysglycemic state as well as an increasing body of evidence that treatment of prediabetes back to normoglycemia should be the goal for people with prediabetes. Lastly, the scientific evidence reviewed will be distilled into an example of a conversation intended to engage patients in this process.

 

INTRODUCTION

 

In 1979-1980, the National Diabetes Data Group and World Health Organization introduced the first formal diagnostic criteria for diabetes (1,2). Cross sectional observations that the presence of both microvascular disease (MVD) (3-6)and cardiovascular disease (CVD) (7,8) were higher when fasting plasma glucose (FPG) was >140 mg/dl and/or 2-hour post-challenge glucose (2h-PG) was >200 mg/dl were confirmed in longitudinal population studies, providing rationale for these cut points (9-11). Nevertheless, clear evidence that lowering plasma glucose could prevent diabetic complications was not available until the 1993 publication of the Diabetes Complications and Control Trial (DCCT) (12). The DCCT noted an inflection point between A1c 6.5-7.0% (48-53 mmol/mol) and risk for retinopathy, as well as a 76% reduction in retinopathy, in participants with type 1 diabetes randomized to intensive treatment (12). Hence, the A1c goal of <6.5-7.0% soon became – and has remained – the major benchmark of care for people with diabetes (type 1 and 2) (13).  

 

Diagnostic criteria for diabetes have evolved over the years, lowering plasma glucose thresholds (14) and even advocating use of the A1c for diagnosis (15), while continuing to calibrate these thresholds against risk for retinopathy. Far less well known than the landmark publication of the DCCT is the re-analysis of the original data demonstrating a flaw in the models with no inflection point in A1c and risk for retinopathy noted (16). Instead, reduction in retinopathy was appreciated across the A1c range, including what is now considered the pre-diabetic A1c range. The first formal diagnostic criteria for “pre”-diabetes (i.e. impaired glucose tolerance) were introduced concurrently with those for diabetes itself (1). Diagnostic thresholds for prediabetes have been more moveable (14,15,17) and more controversial. Despite evidence demonstrating higher MVD and CVD in people with prediabetes compared to their normoglycemic peers (18-21), treatment of people with prediabetes is uncommon (22,23) as the notion of a “pre” disease presents a clinical and regulatory conundrum. 

 

SCREENING

 

Much ado has been made about the cost-effectiveness of screening for prediabetes.  Nevertheless, because roughly one-quarter of people with diabetes in the U.S. remain undiagnosed (24), numerous guidelines do advocate screening for dysglycemia (e.g. diabetes and prediabetes). According to the American Diabetes Association (ADA) together with the European Association for the Study of Diabetes (EASD), an informal assessment of risk factors or use of a risk assessment tool (e.g. www.diabetes.org/socrisktest) can guide who should undergo blood testing (25). Children >10 years old or who have gone through puberty (whichever occurs first) who are >85th% weight for height, with one or more risk factors (Table 1), should be screened. Non-pregnant adults >35 years without risk factors, or adults of any age who are overweight (BMI>25 kg/m2 or BMI >23 kg/m2, if Asian ethnicity) and have one or more risk factors (Table 1), should be screened. The screening test should be A1c, fasting glucose, or 2-hour glucose, and repeated at least at 3-year intervals for those whose screening reveals normoglycemia and once yearly in those diagnosed with prediabetes (26).

 

Table 1.  Risk Factors for Prediabetes and Diabetes

First-degree relative with type 2 diabetes

Non-Caucasian ethnicity

History of cardiovascular disease

Hypertension (blood pressure >140/90 or use of anti-hypertensive medication)

HDL cholesterol <35 mg/dl and/or triglyceride concentration >250 mg/dl

Women with polycystic ovary syndrome

Physical inactivity (<90 min/wk aerobic activity)

Presence of severe obesity, acanthosis nigricans and/or skin tags

 

DIAGNOSIS

 

According to the ADA and EASD, the diagnosis of prediabetes is made when the fasting plasma glucose (FPG) is 100-125 mg/dl (5.6-6.9 mmol/l; “impaired fasting glucose” (IFG)), plasma glucose concentration is 140-199 mg/dl (7.8-11.1 mmol/l; “impaired glucose tolerance” (IGT)) 2 hours after a 75 g oral glucose tolerance test (OGTT), and/or A1c 5.7-6.4% (26) (Table 2).  Unlike diagnostic criteria for diabetes that are based on their predictive value for retinopathy (14), diagnostic thresholds for prediabetes are based on the likelihood of developing overt diabetes (27-30).  However, discussion regarding the existing cut points is ongoing. Longitudinal data from a cohort of Israeli soldiers suggest that a fasting glucose above 87 mg/dl (4.8 mmol/l) is associated with an increased risk of future diabetes (31). Further, misclassification is common given the day-to-day variability in the fasting (15%) and 2-hour (46%) glucose concentrations (32). A1c can be confounded by a number of comorbid conditions like renal disease, anemia, and hemoglobinopathies (see www.ngsp.org/interf.asp)  and must be done using a method certified by the National Glycohemoglobin Standardization Program (NGSP).  Use of the 1-hour glucose value (i.e., >155 mg/dl post-OGTT), fructosamine, 5-androhydroglucitol among others have also been proposed, but none are standardized hence none currently recommended (33,34). Despite the fact that A1c-defined prediabetes appears to confer worse outcomes than prediabetes defined by fasting or 2-hour glucose criteria (35), the use of the A1c is not supported by the World Health Organization (WHO) for the diagnosis of prediabetes (36).

 

Table 2.  Current Diagnostic Criteria for Prediabetes (ADA & EASD)

Fasting plasma glucose 100-125 mg/dl

and/or

Glucose 140-199 mg/dl 2-hours post 75 g OGTT

and/or

A1c 5.7-6.4%

 

PREVALENCE

 

The changes in diagnostic criteria over the past years make it difficult to estimate exact trends in the global burden of prediabetes. However, by combining recent data from diverse sources, the prevalence of prediabetes can roughly be approximated. In 2021, the Centers for Disease Control (CDC) estimated that 96 million Americans – 38% of the adult population – had prediabetes demonstrating an increase in the percent of the population that has prediabetes that had previously been stable (24). Discordance in the diagnostic criteria for prediabetes, regional differences in surveillance and reporting for chronic diseases, and other cultural nuances pose challenges in estimating the global burden of prediabetes. To this point, the literature is currently devoid of any estimate of global prevalence of IFG, specifically. In 2017, the International Diabetes Federation (IDF) estimated the worldwide prevalence of IGT at 318 million - a number expected to increase to 482 million by 2040 (www.diabetesatlas.org) – with no further update in 2021. Data from the National Health and Nutrition Examination Survey (NHANES) would contend that the prevalence of IFG is twice that of IGT (37) (using ADA criteria), suggesting that the worldwide prevalence of prediabetes (IFG and/or IGT) may exceed 1 billion. Most alarming is that roughly one- third of people with IGT (and possibly IFG) are between 20 and 39 years old, thus are expected to spend many years at risk for or with diabetes (www.diabetesatlas.org).

 

RISK FOR DIABETES

 

Screening for and diagnosis of prediabetes is advocated as it represents a high-risk state for the development of overt type 2 diabetes. A recent meta-analysis showed that the yearly progression rate to diabetes in individuals with prediabetes is 3.5-7.0% (vs. 2%/year in their normoglycemic counterparts) (28), with highest rates in those with combined IFG and IGT and the lowest in those with IFG by ADA (vs. WHO) definition (38). Increasing A1c is also associated with increased risk of diabetes with yearly incidence rates approximating 5% for those with an A1c of 5.7-6.0% and up to 10% for those with an A1c of 6.1-6.4% (39).  Adding non-glycemic risk factors (Table 1) to the diagnosis of prediabetes markedly increases risk for diabetes, approaching 30% per year (40).  Decompensation from prediabetes to diabetes appears rapid in the later stages (41) and may warrant closer monitoring for people close to the thresholds for diabetes as well as earlier risk factor modification.

 

A recent study looked at the prevalence of prediabetes and risk of developing diabetes in 3412 individuals between 71 and 90 years of age (42). The prevalence of diabetes in this population was very high with 44% meeting the criteria based on A1C, 59% based on fasting glucose, 73% based on either A1c or fasting glucose, and 29% based on both A1c and fasting glucose. After a median 5-year follow-up only 9% of individuals with prediabetes based on A1c developed diabetes and only 8% of individuals with prediabetes based on fasting glucose developed diabetes. In individuals with prediabetes based on both A1c and fasting glucose levels 12% developed diabetes during the 5-year follow-up period. Many of the individuals with prediabetes regressed to normal glycemia. Thus, in the elderly the risk of progressing from prediabetes to diabetes appears to be lower than in middle aged individuals.  

 

SUBTYPES & PATHOGENESIS

 

Not long ago, the universal teaching was that post-prandial hyperglycemia always preceded fasting hyperglycemia in the evolution of diabetes (Figure 1).  The past decade has ushered in compelling evidence that this is not always the case. IFG can be isolated or precede IGT, IGT can be isolated or precede IFG, or they can be concurrent in the prediabetic state (27,29,43) (Figure 1).  This realization has sparked rigorous investigations into the pathogenesis of the subtypes - IFG, IGT and IFG/IGT - as discreet prediabetic states. Early studies used the homeostasis model assessment (HOMA) to delineate IFG from IGT, concluding that IFG was more insulin resistant than IGT (43).  Most noteworthy is the fact that this conclusion is inherently flawed since HOMA relies on FPG (i.e., HOMA-IR = FPG x FPI / 22.5) and IFG is defined by FPG.  Fortunately, more rigorous investigations have followed.

Figure 1. A) Former concept as to the pathophysiology of prediabetes and diabetes >10 years ago; B) Current knowledge as to the pathophysiology of prediabetes and diabetes <10 years

In some individuals, type 2 diabetes seems to develop as a consequence of inherent beta cell dysfunction (44). In others, development of insulin resistance precedes defects in the pancreatic beta cells (44,45). These findings underscore that prediabetes (like type 2 diabetes) is not a single disease entity, but rather multiple diseases with different pathologies (Table 3) and trajectories for disease development. This notion is supported by longitudinal data from the Whitehall II Study illustrating that the underlying disease mechanisms for individuals developing type 2 diabetes differ depending on whether diabetes is diagnosed by increased fasting or 2-hour plasma glucose levels (44). Further, this heterogeneity in the disease process is present decades before the clinical onset of diabetes.  Defects unique to IFG and IGT may be collective or unique when IFG and IGT exist in combination (46).

 

Table 3. Overview of the Distinguishing Features of IFG vs. IGT

 

IFG

IGT

 

 

 

Demographics

Men > women

Women > men

 

Younger

Older

 

 

 

Lipids

High plasma triglycerides

---

 

Low HDL cholesterol

---

 

 

 

Site of insulin resistance

Liver

Skeletal muscle

 

 

 

Type of beta cell defect

1st phase insulin secretion

2nd phase insulin secretion

 

 

 

 

Impaired Fasting Glucose (IFG)

 

THE ROLE OF THE LIVER

 

In healthy humans, circulating plasma glucose concentration is maintained in a narrow range by the liver’s ability to regulate its direction of glucose flux (47).  By virtue of hepatic insulin resistance (48), decreased hepatic glucose clearance (49), or lower glucose effectiveness (50), endogenous glucose production (EGP) becomes abnormal in the development of isolated IFG (48,51-54).  EGP, as measured by glucose rate of appearance (Ra), has been reported as 8-25% higher in people with IFG vs. normal glucose tolerant (NGT) controls in some studies (46,54), or “inappropriately” comparable to NGT (given the higher circulating glucose and insulin levels in IFG) in others (48,55). It is clear that the liver, rather than muscle, plays a distinctive role in the pathogenesis of IFG.

 

THE ROLE OF THE BETA CELL

 

Unique defects in beta cell function are seen in concert with the defects in the liver in people with isolated IFG. Collective data suggest that beta cell function may be intrinsically impaired, vs. acquired, in IFG. This notion is supported by epidemiologic studies showing diminished insulin response to glucose in normoglycemic individuals who later develop isolated IFG (56) and that this defect may be seen as long as 18 years before they are diagnosed with diabetes (44).  Furthermore, beta cell dysfunction has been demonstrated in individuals with isolated IFG and normal peripheral insulin sensitivity (48,51). 

 

The exact manner of beta cell dysfunction in IFG appears specific to 1st vs. 2nd phase insulin secretion (55,57).  It should be pointed out, however, that 1st phase insulin secretion is only appreciated in response to an intravenous glucose challenge bringing its physiologic relevance into question. Studies carefully examining insulin secretion in IFG (vs. NGT or IGT) have uniformly noted decrements in response to intravenous, but not oral, glucose challenges (46,48,51,54,55). Collectively, these data imply a dependence on the incretin hormones to maintain normal insulin secretion in IFG that may diverge from the role of the incretin hormones to facilitate insulin secretion in IGT.

 

OTHER DISTINGUISHING AND NON-DISTINGUISHING FEATURES OF IFG

 

Despite the implication of different roles for the incretin hormones in conferring IFG vs. IGT, existing data are conflicting (51,58). Likewise, plasma glucagon concentrations (51), adipose tissue mass and function (59) do not appear different, and other pathogenic features such as intramuscular lipids have not been compared between the subtypes of prediabetes. Of note, people with IFG tend to be male and younger – whereas those with IGT female and older - and have slight differences in their risk factors for CVD (43,60,61).

 

Impaired Glucose Tolerance (IGT)

 

THE ROLE OF SKELETAL MUSCLE

 

Despite reports of greater hepatic fat in people with IGT vs. IFG (62), skeletal muscle, rather than liver, has been implicated as the site of insulin resistance in isolated IGT. Glucose rate of disappearance (Rd; a measure of muscle insulin sensitivity) has been shown to be 42-48% lower in IGT vs. NGT (48,55) with only minimal impairments seen in IFG (54).  Because of the larger contribution of muscle (vs. liver) to whole-body insulin sensitivity, people with isolated IGT demonstrate on average 15-30% lower whole body insulin sensitivity compared to those with isolated IFG(51,52,57).

 

THE ROLE OF THE BETA CELL

 

In contrast to IFG, beta cell dysfunction appears to be acquired rather than intrinsic in IGT. For example, long-term population studies have not noted early defects in people destined to develop isolated IGT (56).  Nevertheless, beta cell dysfunction has been repeatedly observed in people with established IGT, particularly when significant whole body and skeletal muscle insulin resistance co-exists (51,56,63,64).  The exact manner of beta cell dysfunction in IGT appears specific to 2nd vs. 1st phase insulin secretion (55,57) and is observed whether or not the incretin-axis is invoked during the assessment. 

 

A1c-Defined Prediabetes

 

Recent trends in medical practice have seen the 2-hour OGTT fall from grace and be replaced by the A1c, even for the diagnosis and surveillance of prediabetes. Being that A1c is a composite of fasting and post-prandial glucose concentrations, it cannot delineate IFG from IGT nor any of the pathology unique to either. Alpha-hydroxybuytric acid, linoleoyl-glycerophosphocholine, and oleic acid have been shown predictive of 2-hour glucose values in three European cohort studies (65), hence may hold value if the pathophysiologic differences between IFG and IGT are to guide clinical decision-making in the future.  Currently, the strategies for diabetes prevention do not discriminate between the subtypes of prediabetes.

 

CLINICAL TRIALS AIMED AT PREVENTING OR DELAYING DIABETES

 

With the global surge in the prevalence of type 2 diabetes, focus on its prevention has intensified. Clinical trials for diabetes prevention around the globe have universally enrolled participants with untreated prediabetes (mostly IGT) due to their high risk for acquiring overt diabetes (28). Approaches for the prevention of diabetes have included intensive lifestyle modification (66-68) (Figure 2) or drug therapy using glucose-lowering medications (69-76)  (Figure 3) or anti-obesity medications (77-81) (Figure 4). Lifestyle interventions have utilized a low fat (<30% calories from fat; <10% from saturated fat) hypocaloric diet and moderate intensity exercise ~150 minutes per week for the purpose of 5-7% weight reduction. With the exception of the NAVIGATOR Trial (75), collective results demonstrate that diabetes incidence can be reduced by 20-89% over 2.4-6 years in a wide range of ethnic groups. 

Figure 2. Major trials using intensive lifestyle interventions for diabetes prevention

Figure 3. Major trials using glucose-lowering medications for diabetes prevention

Figure 4. Major trials using anti-obesity medications for diabetes prevention

Despite success amongst the various strategies employed, only intensive lifestyle modification has been universally advocated. The lifestyle curriculum designed for the U.S. Diabetes Prevention Program (DPP) serves as the foundation for the National DPP (NDPP) – the translational effort of bringing clinical trial results to the real world (www.cdc.gov/diabetes/prevention). A recent meta-analysis of 63 publications stemming from international real-world translations of clinical trial lifestyle curriculum demonstrated a 3% reduction in absolute risk and 29% reduction in relative risk for active participants, even when weight loss was modest (82). Likewise, the National Health Service Diabetes Prevention Programme (NHS DPP) began implementation across the United Kingdom in 2016 (83).  Evaluation of the program showed a consistent ~40% reduction in onset of diabetes over 13.4 months, including when the curriculum was delivered by lay volunteers (84). Initiation of metformin in people with pre-diabetes is recommended for those younger than 65 years old with a body mass index (BMI) >25 kg/m2 (85). To date, only ~0.7% of people with prediabetes in the U.S. are treated with metformin (23). It should be noted that no medication is approved by the U.S. Food and Drug Administration (FDA) for the treatment of prediabetes – not even metformin – as the FDA does not recognize prediabetes as a disease. In fact, the mere notion of a “pre” disease creates a clinical and regulatory conundrum. In 2008, the FDA issued guidance for industry developing drugs for the treatment or prevention of diabetes stating that it would consider approving pharmacotherapy for prediabetes if the drug could show “clinical benefit” (e.g. a delay or lessening in micro- or macrovascular complications) (https://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/ucm071624.pdf).  Increasing evidence shows this may be possible.

 

COMPLICATIONS OF PREDIABETES

 

It is alluring to imagine an A1c threshold below which patients are fully protected from diabetic complications (86). This quest has proven less straightforward than is widely acknowledged.  People with prediabetes can suffer the same micro-, macrovascular, and non-vascular complications as people with diabetes, just at a lower incidence rate. Further, data exist and studies ongoing to show clear benefit from early intervention for people with prediabetes (www.clinicaltrials.gov/prediabetes).

 

Microvascular

 

Diabetes remains a leading cause of blindness, kidney failure, and amputations around the world. Benchmarks for diabetes care are explicitly based on the prevention of such microvascular complications (13). Nonetheless, complications of diabetes increase with increasing glycemia, even in the prediabetic glucose range. For example, nearly 10% of DPP participants had diabetic retinopathy, without diabetes, in a cross sectional analysis (19).  Moreover, data from NHANES suggests the steepest increase in risk for retinopathy occurs at an A1c of 5.5% (18), which would be considered normoglycemia by current ADA and WHO criteria. Polyneuropathy has also been reported as more prevalent in prediabetes, affecting 13% of people with IGT and 11.3% with IFG compared to 7.4% with NGT (21). Lastly, microalbuminuria doubles in prevalence with the onset of IFG or IGT, whereas its progression appears slower at the diagnostic threshold for overt diabetes (87). Recent trends reveal chronic kidney disease (defined as a glomerular filtration rate (GFR) < 60 ml/min/1.73 m2) is now as prevalent in people with prediabetes as diabetes itself (88). 

 

Perhaps more surprising than the incidence and prevalence of microvascular disease in people with prediabetes are data showing benefit from early interventions.  For example, the DPP Outcomes Study (DPPOS) demonstrated a 21% lower prevalence of the composite microvascular endpoint (retinopathy, nephropathy and/or neuropathy) in women who had been randomized to the intensive lifestyle intervention and followed 15 years post-randomization and a 28% lower prevalence across the treatment groups when diabetes was prevented (89).  In the roughly 600 participants with prediabetes that entered the Swedish Obesity Study (SOS), the composite microvascular endpoint was 82% lower in those who underwent bariatric surgery a median of 19 years after their procedure – an effect size that was much greater than for those who entered the study with either diabetes or normoglycemia (90).  Lastly, retinopathy was shown reduced by 40% in the 30-year follow-up of the Da Qing Study – a study that rendered a meager average of 1.8 kg weight loss during the intervention period (91).  Altogether, there is increasing evidence that people with prediabetes are at risk for classic complications of diabetes and these can be prevented with early intervention (Figure 5).

Figure 5. Trials demonstrating a reduction in microvascular disease in people with prediabetes

Macrovascular

 

In 2010, a meta-analysis by Ford et al. illustrated an approximate 20% increased risk of cardiovascular disease (CVD) in people with prediabetes, irrespective of type (IFG or IGT), criteria used to define it, or the development of diabetes (20). As a continuous variable, however, CVD risk appears more closely related to 2-hour than fasting glucose (92).  In 2018, serial cross sectional data from NHANES showed surprising similarity in the prevalence of myocardial infarction and stroke in people with prediabetes vs. diabetes (88) likely due to the dramatic fall in incident myocardial infarction and stroke in people with diabetes (93).  This finding implies that CVD may now be as common in people with prediabetes as with diabetes (recently reviewed by (94)). It should be recognized that whether the elevated glucose is causing the increased risk of CVD in individuals with prediabetes is uncertain as prediabetes is associated with other factors such as obesity, insulin resistance, dyslipidemia, hypertension, hypercoagulation, and inflammation that could be playing important roles in increasing the risk of CVD.

 

As with microvascular disease, data do exist that early intervention also prevents macrovascular disease in people with prediabetes (Figure 6).  The first study to contend that this may be the case came from a post-hoc analysis of STOP-NIDDM – a trial that used acarbose to prevent or delay diabetes in people with prediabetes.  This analysis showed a highly unexpected 49% lower probability of any CV event in the group randomized to acarbose (95).  Interestingly, the trial was repeated, powered with benefit as the a priori hypothesis and did not succeed at recapitulating the prior findings (73). Differences in medication dosage and ethnic admixture may or may not explain the discrepancy. Nevertheless, pioglitazone has been shown to reduce CV events over 4.8 years in insulin-resistant people 6 months post-stroke with an average A1c of 5.8% (96).  Likewise, the Da Qing Study revealed a 33% lower CV mortality and 26% lower all-cause mortality, whilst still preventing diabetes, 30 years into the post-randomization follow-up (91).  CV data from the DPPOS is expected shortly with great anticipation that prediabetes may finally be recognized as an earlier form of diabetes warranting intervention. While the effect of lowering glucose levels in individuals with prediabetes is uncertain given the high risk of CVD in this population aggressive treatment of dyslipidemia and hypertension is indicated given the large number of studies showing benefits.

Figure 6. Trials demonstrating a reduction in macrovascular disease in people with prediabetes

Not Necessarily Vascular

 

Although risk factor modification largely focuses on preventing the classic complications of diabetes, greater attention is being paid to a much larger scope of possible comorbidities.  A recent study elaborated on structural brain abnormalities in people with prediabetes that are linked to dementia, stroke, and depression and hypothesized that glucose-lowering may reverse the abnormalities (97).  Functionally, these brain changes lead to slower processing speeds and cognitive deficits (98).  Mild cognitive impairments are accelerated by the presence of prediabetes leading to frank dementia (99). Unequivocally, cognitive impairments and dementia dramatically reduce quality of life for both patients and their care-takers.  Fortunately, patient-reported outcomes are becoming increasing revered as a scientific endpoint and may provide additional rationale for treating prediabetes. The much-anticipated long term outcomes from the DPPOS (expected 2020-2025) also include examining treatment effect on cognition, aspects of aging, quality of life, health care utilization and cancer.

 

RESTORATION OF NORMOGLYCEMIA

 

In clinical trials to date, interventions were deemed successful if diabetes was prevented or delayed, yet many participants remained with prediabetes. Arguably, prevention of diabetes and its complications lies in the restoration of normoglycemia rather than in the maintenance of prediabetes.  This was confirmed by a post-hoc analysis from the Diabetes Prevention Program Outcomes Study (DPPOS) (100). This analysis demonstrated a 56% lower risk of diabetes 10 years from randomization among those who were able to achieve normoglycemia during DPP vs. those who remained with prediabetes. Additionally, restoration of normoglycemia reduced prevalence of microvascular disease (101) and CV risk factors despite less use of medication to lower lipids and blood pressure (102).  The concept that diabetes and CV risk can be significantly reduced over the long-term through the pursuit of normoglycemia represents a major shift in our current thinking and has quickly gained consensus as the goal for people with prediabetes (103,104). Clinical predictors (105) and calculators as to the likelihood of regression (106)can be used to select and activate patients. Importantly, restoration of normoglycemia – as opposed to “diabetes prevention” – is clinically actionable. 

 

Exactly how normoglycemia should be achieved is far less clear. Data from the DPP would contend that only lifestyle modification, not metformin, is useful in achieving normoglycemia in people with prediabetes (105) (Figure 7). Of note, lifestyle modification has been shown particularly effective in women (107) and the elderly (108). The thiazolidinediones (TZD’s) have also demonstrated their ability to restore normoglycemia in people with prediabetes (71,72,109) and may gain greater acceptance in this population now that their CV safety has been established.  An increasing number of trials are focused on the ability of medication or lifestyle to not only prevent or delay onset of diabetes, but restore normoglycemia (79,110,111).

 

TRANSLATING INFORMATION INTO CONVERSATION

 

As we follow the recommended steps for screening and diagnosis of prediabetes outlined above, the next step in beginning the conversation with a patient with prediabetes is educating them about what the diagnosis means.  An A1c of 5.7-6.0% carries up to a 25%/5-year risk, whereas an A1c 6.0-6.4% carries up to a 50%/5-year risk, and prediabetes period carries up to a 70% lifetime risk of diabetes.  Further, people with prediabetes can suffer complications of diabetes even if they never convert. Early intervention can prevent diabetes by more than 50% if normoglycemia can be attained – even if transiently. Intensive lifestyle modification and a number of glucose-lowering and anti-obesity medications have been shown as capable to achieve this.  Metformin is recommended for younger, overweight people with prediabetes even though it may not achieve normoglycemia as readily. Micro- and macrovascular risk factor modification is critical.  Plasma glucose concentrations should be followed and re-screening for diabetes done annually.

 

CONCLUSION

 

In the light of the global burden of prediabetes affecting close to one billion people, the high progression rates to type 2 diabetes, and the increased risk of both micro- and macrovascular complications and death (112), efforts focused on preventing progression to diabetes and its complications are crucial. Although both intensive lifestyle intervention and various medications have proven to be effective for prevention or delay of diabetes in people with prediabetes, their uptake has been slow. This is true even in light of emerging data showing the vast benefits of early interventions.  Our best bet to recognize prediabetes as a disease is probably by calling it what it is: early diabetes (94) and treat it as such, eradicating the term “prediabetes” for good.

 

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Craniopharyngiomas

ABSTRACT

 

Craniopharyngiomas are rare intracranial tumors that mainly arise in the sellar/parasellar (particularly suprasellar) region. They present in both children and adults with a wide range of clinical manifestations. Histologically, they are benign tumors with distinct adamantinomatous and papillary subtypes. Beta-catenin gene mutations have been identified in the adamantinomatous subtype and activating mutations in BRAF (V600E) in the papillary variant, opening further avenues in our understanding of their pathogenesis. Despite their benign classification, management is challenging due to unpredictable growth and the involvement of adjacent critical structures particularly for vision and hypothalamo-pituitary function. Surgery with or without external irradiation currently represents the mainstay of therapy for most patients; however, the optimal protocol for the management of these tumors has not yet been established. Further management options include intracystic irradiation or bleomycin, stereotactic radiosurgery, systemic chemotherapy, or targeted BRAF inhibitors (for the papillary subtype); however, the outcomes of these approaches have not yet been validated with large scale clinical trials. Following treatment, patients face a high burden of morbidity due to visual, endocrine, hypothalamic, and neuropsychological dysfunction, and long-term mortality rates are substantially elevated compared with the general population.

 

EPIDEMIOLOGY

 

Craniopharyngiomas account for 2–5% of all primary intracranial neoplasms and for up to 15% of intracranial tumors in children (1). Their annual incidence is reported as around 0.18 cases per 100,000 people (2), and genetic susceptibility seems unlikely. Craniopharyngiomas may be detected at any age, even in the prenatal and neonatal periods (3) and a bimodal age distribution with peak incidence rates at ages 5–14 and 50–74 years has been proposed (2,4). In population-based studies from the USA and Finland, no gender differences have been found (4,5).

 

PATHOLOGY AND PATHOGENESIS

 

Craniopharyngiomas are epithelial tumors arising along the path of the craniopharyngeal duct (the canal connecting the stomodeal ectoderm with the evaginated Rathke’s pouch). Based on the WHO classification, they are assigned grade I. Rare cases of malignant transformation (possibly triggered by previous irradiation) have been described (1). Two main pathological subtypes have been reported: the adamantinomatous variant and the papillary variant (1,6).

 

The adamantinomatous variant is the most common subtype and may occur at any age (Figure 1). Macroscopically, adamantinomatous craniopharyngiomas have cystic and/or solid components, necrotic debris, fibrous tissue and calcification. The cysts may be multiloculated and contain liquid ranging from “machinery oil” to shimmering cholesterol-laden fluid consisting of desquamated squamous epithelial cells, rich in membrane lipids and cytoskeleton keratin. They tend to have sharp and irregular margins, often merging into a peripheral zone of dense reactive gliosis, with abundant Rosenthal fiber formation (consisting of irregular masses of granular deposits within astrocytic processes) in the surrounding brain tissue and vascular structures. The epithelium of the adamantinomatous type is composed of three layers of cells: a distinct palisaded basal layer of small cells with darkly staining nuclei and little cytoplasm (somewhat resembling the basal cells of the epidermis of the skin); an intermediate layer of variable thickness composed of loose aggregates of stellate cells (termed stellate reticulum), with processes traversing empty intercellular spaces; and a top layer facing into the cyst lumen with abruptly enlarged, flattened and keratinized to flat plate-like squamous cells. The flat squames are desquamated singly or in distinctive stacked clusters and form nodules of “wet” keratin, which are often heavily calcified and appear grossly as white flecks. The keratinous debris may elicit an inflammatory and foreign body giant cell reaction. The presence of the typical adamantinomatous epithelium or of the “wet” keratin alone are diagnostic, whereas features only suggestive of the diagnosis in small or non-representative specimens include fibrohistiocytic reaction, necrotic debris, calcification and cholesterol clefts (1).

Figure 1A. Histology of adamantinomatous craniopharyngioma. Islands of tumor with finger-like protrusions into surrounding brain tissue with central accumulation of keratin nodules; HE x40 magnification.

Figure 1B. Histology of adamantinomatous craniopharyngioma. Well-differentiated epithelium with peripheral palisading, nodular whorls, and pale, microcystic areas termed ‘stellate reticulum’, as well as pale eosinophilic ‘wet keratin’ nodule (right bottom); HE x200 magnification.

Figure 1C. Histology of adamantinomatous craniopharyngioma. Beta-catenin immunohistochemistry of area shown in A, highlighting dark staining nodular whorls; x40 magnification

Figure 1D. Histology of adamantinomatous craniopharyngioma. Basal epithelium demonstrating the aberrant nuclear accumulation of beta-catenin in nodular whorls (arrowheads) due to beta-catenin mutation; Anti-beta-catenin, x400 magnification.

The papillary variant has been almost exclusively described in adult populations (accounting for 14-50% of adult cases but only around 2% of pediatric cases) (Figure 2). It consists of mature squamous epithelium forming pseudopapillae and of an anastomosing fibrovascular stroma without the presence of peripheral palisading of cells or stellate reticulin, and with membranous beta-catenin immunoreactivity only. The differential diagnosis between a papillary craniopharyngioma and a Rathke’s cleft cyst may be difficult, particularly in small biopsy specimens, as the epithelial lining of the Rathke’s cysts may undergo squamous differentiation; however, the lack of a solid component and the presence of extensive ciliation and/or mucin production are suggestive of Rathke’s (1,6).

Figure 2A. Histology of papillary craniopharyngioma. Papillae lined by non-keratinizing squamous epithelium and containing loosely structured connective tissue; HE x20 magnification.

Figure 2B. Histology of papillary craniopharyngioma. Connective tissue harbors a patchy lymphocytic infiltrate (asterix); HE x100 magnification.

Figure 2C. Histology of papillary craniopharyngioma. Non-keratinizing squamous epithelium highlighted by beta-catenin immunostain, x20 magnification.

Figure 2D. Histology of papillary craniopharyngioma. Squamous epithelium showing membranous immunoreactivity of beta-catenin, lacking clusters with aberrant nuclear accumulation, x400 magnification.

Although the pathogenesis of craniopharyngiomas has not been fully elucidated, our understanding in this field has increased significantly in recent years. Beta-catenin gene (CTNNB1) mutations have been identified in the adamantinomatous subtype affecting exon 3 which encodes the degradation targeting box of beta-catenin; the mutant form is resistant to degradation leading to accumulation of nuclear beta-catenin protein (a transcriptional activator of the Wnt signaling pathway) (Figure 1D). Furthermore, strong beta-catenin expression has been shown in the adamantinomatous subtype indicating re-activation of the Wnt signaling pathway and subsequent de-regulation of several downstream pathways (7-10). Molecular analysis also implicates the immune response in the pathogenesis of adamantinomatous craniopharyngiomas. Cells within this subtype show signs of inflammation (in both cystic and solid components), and increased levels of cytokines including Interleukin-6 (IL-6), IL-8 and IL-10 have been identified(10-12). Furthermore, the expression of immune related genes is increased, and the immune check point proteins Programmed Death Ligand 1 (PD-L1), and Programmed Cell Death Protein 1 (PD-1) are expressed in both subtypes of craniopharyngioma(10,13).  For papillary craniopharyngiomas specifically, a number of studies using whole exome sequencing, next-generation panel sequencing, pyrosequencing and Sanger sequencing have shown the presence of activating mutations in the BRAF (V600E) gene;  the prevalence of which varies according to the sequencing method, generally being between 81 and 100% (8). BRAF mutations can lead to activation of the MAPK/ERK (Mitogen Activated Protein Kinase / Extracellular signal Regulated Kinases) pathway, which ultimately results to increased cell growth, proliferation, and cell survival(10). Whilst BRAF mutations are found in numerous cells within papillary craniopharyngiomas, only a small cluster of progenitor cells expressing the SOX2/SOX9 (Sex Region Y Box 2 and 9) transcription factors are believed to be involved in their tumorigenesis(14). It has also been suggested that the two pathological subtypes have different epigenomic and transcriptomic signatures, and that the cell clusters in the adamantinomatous subtype may have a functional role in the promotion of tumor invasion (8).

 

DIAGNOSIS

 

Location/Imaging

 

Most craniopharyngiomas are located in the sellar/parasellar region and the majority (94-95%) have a suprasellar component. Other rare locations include the nasopharynx, the paranasal area, the sphenoid bone, the ethmoid sinus, the intrachiasmatic area, the temporal lobe, the pineal gland, the posterior cranial fossa, the cerebellopontine angle, the midportion of the midbrain or, mainly relating to the papillary variant, within the 3rd ventricle(1). Plain skull X-rays, although seldom used nowadays, may show calcification and an abnormal sella. CT is helpful for evaluation of the bony anatomy, the identification of calcification and the discrimination of the solid and cystic components. They are usually of mixed attenuation; the cyst fluid has low density and the contrast medium enhances any solid portion, including the cyst capsule (1). MRI is particularly useful for the topographic and structural analysis of the tumor. The radiological appearance depends on the proportion of the solid and cystic components, the content of the cyst(s) (cholesterol, keratin, hemorrhage), and the amount of calcification present. A solid lesion appears as iso- or hypointense relative to the brain. On pre-contrast T1-weighted images, it shows enhancement following gadolinium administration, and is usually of mixed hypo- or hyperintensity on T2-weighted images. Large amounts of calcification may be visualized as areas of low signal on both T1- and T2-weighted images. A cystic element is usually hypointense on T1- and hyperintense on T2-weighted sequences, and a thin peripheral contrast-enhancing rim of the cyst can be shown on T1-weighted images. Protein, cholesterol, and methemoglobin may cause high signal on T1-weighted images, while very concentrated protein and various blood products may be associated with low T2-weighted signal (1). Imaging examples from cystic, solid, and mixed solid-cystic craniopharyngiomas are shown in Figure 3.

Figure 3A. MRI images of craniopharyngiomas. Coronal section showing cystic craniopharyngioma on post-contrast T1-weighted MRI. The cyst contents are isointense and the cyst rim enhances following contrast.

Figure 3B. MRI images of craniopharyngiomas. Sagittal section of 3A.

Figure 3C. MRI images of craniopharyngiomas. Sagittal section showing a solid craniopharyngioma on T1-weighted imaging which enhances after contrast.

Figure 3D. MRI images of craniopharyngiomas. Coronal section showing a solid craniopharyngioma on T1-weighted imaging which enhances after contrast.

Figure 3E. MRI images of craniopharyngiomas. Sagittal section showing a craniopharyngioma with mixed solid and cystic components on post-contrast T1-weighted imaging.

Figure 3F. MRI images of craniopharyngiomas. Coronal section showing a mixed solid and cystic craniopharyngioma with mixed signal intensities on T2-weighted imaging.

The consistency of craniopharyngiomas can be purely or predominantly cystic, purely or predominantly solid, and mixed. When present, the calcification patterns vary from solid lumps to popcorn-like foci or, less commonly, to an eggshell pattern lining the cyst wall. Hydrocephalus has been reported in 20-38% and is probably more frequent in childhood-diagnosed disease (41-54%).

 

The differential diagnosis includes a number of sellar or parasellar lesions, including Rathke’s cleft cyst, dermoid cyst, epidermoid cyst, pituitary adenoma, germinoma, hamartoma, suprasellar aneurysm, arachnoid cyst, suprasellar abscess, glioma, meningioma, sarcoidosis, tuberculosis and Langerhans cell histiocytosis. Differentiation from a Rathke’s cleft cyst (typically small, round, purely cystic lesions lacking calcification), or from a pituitary adenoma (in the rare case of a homogeneously enhancing solid craniopharyngioma), may be particularly difficult (1,15).

 

Clinical and Hormonal Manifestations at Presentation

 

Patients with craniopharyngioma may present with a variety of clinical manifestations attributed to pressure effects on vital structures of the brain (visual pathways, brain parenchyma, ventricular system, major blood vessels and hypothalamo-pituitary system) (15-17). Their severity depends on the location, size, and growth potential of the tumor. The duration of the symptoms until diagnosis ranges between 1 week to 372 months(1). The presenting clinical manifestations (neurological, visual, hypothalamo-pituitary) are shown in Table 1. Headaches, nausea/vomiting, visual disturbances, growth failure (in children) and hypogonadism (in adults) are the most frequently reported. Other less common or rare features include motor disorders, such as hemi- or monoparesis, seizures, psychiatric symptoms such as emotional lability, hallucinations and paranoid delusions, autonomic disturbances, precocious puberty, the syndrome of inappropriate secretion of antidiuretic hormone, chemical meningitis due to spontaneous cyst rupture, hearing loss, anosmia, nasal obstruction, epistaxis, photophobia, emaciation, Weber’s syndrome (ipsilateral III cranial nerve palsy with contralateral hemiplegia due to midbrain infarction), and Wallenberg’s syndrome (signs due to occlusion of the posterior inferior cerebellar artery) (1). It has been proposed that in cases of craniopharyngioma diagnosed in childhood, compromised growth rate is already evident in early infancy, whereas an increase in weight tends to present later and is a predictor of obesity (18). 

 

The hypothalamo-pituitary function at presentation may be severely affected; a summary of the results of various studies using different diagnostic tests and criteria shows that GH deficiency is present in 35–100% of the evaluated patients, FSH/LH deficiency in 38–91%, ACTH deficiency in 21–68%, TSH deficiency in 20–42% and diabetes insipidus in 6–38%.

 

Table 1. Presenting Clinical Features in Children and Adults with Craniopharyngioma (10)

 

Children

Adults

 

Total

Headaches

78%

56%

64%

Menstrual disorders

 

57%

 

Visual field defects

46%

60%

55%

Decreased visual acuity

39%

40%

39%

Nausea/vomiting

54%

26%

35%

Growth failure

32%

 

 

Poor energy

22%

32%

29%

Impaired sexual function

 

28%

 

Impaired secondary sexual characteristics

(pts aged ≥13 years)

 

 

24%

Lethargy

17%

26%

23%

Other cranial nerves palsies

27%

  9%

15%

Polyuria/polydipsia

15%

15%

15%

Papilledema

29%

  6%

14%

Cognitive impairment

(memory, concentration)

10%

17%

14%

Anorexia/weight loss

 20%

  8%

12%

Optic atrophy

  5%

14%

10%

Hyperphagia/excessive weight gain

  5%

13%

10%

Psychiatric symptoms/change in behavior

10%

  8%

  8%

Somnolence

  5%

10%

  8%

Galactorrhea

 

  8%

 

Decreased consciousness/coma

10%

  4%

  6%

Cold intolerance

  0%

  8%

  5%

Unsteadiness/ataxia

  7%

  3%

  4%

Hemiparesis

  7%

  1%

  3%

Blindness

  3%

  3%

  3%

Meningitis

   0%

   3%

 2%

 

MANAGEMENT

 

Surgery Combined or Not with External Irradiation

 

Surgery combined or not with adjuvant external beam irradiation is currently one of the most widely used first therapeutic approaches for craniopharyngiomas. These tumors pose challenges mainly due to their sharp, irregular borders and to their tendency to adhere to vital neurovascular structures, making surgical manipulation potentially hazardous to vital brain areas. When large cystic components are present, fluid aspiration provides relief of the obstructive manifestations and facilitates the consecutive removal of the solid portion, which should not be delayed for more than a few weeks due to the significant risk of cyst refilling (15,19). The attempted extent of excision has been a subject of significant debate and depends on the size (achieved in 0% of lesions >4 cm) and location of the tumor, the presence of hydrocephalus (particularly difficult for retrochiasmatic or within the 3rd ventricle), >10% calcification, tumor adherence to the hypothalamus, brain invasion, as well as the experience, individual judgment during the operation, and general treatment policy (aggressive or not) adopted by each neurosurgeon (1,20-22). In recent years, many tertiary centers have adopted a more conservative surgical approach, electing for partial or limited resection with radiotherapy over complete resection, when possible, with aim of hypothalamic sparing and reducing subsequent morbidity (23). In microsurgical series, post-operative mortality ranges between 0 and 5.4% (24), while in a meta- analysis including 2,955 patients early mortality of 2.6% after transsphenoidal and 3.1% after transcranial surgery were reported (25).

 

Interestingly, until 1937, when Carpenter et al. (26) first described the beneficial effects of radiotherapy following aspiration of cyst contents in 4 cases, craniopharyngiomas were considered radioresistant. Historically, the role of irradiation started being established almost two decades later, following the report of the favorable outcome of the combination of minimal surgery and high-dose supervoltage irradiation in a series of 10 patients by Kramer et al. (27). The irradiation of cystic craniopharyngiomas carries the risk of cyst enlargement, arising during or within 6 months after radiotherapy, reported in 10-60% of patients (28-31). Whilst urgent surgical decompression may be needed in some cases, enlargement is transient, and does not represent tumor recurrence (15,30,32).

 

Recurrence Following Surgery

 

Recurrent tumors may arise even from small islets of craniopharyngioma cells in the gliotic brain adjacent to the tumor, which can remain even after gross total removal. The mean interval for diagnosis of recurrence following various primary treatment modalities ranges between 1 and 4.3 years. Remote recurrences as late as 30 years after initial therapy have been reported; possible mechanisms include transplantation during the surgical procedures and dissemination by meningeal seeding or CSF spreading (1). Series with radiological confirmation of the radicality of resection show that recurrence rates following gross total removal range between 0 and 62% at 10 years follow-up. These are significantly lower than those reported after partial or subtotal resection (25-100% at 10 years follow-up). In cases of limited surgery, adjuvant radiotherapy significantly improves the local control rates (recurrence rates 10-63% at 10 years follow-up).  Finally, radiotherapy alone provides 10 years recurrence rates ranging between 0 and 23% (1). These results were based on the use of conventional fractionated external beam radiotherapy; tumor control rates with newer higher precision techniques, such as fractionated stereotactic conformal radiotherapy, have remained optimal with 5-year progression free survival exceeding 90% (33,34). Tumor control rates achieved by proton beam therapy in patients with craniopharyngioma are promising (35), but studies with long-term follow-up are needed. Studies with statistical comparisons of the local control rates achieved by gross total removal or the combination of surgery and radiotherapy have not provided consistent results. The interpretation of data regarding effectiveness of each therapeutic modality must be done with caution, since the published studies are retrospective, non-randomized and often specialty-biased.

 

The growth rate of craniopharyngiomas varies considerably and reliable clinical, radiological, and pathological criteria predicting their behavior are lacking. Thus, apart from significant impact of the treatment modality as mentioned above, attempts to identify other prognostic factors for recurrence (age, group at diagnosis, sex, imaging features, pathological subtypes) have not provided consistent results (1).

 

The management of recurrent tumors remains challenging, as scarring/adhesions from previous operations or irradiation make successful removal difficult. In such cases, total removal is achieved in a substantially lower rate when compared with primary surgery (0-25%). Perioperative mortality is increased following recurrence, occurring in as many as 11-24% (22). The beneficial effect of radiotherapy (proceeded or not by second surgery) in recurrent lesions has been clearly shown(15,36). Recurrent lesions with significant cystic component not amenable to total extirpation may be treated by repetitive aspirations through an indwelling Ommaya reservoir apparatus. In a small series of 11 adult patients with cystic craniopharyngiomas treated with Ommaya reservoirs, local control was achieved in 8 patients (72.7%) without the need for additional treatment over a follow up period of 41.4 months (37).

 

Intracystic Irradiation

 

Intracavitary irradiation (brachytherapy) involves stereotactically guided instillation of beta-emitting isotopes into cystic craniopharyngiomas. It delivers a higher radiation dose to the cyst than external beam radiotherapy, resulting in damage of the secretory epithelial lining, elimination of fluid production, and cyst shrinkage. The efficacy of various beta and gamma-emitting isotopes (mainly 32phosphate, 90yttrium, 186 rhenium, 198gold) has been investigated in a number of studies, but given that none of them has the ideal physical and biological profile, there is no consensus on which is the most suitable therapeutic agent. In a systematic review which included 66 children treated with brachytherapy, a reduction in tumor size was reported in 89% of children with cystic only craniopharyngiomas, and in 58% in those with mixed cystic and solid components (38). In series with mean or median follow-up between 3.1 and 11.9 years providing intracavitary irradiation (mainly with 90yttrium or 32phosphorus) at doses of 200-270 Gy, complete or partial cyst resolution was seen in 71-88%, stabilization in 3-19%, and increases in 5-10% of cases (39-44). New cyst formation or increase in the solid component of the tumor were observed in between 6.5 and 20% of cases. Although beta emitters have short range tissue penetrance, lesions in close proximity to the optic apparatus should be approached with caution (39-44). Deterioration of vision has been reported in 10-58% of cases and has been attributed to failure of cyst collapse, formation of new cysts, increase in the solid tumor, or possibly radiation damage. The reported control rates combined with low surgical morbidity and mortality render brachytherapy an attractive option for predominantly cystic tumors, particularly those that are monocystic. 

 

Intracystic Bleomycin

 

Intracystic installation of the anti-neoplasmatic agent bleomycin has been used in the management of craniopharyngiomas. The drug is administered through an Ommaya reservoir connected to a catheter. In published reports the tumor control rates range between 0 and 100%. However, evidence supporting its efficacy is limited mostly to case reports or non-randomized retrospective studies, and a Cochrane review (45) exploring the effects of bleomycin in children could not recommend its use. Direct leakage of the drug to surrounding tissues during the installation procedure, diffusion though the cyst wall, or high drug doses have been associated with various toxic (hypothalamic damage, blindness, hearing loss, ischemic attacks, peritumoral edema) or even fatal effects (1,46,47).The value of this treatment option in tumor control or even in delaying surgery and/or radiotherapy, as well as the optimal protocol and the clear-cut criteria predicting the long-term outcome, remain to be established in large series with sufficient follow-up.

 

Intracystic Interferon-Alpha

 

Intracystic interferon-alpha is not neurotoxic and is therefore associated with a lower risk of adverse events when compared to other intracystic treatments. Despite encouraging results in a number of studies with short follow up, a large multicenter study demonstrated tumor progression in 75% of patients by a median of just 14 months (48,49).

 

Stereotactic Radiosurgery

 

Stereotactic radiosurgery delivers a single or small number of fraction(s) of high dose ionizing radiation to precisely mapped targets, keeping the exposure of adjacent structures to a minimum. Tumor volume and close attachment to critical structures (e.g., optic apparatus) are limiting factors for its application. Risk of optic neuropathy is <1% when the optic chiasm is constrained to a maximal dose of 10 Gy, 20 Gy, and 25 Gy, for single-fraction SRS, 3-fraction SRS, and 5-fraction SRS respectively (50). SRS achieves tumor control in a substantial number of patients with small volume lesions and reported 5-year progression free survival ranges between 61% and 90.3% (51-55). Rate of tumor control following SRS is negatively associated with tumor volume (56), thus it is particularly useful for well-defined residual disease following surgery or for the treatment of small, solid recurrent tumors situated at least 3-5mm away from the optic chiasm (49). Increasing margin dose and maximum dose >35Gy have been associated with increased risk of neurologic deficit following SRS (57). Studies with long-term follow-up evaluating the optimal marginal dose, its role in the prevention of tumor growth, and its effects on neurocognitive and neuroendocrine function, are needed.

 

Systemic Chemotherapy/Interferon-Alpha 

 

The potential benefit of systemic chemotherapy in craniopharyngiomas has been investigated in a very limited number of patients. Thus, Bremer et al. (58) reported a case of successful management of a recurrent cystic tumor with the combination of vincristine, carmustine (BCNU) and procarbazine. Lippens et al. (59), after administration of five courses of doxorubicin and lomustin in 4 children with multiple or very rapid recurrences, achieved local control in 75% of them after 3-12 years follow-up. Jakacki et al. (60), in a series of 12 patients aged <21 years with progressive or recurrent craniopharyngiomas, showed that after 12 months of treatment with interferon-alpha, tumor reduction of at least 25% was observed in 3 cases. However, during the first weeks of therapy 6 patients experienced an increase in the size of the cystic component, which was finally considered as progressive disease in half of them. Interestingly, 67% of patients that completed one year of therapy without progressive disease had an increase in the size of their tumor at a median period of 11 months after discontinuation of the drug. The cytotoxicity (predominantly hepatic, neurological and cutaneous), requiring temporary discontinuation and/or dose reduction within the first 8 weeks of therapy, was significant (in up to 60% of the cases). In 2012, the same group explored the use of pegylated interferon (a derivative of interferon-alpha with a longer half-life) in five patients; all demonstrated a radiological response to treatment and two of them had a complete response (61). A subsequent phase two multi-center study gave disappointing results. Of 18 adults and children with recurrent craniopharyngiomas who were given systemic pegylated interferon, only one attained a sustained response beyond 3 months (62).

 

Targeted Therapy

 

The finding that most papillary craniopharyngiomas harbor a BRAF (V600E) mutation has opened avenues for use of pharmacological agents specifically targeting and inhibiting mutant BRAF in cases resistant to other treatments. A number of case reports and small case series have demonstrated a significant reduction in tumor size (used alone or in combination with MEK inhibitors), applied neoadjuvantly or after surgery, with or without prior radiotherapy (8,49,63-73). Common side effects associated with BRAF and MEK inhibitors seen from their use in other diseases (such as metastatic melanoma and papillary thyroid cancer) include rash, fever, diarrhea, arthralgia, and liver dysfunction (74). Cases of adamantinomatous craniopharyngiomas responding to MEK inhibitors (75), or controlled with IL-6 inhibitors used alone or in conjunction with VEGR inhibitors (12), have also been reported. The pros and cons of these new treatment modalities, particularly for aggressive tumors, warrant further assessment by trials with large number of patients and adequate follow-up. Two clinical trials (BRAF and MEK inhibitors for papillary craniopharyngiomas, and IL-6 inhibitors for children with adamantinomatous craniopharyngiomas) are currently ongoing (76,77). Initial results from one of these trials – a phase two study which included sixteen patients with papillary craniopharyngiomas harboring the BRAF V600E mutation – have been presented. All patients were treated with oral vemurafenib (BRAF inhibitor) and cobimetinib (MEK inhibitor) in 28-day cycles. Median age and follow up duration were 49.5 years and 1.8 years respectively. In those where volumetric imaging data was available, 14 (93.3%) had a radiological response to treatment, with a median tumor reduction of 83%. Grade 3 (severe) toxicities occurred in 12 patients, whilst grade 4 (potentially life threatening) toxicities occurred in two patients. Three patients stopped treatment due to adverse events (78).

 

MORBIDITY AND MORTALITY

 

Craniopharyngiomas are associated with significant long-term morbidity (mainly involving endocrine, visual, hypothalamic, neurobehavioral, and cognitive sequelae), which is attributed to the damage of critical structures by the primary or recurrent tumor and/or to the adverse effects of the therapeutic interventions. Notably, the severity of the radiation-induced late toxicity is affected by the total and per fraction doses, the volume of the exposed normal tissue, and the young age in childhood populations (1).

 

Endocrine

 

Long-term endocrine morbidity is significant. At last assessment, the rates of individual hormone deficits range between 88-100% for GH, 80-95% for FSH/LH, 55-88% for ACTH, 39-95% for TSH and 25-86% for ADH (1). Restoration of pre-existing hormone deficits following surgical removal is rare, and aggressive surgery leads to more frequent pituitary dysfunction (1,23,79).

 

The phenomenon of «growth without growth hormone» has been reported in some children with craniopharyngioma who show normal or even accelerated linear growth, despite their untreated GH deficiency. The pathophysiological mechanism has not been clarified; the obesity-associated hyperinsulinemia has been proposed as a factor stimulating growth by affecting serum concentrations of IGF-I or by binding directly to the IGF-I receptor (80,81). Review of adult patients with craniopharyngioma and severe GH deficiency but no recent GH treatment (from the KIMS database: Pfizer International Metabolic Database) has shown that those with childhood-onset disease were shorter than those with adult-onset disease, and obesity was more common in the adult-onset patients. Furthermore, quality of life, assessed by Quality of Life-Assessment of Growth Hormone Deficiency in Adults (QoL-AGHDA) and the Nottingham Health Profile, was markedly reduced with no significant differences between those with childhood-onset and those with adult-onset disease (82). A 3-year longitudinal analysis of the changes in height, weight, and body mass index (BMI) SDS in 199 GH-treated pre-pubertal children with post-surgical and/or post-irradiated craniopharyngioma showed that GH therapy induced excellent linear growth compared with children with other forms of organic GH deficiency. Still, the children with craniopharyngioma had a higher BMI; GH had no salutary effect on weight SDS and caused only a mild improvement in BMI SDS (83). A study of 351 patients with adult-onset craniopharyngioma compared with 370 patients with non-functioning pituitary adenomas matched for age and sex (all GH deficient) demonstrated that, after two years of GH replacement, there were significant similar improvements in both groups in free-fat mass, total and low-density lipoprotein and Quality of Life Assessment in the GH-deficient score compared with baseline. Results from a 12-year prospective study showed children with craniopharyngioma treated with GH had improved weight and quality of life outcomes compared to those who were not replaced, or in those who only received GH as adults (84). Observational studies have also shown that growth hormone replacement is not associated with increased risk of tumor recurrence.

 

Diabetes insipidus with an absent or impaired sense of thirst confers a significant risk of serious electrolyte imbalance, and is one of the most difficult complications to manage. In this group of patients, the maintenance of osmotic balance has been shown to be precarious with recurrent episodes of hyper- or hyponatremia contributing to morbidity and mortality. Careful fluid balance with close monitoring of intake/output and daily weights is crucial.

 

Vision

 

Visual outcome is adversely affected by the presence of visual symptoms at diagnosis and by daily irradiation doses >2 Gy (1). Radiation optic neuropathy occurs in 1–2% patients receiving doses to 50 Gy and this is mostly confined to those with pre-radiotherapy visual impairment, with the risk being higher with doses of 55 Gy and above (1,28).

 

Hypothalamic

 

Hypothalamic damage may result in hyperphagia and uncontrollable obesity, disorders of thirst and water/electrolyte balance, behavioral and cognitive impairment, loss of temperature control and disordered sleep pattern. Among these, obesity is the most frequent (reported in 26-61% of the patients treated by surgery combined or not with radiotherapy) and is a consequence of the disruption of the mechanisms controlling satiety, hunger, and energy balance (1,15,85-88). Possible contributing mechanisms include lack of sensitivity to endogenous leptin (89,90) and reduced energy expenditure, and is exaggerated by comorbidities including neurological defects, visual failure, somnolence (91), sleep disturbance, hypopituitarism and psychosocial disorders (92). In a study of 63 survivors of childhood craniopharyngioma, all those with marked obesity after surgery had evidence of significant alterations of the normal hypothalamic anatomy, with their MRI showing either complete deficiency or extensive destruction of the floor of the 3rd ventricle (93). Several image grading systems, used pre- or post-operatively, have been proposed to help predict hypothalamic sequalae and hypothalamic morbidity by defining hypothalamic involvement on imaging and severity of tumor adherence to the hypothalamus (94-98). Furthermore, it has been reported that the basal metabolic rate adjusted to total body weight is significantly lower in adults with craniopharyngioma compared with controls, and that the energy intake/basal metabolic rate ratio is significantly lower in subjects with tumor growth into the 3rd ventricle (99). Children with surgically-treated craniopharyngioma were found to have decreased aerobic capacity during an exercise test, which was most pronounced in those with hypothalamic involvement.  Interestingly, in this study, GH treatment was associated with significant positive effect on aerobic capacity only in the absence of hypothalamic involvement (100). Finally, high levels of the orexigenic gastric hormone ghrelin have not been found in these patients (101). Factors proposed to be associated with significant hypothalamic morbidity are young age at presentation, hypothalamic disturbance at diagnosis, hypothalamic invasion, attempts to remove adherent tumor from the region of hypothalamus, multiple operations for recurrence, and hypothalamic radiation doses >51 Gy (1,102,103). Interestingly, in a retrospective study including 45 adults with craniopharyngioma followed for a median of 26 months, a lower BMI pre-operatively was predictive of greater post-operative weight gain(104). In contrast, a higher pre-operative BMI has been found to be associated with severe post-operative obesity in children(18). Hypothalamic obesity often results in devastating metabolic and psychosocial complications, necessitating provision of dietary and behavioral modifications, encouragement of regular physical activity, psychological counselling, and anti-obesity drugs. Based on a limited number of published cases, gastric bypass surgery results in weight loss; in a systematic review and meta-analysis including 21 cases of bariatric surgery for hypothalamic obesity in patients with craniopharyngioma (6 with adjustable gastric banding, 8 with sleeve gastrectomy, 6 with Roux-en-Y gastric bypass and 1 with biliopancreatic diversion), it was shown that the maximal mean weight loss was achieved in the gastric bypass group after 12 months (105). Furthermore, Weismann et al. (106) in a series of 7 patients with morbid obesity after surgery for craniopharyngioma, who underwent laparoscopic gastric banding or laparoscopic sleeve gastrectomy, reported no significant loss of body weight. A case control study suggested that Roux-en-Y surgery, but not sleeve gastrectomy, yielded equivalent weight loss in craniopharyngioma patients to those with “common” obesity and resulted in significant reductions to BMI after one year (107). The same group subsequently conducted a larger, multi-center case control study, with a median follow up of 5.2 years (108). Obese patients with craniopharyngioma had a mean weight loss of 22% at 5 years after bariatric surgery; irrespective of type of procedure. In contrast to their original findings (107), obese controls lost more weight after Roux-en-Y gastric bypass, whereas sleeve gastrectomy led to similar results in both groups (108). Medical therapies including dextroamphetamine, the combination of diazoxide and metformin (aiming to reduce the hyperinsulinemia), octreotide (aiming to reduce hyperinsulinemia and simultaneously enhance the insulin action), glucagon-like peptide-1 analogues, and a novel methionine aminopeptidase 2 inhibitor, have all been proposed as potential approaches to this significant problem (92). However, outcomes following these therapies are variable and long-term benefits have not yet been established. Studies with large number of patients and longer follow-up are needed to establish the efficacy and safety of these surgical and medical management options.

 

Neuropsychological and Cognitive

 

The compromised neuropsychological and cognitive function in patients with craniopharyngioma after surgery and radiation therapy contributes significantly to poor academic and work performance, disrupted family and social relationships, disrupted body image, and impaired quality of life. Gross total resection, radiotherapy, pre-operative hypothalamic involvement, or intra-operative hypothalamic injury have been associated with a lower quality of life in adults and children with craniopharyngioma (109). It has also been proposed that visual, neurological, and endocrine morbidities negatively impact neuropsychological outcomes (110,111). Areas particularly affected (especially in childhood-onset disease) include memory, attention, executive function, and motivation (110,112-114), with hypothalamic involvement being a risk factor for poorer outcomes (113). In a series of 121 patients followed-up for a mean period of 10 years, Duff et al.(115) found that 40% had poor functional neuropsychiatric outcome. Karavitaki et al. (15), in a series of 121 patients, found cumulative probabilities for permanent motor deficits, epilepsy, psychological disorders necessitating treatment, and complete dependency for basal daily activities at 10-year follow-up of 11%, 12%, 15% and 9%, respectively. There is no consensus on the therapeutic option with the least unfavorable impact on the neurobehavioral outcome, necessitating prospective studies with formal neuropsychological testing and specific behavioral assessment before and after any intervention.  Such data will be particularly important for young children, as there are uncertainties including whether delaying irradiation is a reasonable policy in this age group. 

 

Long-Term Mortality

 

The mortality rates of patients with craniopharyngioma have been described to be 3-6 times higher than that of the general population and reported 10-years survival rates range between 83% and 93% (1,87). Qiao et al.(116) reported a significant fall in the SMR from 6.2 (95% CI 4.1-9.4) to 2.9 (95% CI 2.2-3.8) for studies published before 2010, and after 2010, respectively (116). Apart from the deaths directly attributed to the tumor (pressure effects to critical structures) and to the surgical interventions, the risk of cardio-/cerebrovascular and respiratory mortality is increased (1,117,118). In one study which included 244 patients with childhood onset craniopharyngioma, 11% of patients developed a cerebral infarction. Hydrocephalus and gross total resection were identified as risk factors, and none were attributable to radiotherapy (119). The increased cardiovascular mortality in this population may be driven in part by hypothalamic obesity and related metabolic complications. Long-term follow-up of adult patients with craniopharyngiomas has demonstrated increased prevalence of the metabolic syndrome compared with the general population (120), and hypothalamic involvement has been shown to have negative impact on mortality (121). It has been suggested that in childhood populations the hypoadrenalism and the associated hypoglycemia, as well as the metabolic consequences of ADH deficiency and absent thirst, may also contribute to the excessive mortality. The impact of tumor recurrence on the long-term mortality is widely accepted and the 10-year survival rates in such cases range between 29% and 70%, depending on the subsequent treatment modalities (15).

 

CONCLUSIONS AND FUTURE PERSPECTIVES

 

Craniopharyngiomas present many unique challenges for clinicians.  Whilst controversies regarding the optimal management approach for these rare tumors still exist, the need to prevent hypothalamic morbidities associated with surgical intervention in this area is essential.

Enhanced understanding of the pathogenesis of both adamantinomatous and papillary craniopharyngiomas has led to the concept of targeted medical therapy, an area at the forefront of translational research. Optimal outcomes following the use of BRAF V600 and MEK inhibitors have been described in case reports and are a promising treatment prospect, with hope that their efficacy and safety are supported by the results of large, prospective, randomized studies.

Patients face a high burden of post-treatment morbidity due to endocrine, visual, hypothalamic, and neuropsychological complications, and mortality rates are increased compared with the general population. Obesity is one of the most significant comorbidities with often devastating sequelae; its pathogenesis is multifactorial, and its management is one of the most challenging problems clinicians have to deal with. Given the complexity of these tumors, care for these patients should be provided by an experienced multidisciplinary team.

 

ACKNOWLEDGEMENTS

 

Radiology images provided courtesy of Dr. Swarupsinh Chavda, Consultant Neuroradiologist, Queen Elizabeth Hospital Birmingham, UK.

 

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Surgical Treatment of Pituitary Adenomas

ABSTRACT

The overwhelming majority of pituitary adenomas are benign and present either with characteristic syndromes of excess hormone secretion or secondary to mass effect by the growing tumor. The common hypersecretory syndromes include Cushing’s disease, acromegaly/gigantism, and hyperprolactinemia. Local mass effects on the pituitary can cause varying degrees of hypopituitarism. As the tumor grows beyond the confines of the sella turcica, the visual pathways are commonly affected and visual field deficits are present. Effective medical therapy is available for prolactin secreting adenomas. With the exception of these tumors, transsphenoidal surgery remains the first-line treatment for most other pituitary adenomas. Medical therapy for growth hormone secreting adenomas and for Cushing’s disease continues to evolve.

CLASSIFICATION

Pituitary adenomas may be classified according to their clinical/radiographic characteristics (Table 1) and, more recently, their cell lineage (Table 2). Those tumors that measure less than 10 mm in diameter are considered microadenomas; macroadenomas are those 10 mm or larger (Fig. 1A, B, C, and D). Macroadenomas may also be sub-categorized as "giant" if their extent reaches far beyond the normal confines of the pituitary region or their greatest diameter exceeds 4cm (Fig 1E, F, and G). Pituitary adenomas may also be categorized based on their functional/secretory status. The hypersecretory adenomas cause distinctive clinical syndromes that include acromegaly/gigantism caused by growth hormone (GH) secreting adenomas, the classic Forbes-Albright syndrome (amenorrhea-galactorrhea) caused by prolactin (PRL) secreting adenomas, TSH-secreting adenomas, the occasional hypersecreting FSH/LH adenoma, and Cushing's disease/Nelson’s syndrome caused by corticotropin (ACTH) secreting adenomas. The non-functioning adenomas (NFAs) are “silent” and only perturb the endocrine system due to mass effects on the normal gland causing hypopituitarism (decreased pituitary hormone production) and generally present either incidentally, because of visual loss, or with secondary subtle hormonal abnormalities. The new histopathological classification considers the majority of tumors to be clinically silent gonadotropin tumors staining for SF-1. The next category is the true null cell adenoma which stains for no pituitary hormones with none of the other transcription factors or hormones being detected.

Table 1. Clinical/Radiographic Classification Schemes of Pituitary Adenomas

 Scheme

 Features

Microadenoma/ Macroadenoma

 £ 10 mmm/ > 10 mm

Non-Functioning adenoma

 

Functioning adenoma

 

 Endocrinologically inactive, patient may present with pituitary deficiency or cranial nerve deficits (CN 2 most commonly)

 

Excess of pituitary hormone secretion:  GH adenoma; PRL adenoma; ACTH adenoma; TSH adenoma; GH -PRL adenoma; FSH/LH adenoma (rare, most are non-functioning)

 

Other plurihormonal hypersecretory adenomas

Abbreviations: CN = cranial nerve, GH = growth hormone, PRL = prolactin, ACTH = adrenocorticotropic hormone, TSH = thyroid stimulating hormone, FSH = follicle stimulating hormone, LH = luteinizing hormone

Figure 1. Tumor Classification based on size.  Microadenoma: Coronal and sagittal T1 weighted MRIs with contrast with arrow indicating the location of the tumor (A and B).  Macroadenoma: Coronal and sagittal T1 weighted MRIs of a typical macroadenoma (C and D).  Giant invasive macroadenoma: Coronal and sagittal T1 MRIs with contrast in a patient in whom the tumor compresses the right temporal lobe and invades the sphenoid sinus (E and F).  In another patient, the sagittal MRI reveals a tumor that has not only invaded the sphenoid sinus but compresses the brainstem; the tumor is highlighted (G and H).

The new cell lineage classification system of pituitary adenomas is a result of recent studies which have uncovered the shared transcription factor profiles present in adenoma cell lines (1). For detailed information on the pathology and pathogenesis of pituitary adenomas, see the corresponding Endotext chapter. The most common transcription factor profile is PIT1, which is shared by somatotroph, lactotroph, and thyrotroph adenomas.  PIT1 mediates differentiation, expansion, and survival of these three cell types (Table 2). In adenomas, evidence supports an HMGA mediated upregulation of PIT1 (2). HMGA genes are usually active during embryogenesis but not in normal adulthood (3). A new paradigm has evolved, which generally begins with transcription factor mediated monoclonal expansion of a single cell line followed by variable differentiation and retention of secretory capability. Patients harboring multiple pituitary adenomas present a unique scenario in which the true pathogenesis and pathogenetic process underlying neoplastic growth could involve distinct multicentric monoclonal expansion (“Multiple-Hit Theory”) or adenoma transdifferentiation across cell lines (“Transdifferentiation Theory”) (4).

Table 2. Cell Lineage Classification of Pituitary Adenomas (1)

Lineage

 Cell type

 

 Immunophenotype

Transcription factor profile

Acidophil

Somatotroph  

GH ± PRL ± a-subunit

PIT1

Lactotroph

PRL

PIT1, ER-a

Thyrotroph

TSH-b, a-subunit

PIT1, GATA2

Corticotroph

Corticotroph

ACTH, LMWCK

TPIT

Gonadotroph

Gonadotroph

FSH-b or LH-b or a-subunit

SF1, GATA2

Unknown

Null cell

None

None

Abbreviations: GH= growth hormone, PRL= prolactin, TSH = thyroid stimulating hormone, ACTH = adrenocorticotropic hormone, LMWCK = low molecular weight cytokeratin

EPIDEMIOLOGY

Pituitary adenomas account for approximately 10 to 15% of surgically-treated primary tumors of the central nervous system (CNS) (5-9). The incidence appears higher in African Americans in whom pituitary adenomas account for over 20% of non-metastatic CNS tumors (10, 11). The incidence rate of pituitary tumors has increased from 2.5 to 3.1 per 100,000 per year (annual percentage change of 4.25%). Although the incidence varies according to age, sex, and ethnic group, between approximately 0.5 and 8.5 per 100,000 in the population are diagnosed annually with a pituitary adenoma (5, 12-14). In a large cohort study between 2004 and 2009, the largest incidence peak was 8.5 for males 75-79 years old (14). Autopsy series indicate that pituitary tumors are quite common, and that nearly 25% of the population may harbor undiagnosed adenomas (15, 16). The majority of these tumors are less than 3-5 mm in diameter and would not require medical or surgical intervention. More recent series using magnetic resonance imaging (MRI) of healthy subjects indicate that approximately 10% of the population harbors pituitary lesions. Some series report a higher rate of diagnosis among women of childbearing age, despite a similar incidence in women and men  (5, 13). Because disruption of the hypothalamo-pituitary-gonadal axis in women is more evident than in men, women with pituitary adenomas may present to clinical attention at a higher rate, and earlier, than men.

 

Among the varying classes of adenomas, prolactinomas and non-functioning adenomas have the highest incidence, and account for nearly two-thirds of all pituitary tumors. Prolactin-secreting adenomas comprise 40 to 60% of functioning adenomas and are the most common subtype of pituitary tumor diagnosed in adolescents (6). The majority of microadenomas occur in women in their second and third decades. Men generally present later, in their fourth and fifth decades, almost always with macroadenomas.

 

GH secreting adenomas represent approximately 20-30% of all functioning tumors. Nearly three quarters of GH secreting adenomas are macroadenomas. Approximately 40 to 60 individuals per million have acromegaly (17-19). Between 3 and 4 new cases per million are diagnosed annually (17-20). Most present in their 3rd to 5th decades after they have been developing symptoms and signs for many years  (18). Acromegaly has been associated with an increased incidence of cardiovascular, respiratory, and cerebrovascular disease, as well as an increased risk of colon cancer. Studies have reported an increased risk of mortality compared to the unaffected population (17, 20). Although some studies report a higher incidence of several cancers, others have only confirmed an increased risk of colon cancer  (21, 22). There is some evidence that mortality risk may be different between the sexes. Etxabe et al. found a higher mortality rate in men than in women  (18). Other reports found similarly increased mortality in both sexes  (23). Still others report increased risks of death in men from cardiovascular, respiratory, cerebrovascular, and malignant disease, but only from cerebrovascular disease in women  (17).

 

ACTH adenomas account for 15 to 25% of all functioning adenomas and are the most common pituitary tumors diagnosed in pre-pubertal children (6). The majority of ACTH adenomas, regardless of age, are microadenomas. Approximately 39 individuals per million have Cushing's disease from an ACTH-secreting adenoma and the annual incidence is estimated at 2.4 per million (24). Cushing's disease is more common in women, most of whom present in their third and fourth decades (24, 25). There is a high incidence of hypertension and diabetes mellitus as well as higher vascular disease-related mortality (24, 26). Nelson’s syndrome can develop after adrenalectomy in patients with Cushing’s disease, as negative feedback is then lost to a previously unrecognized intrasellar ACTH adenoma. These patients may develop hyperpigmentation, and the ACTH-secreting pituitary tumors often become aggressive over time. 

CLINICAL PRESENTATION

Advances in neuroimaging, namely CT, CT angiography and particularly magnetic resonance imaging (MRI) have improved the visualization of the pituitary region. Increasing numbers of adenomas are diagnosed incidentally during the evaluation of sinus disorders (15%), trauma (19%), and stroke (15%), among others. These "incidentalomas" are not necessarily asymptomatic. Visual deficits are present in 5-15% of cases and up to 50% when formal testing is employed (27). Some degree of pituitary dysfunction is found in up to 15-30% (27, 28). More than one third are macroadenomas and, of these, approximately 30% will show significant enlargement over time (28-31). Small asymptomatic incidental microadenomas are less likely to have clinically significant growth and often can be followed over time with repeated MRIs.

Although increasing numbers of tumors are diagnosed incidentally, pituitary adenomas more often present secondary to hypersecretion, hypopituitarism, or mass effect (Table 3).

Table 3. Presenting Features of Pituitary Adenomas

Hypersecretion

GH-secreting adenoma: Acromegaly

ACTH-secreting adenoma: Cushing's disease/Nelson’s syndrome

Prolactin-secreting adenoma: Amenorrhea-galactorrhea

TSH-secreting adenoma: Secondary hyperthyroidism

Pituitary insufficiency

Symptoms: diminished libido, infertility, fatigue, weakness

Gonadal dysfunction, Hypothyroidism, Adrenal Insufficiency, Somatotroph Insufficiency

Mass Effect (symptoms related to compressed adjacent structures)

Optic chiasm: bitemporal visual field deficit and diminished visual acuity

Cavernous sinus: trigeminal nerve, facial pain; cranial nerves III, IV, VI, diplopia, ptosis, mydriasis, anisocoria

Pressure on dura or diaphragma sellae: headache

Hypothalamus: behavior, eating, and vigilance disturbances (somnolence)

Temporal lobe: complex partial seizures, memory and cognitive disturbances

Incidental

Discovered during the evaluation for headaches, trauma, nasal sinus disorders, dizziness

Hypersecretory Syndromes

(For detailed descriptions see corresponding chapters in Endotext)

Acromegaly induces characteristic growth hormone-induced structural changes in physiognomy. There is an insidious coarsening of facial features with an enlarged forehead, enlarged tongue, malocclusion of the teeth, and prognathism (Fig 2). Patients' hands and feet also enlarge. Many patients may develop excessive sweating (hyperhidrosis). The external hypertrophy of tissue is paralleled throughout the body. Enlargement of the tongue and hands is common. Patients may suffer from enlarged organs (visceromegaly) and overgrowth of joints and cartilage, along with high blood pressure, cardiomyopathy, congestive heart failure, sleep apnea, spinal canal narrowing (facet hypertrophy), and carpal tunnel syndrome. Significant numbers of patients with acromegaly also have impaired glucose metabolism and diabetes mellitus.

Figure 2. Acromegaly.  A. Coronal T1 weighted MRI with contrast in a patient with an intrasellar GH secreting adenoma.  Arrows indicate the common finding of “cutis gyrata”.  B. Sagittal T1 weighted MRI in the same patient with arrows indicating the frontal bossing and the enlarged frontal sinus, and * the tumor.

 

Cushing's disease causes changes in body habitus with characteristic increased weight gain, truncal obesity, "buffalo hump", enlargement of supraclavicular fat pads and moon facies. Skin changes are also common and include purple striae, easy bruisability, ruddy complexion, and increased body and facial hair. Patients suffer from fatigue, proximal muscle weakness, osteoporosis, psychological/psychiatric disorders, high blood pressure, and impaired glucose metabolism. They often have headache, menstrual disorders, and cognitive and emotional dysfunction.

 

Women with prolactinomas classically present with amenorrhea or oligomenorrhea and galactorrhea. Most are in their childbearing years, and are more likely to pursue medical attention for infertility and menstrual irregularity. Men, and women beyond their reproductive years, more often have headache, visual symptoms, sexual dysfunction, and signs of decreased pituitary function. Amenorrhea and galactorrhea are not specific to prolactinomas, however. Prolactin secretion is under constant inhibitory control from the hypothalamus. Any lesion that imposes pressure upon the portal venous connection of the pituitary stalk (infundibulum) connecting the hypothalamus and pituitary gland can interrupt these inhibitory dopaminergic signals.  This, in turn, causes an increase in serum prolactin levels, and mimics a prolactinoma, i.e., a 'pseudo-prolactinoma'. In such cases serum prolactin levels are usually only moderately elevated. As a general rule, serum prolactin levels over 200 ng/ml (3600mU/L) are indicative of prolactinomas (32).

Hypopituitarism

Tumor growth impairs the normal secretory function of the anterior pituitary and causes hypopituitarism. Common complaints include diminished sex drive, fatigue, weakness, and hypothyroidism. Pituitary insufficiency generally develops slowly over time.  However, acute pituitary insufficiency may occur in the setting of pituitary apoplexy, a condition in which the tumor infarcts or has internal bleeding (Fig 3). Pituitary tumor apoplexy can be particularly devastating, because it combines acute hypopituitarism and adrenal insufficiency with a rapidly expanding intracranial mass, and often causes visual loss or even sudden blindness.

Figure 3. Pituitary tumor apoplexy.  Sagittal T1 weighted MRI without contrast in a patient presenting with pituitary tumor apoplexy.  Note the fluid-fluid level within the tumor indicative of the apoplectic tumor.

Neurological Dysfunction

Neurologic signs and symptoms develop as adenomas grow beyond the confines of the sella turcica and exert pressure upon adjacent brain structures. As tumors enlarge, they compress the optic nerves and optic chiasm, and patients experience visual deficits and diminished visual acuity. Classically this causes a bitemporal hemianopia, i.e., visual loss in the temporal fields of each eye. Tumor growth may also affect other nerves (such as the 3rd, 4th, 5th, or 6th cranial nerves) and cause facial pain and/or double vision or drooping of the eyelid. Headache, although a non-specific complaint, can occur when a tumor stretches the dural sac that surrounds the pituitary gland. Headache from pituitary lesions is usually frontal or retro-orbital – it may be bitemporal or radiate to the occipito-cervical region.  Many patients will have been previously diagnosed with “migraine”, or “tension-headache” (33).

DIAGNOSIS

A panel of endocrinological tests can often confirm the clinical diagnosis of pituitary adenoma. Serum GH and IGF-1 levels screen for acromegaly. Failure to suppress GH levels after an oral glucose load (oral glucose tolerance test (OGTT)) can further confirm the diagnosis. Although any macroadenoma may cause moderate increases in serum PRL, levels greater than 200 ng/ml (3600 mU/L) are highly suggestive of a prolactin secreting adenoma. Dilution of the samples for assay may be necessary to avoid the “hook effect” related to macroprolactinemia.

Endocrinologic studies that suggest Cushing's disease includes an elevated ACTH and late night salivary or elevated 24-hour urine free cortisol (UFC), loss of the normal diurnal variation in cortisol levels, and suppression of serum cortisol levels after high dose dexamethasone but failure to suppress after low dose dexamethasone. Inferior petrosal vein sampling after corticotropin-releasing hormone (CRH) stimulation (i.e., Inferior Petrosal Sinus Sampling; IPSS) may be required to confirm and localize the pituitary source. At times, prior to diagnosing Cushing's disease, other ectopic sources of excess ACTH, such as bronchogenic or pancreatic carcinoma and pulmonary carcinoid tumors, must be excluded. This can often be accomplished with a CT scan or MRI of the chest and abdomen and with novel nuclear imaging tests (34, 35). Obesity, alcoholism, and depression also elevate serum cortisol levels, and the diagnosis of Cushing's disease should be made with caution in these “pseudo-Cushing’s” settings (36). 

TREATMENT

Although some incidentally-discovered microadenomas that do not cause symptoms may be followed clinically and with repeated MRI, patients with macroadenomas generally need medical or surgical intervention. Therapeutic goals include improved quality of life and survival; elimination of mass effect and reversal of related signs and symptoms, normalization of hormonal hypersecretion; preservation or recovery of normal pituitary function, and prevention of recurrence of the pituitary tumor.

MEDICAL THERAPY  

Medical therapy is available for most hypersecretory tumors (37-40). The majority of prolactin-secreting adenomas are effectively treated with dopamine agonists (bromocriptine and cabergoline). Cabergoline is generally preferred as a result of  a better side-effect profile, and between 80-90% of patients can achieve hormonal control (37). Surgical intervention is ordinarily reserved for those who are intolerant of medical therapy because of multiple side effects (e.g., nausea, headache, impulsive or compulsive behavior), whose prolactin levels remain elevated, or whose tumors continue to grow despite maximal medical treatment.

 

Medical treatment using somatostatin analogues (octreotide, lanreotide, and pasireotide) and dopamine agonists (cabergoline) have varying degrees of efficacy for treating GH adenomas.  The growth hormone receptor antagonist, pegvisamont, can be used in combination with other agents (41-43), and hormonal control can generally be achieved in about 60-90% of patients (37).  Although medical therapy is most often reserved for those patients’ awaiting surgery or those with persistent disease postoperatively, some advocate primary medical therapy, particularly for invasive tumors (44, 45). There is some conflicting evidence that pre-surgical medical therapy may improve surgical outcome (46).

 

Ketoconazole and/or metyrapone therapy can normalize serum cortisol levels in patients with Cushing's disease preoperatively 50-75% of the time. Metyrapone and ketoconazole inhibit enzymes in the adrenal gland required for steroid synthesis. A new and safer formulation, levoketoconazole is now available.  Along with acromegaly, surgery remains the first-line therapy for ACTH secreting tumors and Cushing disease. Clinical trials have also demonstrated some role for medical therapy with cabergoline or pasireotide, and with mifepristone (cortisol receptor blocker) in selected cases (47, 48).A new agent, osilodrostat, is under development.

 

The disadvantage of medical treatment of hypersecretory syndromes is that it is usually suppressive in nature and not fully cytotoxic. Tumors often recur when medications are discontinued, or they become resistant to therapy. Potential new targets are being explored, but have not yet reached clinical practice (49-51). 

RADIATION THERAPY

Radiotherapy is most often employed in conjunction with medical or surgical therapy. Fractionated external beam radiation therapy can reduce excessive hormone production and can reduce the incidence of tumor recurrence (52); however, it can be replaced by  stereotactic radiotherapy with focal conformal fractionated delivery. Gamma knife, Cyberknife, proton beam or linear accelerator stereotactic radiosurgery is increasingly considered as adjunctive therapy for pituitary tumors, and can be effective in normalizing hormonal hypersecretion and preventing recurrence (53-55). Whether by fractionated external beam or radiosurgery, the effects of radiotherapy are delayed. Patients require continued suppressive medical therapy during the period between treatment and effect. There is also a significant incidence of radiation-induced delayed hypopituitarism (52). There is no evidence to date that one of these various modalities is superior to another in efficacy, risks of complications, recurrence rates, or incidence of hypopituitarism. For more information on radiotherapy for pituitary tumors, see the corresponding chapter in Endotext.

SURGERY 

Indications for Surgery

For most pituitary tumors, surgery remains the first-line treatment of symptomatic pituitary adenomas. Large or invasive asymptomatic tumors may also warrant surgical consideration. It is sometime possible to estimate a tumor’s invasiveness on an MRI using the Knosp grading system (56). Asymptomatic tumors with evidence of radiographic invasion or displacement of the optic apparatus may benefit from surgery to prevent neurological deficits and progressive pituitary dysfunction. Surgery is also chosen secondarily when medical treatment fails for the treatment of prolactinoma. Regardless of the tumor type, surgery provides prompt relief from excess hormone secretion and mass effect. There is evidence to suggest that debulking of medically refractory prolactinomas and GH adenomas can return these tumors to a responsive state (57, 58). Rarely is surgery recommended as first line therapy for prolactinomas (59).  Surgery may be indicated in pituitary apoplexy with acute vision loss £ 72 hours as a result of mass effect on the optic chiasm from hematoma formation. Studies have shown that some patients with pituitary apoplexy can be successfully treated without operative intervention, but they are often confounded by selection bias, and the ideal patient has not been conclusively established for operative versus non-operative treatment (60-62).

Peri-Operative Management

A major component of the surgical management of patients with pituitary tumors actually occurs in the peri-operative period. Detailed information on peri-operative management of pituitary tumors can be found elsewhere (63). Briefly, pre-operative planning is very important in order to avoid complications and achieve optimal outcomes. It is obligatory to note any prior nasal surgery, review prior imaging, and obtain adequate pre-operative imaging for integration with neuronavigational systems. Typically, a high resolution T1 post contrast MRI is adequate for neuronavigational registration. The authors advocate additional imaging that includes (1) coronal and sagittal T1-weighted pre and post contrast images with at least 3mm slice thickness through the parasellar region for identification of the tumor, pituitary gland/stalk, cavernous sinus, and vasculature, (2) axial T2-weighted images of the sella to measure intercarotid distance, and (3) a coronal and sagittal strong T2-weighted Constructive Interface in Steady State (i.e., CISS, also known as FIESTA) through the parasellar region to identify midline structures and the optic chiasm. For revision surgery, a CT scan of the sinuses can be helpful to identify abnormal osseous anatomy. The imaging should be reviewed to identify normal gland and pituitary stalk, look for cavernous sinus invasion, identify arachnoid diverticula, and verify anatomical landmarks. Finally, it is critical to assess pre-operative pituitary function and replete necessary hormones (especially cortisol and thyroid hormones) prior to surgery. Remember to replete cortisol before thyroid hormone to avoid precipitating an adrenal crisis. For more information on the evaluation and management of pituitary hormone deficiency, see corresponding chapters in Endotext.

 

Post-operative management varies from routine to very complicated depending on the lesion size and extent of the operation and post-operative pituitary function. Patients with complete removal of intrasellar non-functioning tumors and intraoperative preservation of the normal pituitary gland without a cerebrospinal fluid (CSF) leak can have a relatively benign post-operative course. It is important to monitor closely for diabetes insipidus (DI), check a fasting morning cortisol to rule out secondary adrenal insufficiency, and restrict fluids as appropriate to prevent the syndrome of inappropriate anti-diuretic hormone (SIADH) (64). Patients with larger suprasellar or invasive tumors and/or those with CSF leaks requiring more extensive skull base reconstructions may require ICU care (65, 66). For information on the management of endocrine dysfunction and post-operative care in Cushing’s disease and Acromegaly, please see the corresponding chapters in Endotext.

Surgical Technique

The minimally invasive transsphenoidal approach can be used effectively for 95% of pituitary tumors. Exceptions are those large tumors with significant temporal or anterior cranial fossa extension. In such circumstances, transcranial approaches are often more appropriate. Occasionally, combined transsphenoidal and transcranial approaches are used. Nevertheless, some surgeons extend the basic transsphenoidal exposure in order to remove some of these tumors and avoid a craniotomy (Fig. 4) (67-70).

 

The transsphenoidal approach is a versatile method for treating pituitary tumors (Table 4). Endoscopic approaches may be used in isolation or as an adjunct to the other transsphenoidal approaches (Fig. 4) (71-78). Computer-guided neuronavigational techniques are nearly ubiquitous at major pituitary centers in lieu of traditional fluoroscopic guidance (79, 80). The role of neuronavigation is most pertinent in recurrent adenomas in which the midline anatomy has been distorted by previous transsphenoidal surgery. Intraoperative MRI is increasingly available and appears to be most applicable for large tumors (81).  There are three basic variations of the transsphenoidal approach.

Figure 4. Endoscopic approach. Intra-operative photograph of one surgeon (left) driving the endoscope while the main surgeon (right) resects the tumor.

 

Table 4. Transsphenoidal Surgery for Pituitary Adenomas: Personal Summary of 3744 Cases over a 36 year period

Type of Adenoma

Number of Patients (%)

Functioning adenomas

 

GH adenoma (Acromegaly)

662 (17.7)

PRL adenoma

975 (26.0)

ACTH adenoma (Cushing's disease)

680 (18.2)

TSH adenoma

45 (1.2)

Non-functioning adenomas

1382 (36.9)

SUBMUCOSAL TRANSSEPTAL APPROACH

The patient is placed in a lawn-chair position and a hemi-transfixion incision is made just inside the nostril so that the scar cannot be seen after surgery (Fig. 5). Most often the entire procedure can be accomplished endonasally. Conversion to a sublabial approach may be necessary for large macroadenomas and children in whom the exposure through one nostril is sometimes inadequate. A submucosal plane is developed along the nasal septum back to the level of the sphenoid sinus. Bone of the septum can be harvested for use later in the operation. The bone in front of the pituitary gland is also removed, the dura opened, and tumor is extracted in fragments (Fig. 6). Afterwards the saved bone, cartilage, or artificial material can be used to refashion the normal housing of the pituitary gland. Closure is rapid and consists of several interrupted absorbable sutures in the nasal mucosa and temporary nasal packing to promote healing of the mucosa.

Figure 5. Standard positioning for the endonasal approach (above). Below left, endonasal hemitransfixion incision; below right, direct sphenoidotomy technique.

Figure 6. Left, standard endonasal approach showing the trajectory to sella in sagittal view; Right, sequential steps used in tumor removal and repair of the sellar floor common to all techniques.

SEPTAL PUSHOVER/DIRECT SPHENOIDOTOMY

This approach uses incisions deeper within the nasal cavity (Fig 6, lower right. The incision for the septal pushover technique is made at the junction of the cartilaginous and bony septum. Submucosal tunnels are developed on either side of the bony septum until the sphenoid sinus is reached. Another option to reach the sphenoid sinus is by performing a direct sphenoidotomy. Using this method, no incision is made in the septum. Instead, the posterior part of septum just in front of the sphenoid sinus is deflected laterally and the sphenoid sinus is entered directly. There are several advantages to these techniques. Because there is no submucosal dissection of the cartilaginous septum, the risk of an anterior nasal septal perforation is eliminated. In addition, there is less need for nasal packing postoperatively, a frequent cause of postoperative pain and discomfort. The main drawback of these more direct approaches is that the exposure is not as wide as can be achieved by the standard endonasal transseptal approach in which the cartilaginous septum can be more extensively mobilized.

PURE ENDOSCOPIC APPROACH

The pure endoscopic approach has much appeal and is becoming the procedure of choice at many pituitary centers  (82, 83). Surgery begins at the sphenoid rostrum where a direct anterior sphenoidotomy is performed after identifying the natural sphenoid os within the sphenoidoethmoidal recess. Some surgeons prefer to perform the surgery using a single nostril. A binostril approach, however, provides more maneuverability and two-handed microdissection. To achieve an adequate exposure for the binostril approach, the middle and superior turbinates are lateralized and the bony septum just in front of the sphenoid sinus is removed. The sphenoidotomy is widened from the midline inferior vomer to the ethmoid air cells superiorly and then laterally until the carotid arteries are easily visualized (Fig 7-A). This allows instruments to be used in both nostrils simultaneously. Although a specialized endoscope holder may be used during tumor removal, the “3-hand” technique is advocated by many surgeons. The “3-hand” or “4-hand” technique requires two surgeons; one surgeon maneuvers the endoscope while another has both hands free to remove the tumor using microsurgical techniques. The surgical team is typically a neurosurgeon and otolaryngologist with experience in skull base surgery. Extended approaches are more commonly performed by teams rather than individuals (80, 84). The endoscope provides panoramic magnified views of the sellar anatomy during both the approach to and resection of tumors (Fig 7 – A, B). The option of using angled endoscopes allows surgeons to inspect for residual tumor, particularly along the cavernous sinus walls and the suprasellar region (85) (Fig 7 – C, D). No nasal packing is required as the procedure is performed posterior to the septum. The main disadvantages are the procedure’s learning curve and that the depth of field may problematic for some surgeons. There are 3D endoscopes and continued development of High Defintion (HD) imaging that may help to alleviate this potential problem. A recent international survey showed that about 7% of surgeons report using the 3D endoscope for transsphenoidal surgery. Advances in patient specific anatomical modeling is increasingly available for integration with the neuronavigation in the form of “augmented reality” which helps the surgeon visualize otherwise hidden anatomical structures (86). Finally, given the importance of vision preservation during endonasal surgery, especially with extended approaches, new developments in visual evoked potential monitoring are being studied (87). The clinical benefit of these new technologies is promising but still uncertain.

Figure 7. Endoscopic views.  A.  After the anterior wall of the sphenoid sinus is opened, the endoscope provides a panoramic view of the sella and surrounding anatomy. B. Endoscopic view of the tumor bed after resection.  C. Endoscopic view of the right cavernous sinus wall using the 0 degree endoscope.  D.  Note the dramatically improved view of the right cavernous sinus wall in the same patient using the 45 degree endoscope.  (arrowhead= carotid artery)

Outcome

Surgical outcomes after surgery for pituitary adenomas can be divided into functional outcomes and oncologic outcomes. Functional goals include the relief of symptoms and improvement or preservation of pituitary and visual function, along with improved quality of life (88-90). Visual deficits in patients with non-functioning pituitary adenomas are improved in approximately 80-90%. Some visual deterioration may occur in 0-4%. Most patients with intact pituitary function preoperatively retain their normal function. Those with preoperative pituitary deficiency regain function in 27% of the cases. The remaining patients are managed with hormone replacement therapy. Oncologic outcomes relate to tumor resection, recurrence, and biochemical remission from hormonal excess. Ten-year recurrence rates are approximately 16%, although only 6% require additional treatment (Table 5). On long-term follow-up, 83% of patients are alive and well without evidence of disease.

Table 5. Results of Transsphenoidal Surgery, Personal Summary of 3093 Cases over a 28 year period. Proportions (%) represent cumulative incidence.

Tumor

Remission

10-year Recurrence

Non-functioning adenoma

Not applicable*

16%

GH adenoma

Microadenoma

88%

1.3%

Macroadenoma

65%

PRL adenoma

Microadenoma

87%

13%

Macroadenoma

56%

ACTH adenoma

Microadenoma

91%

12% (Adults)

42% (Pediatric)

Macroadenoma

65%

 *Visual improvement occurs in 87% of those with preoperative visual loss.

 

Currently, using strict criteria for remission and in expert hands, transsphenoidal surgery obtains remission in 85-90% of patients with acromegaly with microadenomas and 65% of those harboring macroadenomas. For functional tumors, remission rates vary by tumor size and tumor type (91). Microadenomas typically have higher biochemical remission rates and remission rates are highest for microprolactinomas (92.3%) and lowest for somatotroph macroadenomas (40%). Currently, acromegalic symptoms are improved in 95% and recurrence is less than 2 percent at ten years. Ninety seven percent of patients have preserved normal pituitary function  (92). Modern criteria for remission include normal IGF-1 levels and either GH suppression to less than 0.4 ng/ml with oral glucose tolerance test or fasting GH less than 1.0 ng/ml. Using these criteria, surgical biochemical remission is over 60% (93). Both repeat surgery and medical therapy are options for those with residual disease and/or biochemical recurrence (37, 94).

 

Patients with prolactinomas who present for surgery are most often those who have failed medical management. Endonasal surgery for prolactinomas is associated with additional risks resulting from tumor fibrosis after dopamine agonist therapy but remission rates are still quite good. Prolactin levels are normalized in about 87% of microadenomas and 56% of macroadenomas (Table 5). The recurrence rate among those patients who are normalized after a transsphenoidal operation is 13% at ten years. Preserved pituitary function occurs in all but 3%.

 

Surgical management of Cushing's disease achieves a 91% remission rate for microadenomas, but falls to 65% for those with macroadenomas. Some 10-20% of adults experience recurrence after ten years. Postoperative stereotactic radiosurgery has achieved remission in approximately 60-70% of patients whose disease either did not remit following surgery or recurred (95).

 

Pituitary surgeons, with all health care professionals, strive for excellence in the care of our patients, it is becoming clear that criteria must be developed in order optimize surgical outcomes. Recently, a consensus statement on Pituitary Tumor Centers of Excellence (PTCOE) was released (96). In brief, PTCOE should be independent non-for-profit organizations, widely recognized by endocrinologist and pituitary surgeons, aimed at the advancement of pituitary science and the highest quality of patient care. They should also be recognized by external societies and act as resident training centers.

Complications of Transsphenoidal Surgery

Complication avoidance is central to transsphenoidal surgery given the close proximity of major neurologic and vascular structures (97, 98). Recently, surgical checklists for endonasal transsphenoidal surgery have been developed in order to optimize surgical outcomes and avoid complications (99). The overall mortality rate for transsphenoidal surgery is less than 0.5% (Table 6). Major morbidity (cerebrospinal fluid leak, meningitis, stroke, intracranial hemorrhage, and visual loss) occurs in between 1 and 3% of cases. Less serious complications (sinus disease, nasal septal perforations, and wound issues) occur in approximately 1-7%. Larger invasive tumors and giant adenomas are associated with a higher morbidity. In the modern era, more aggressive extended approaches to large invasive tumors has led to a higher incidence of CSF leak, but the use of the pedicled nasoseptal flap has been largely successful in preventing recurrent leaks with a success rate of up to 98.6% (100). The nasoseptal flap can also be used again in certain revision cases with good results (101).

 

Table 6. Complications of Transsphenoidal Surgery (1972-2017). Personal historical series and a modern results covering a 45 year period and 4,246 cases.

 Outcome Measure

Cumulative Incidence (%)

 

1972-2000

1992-2017 (102)

 Mortality

<0.5%

<0.3%

Major complication: (CSF leak, meningitis, ischemic stroke, intracranial hemorrhage, vascular injury, visual loss)

1.5%

CSF leak 2.6%

Other 3.2%

Minor complication: (sinus disease, septal perforations, epistaxis, wound infections and hematomas)

6.5%

1.3%

CONCLUSIONS

Pituitary adenomas are a complex set of benign tumors that present with characteristic hypersecretory syndromes and mass effect. Although medical and radiotherapy offer effective treatment for particular functional tumors in specific situations, transsphenoidal surgery continues to provide optimal outcomes for non-prolactin secreting adenomas with a low incidence of major morbidity.

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New Osteoporosis / Vertebral Compression Fractures

CLINICAL RECOGNITION

 

Osteoporosis is a prevalent disease characterized by reduced bone mass and architectural deterioration, which leads to structurally weakened bone and an increased risk of fragility fractures. A fragility fracture is defined as a fracture occurring with minimal trauma, such as falling from standing height. These fractures rise exponentially with age and most commonly involve the spine, hip, humerus, and wrist. Vertebral compression fractures are the most common osteoporotic fractures with an estimated 700,000 per year in the United States (1). However, most patients with vertebral fractures are unaware that they have fractured as only ~1/3rd are clinically diagnosed. While there are effective treatments to reduce the risk of fractures, only 23% of patients with fragility fractures receive osteoporosis evaluation and treatment.

 

PATHOPHYSIOLOGY

 

Bone is a dynamic organ with continuous remodeling to maintain a healthy skeleton—osteoclasts resorb bone and osteoblasts form new bone (2). Osteoporosis results from a net increase in bone resorption relative to bone formation. The receptor activator of nuclear factor-kappa β (RANK), RANK ligand (RANKL), and osteoprotegerin (OPG) are key regulators of bone resorption. Interaction between RANKL and RANK stimulates osteoclastic differentiation, while OPG, made by osteoblasts, binds with RANKL and inhibits bone resorption. In addition, the Wnt signaling pathway is a network of proteins that is involved in activating the transcription of genes that direct the differentiation and proliferation of osteoblasts. Sclerostin, produced by the osteocytes embedded in bone, is the product of the SOST gene. Sclerostin reduces the Wnt signaling pathway, thereby, suppressing bone formation by osteoblasts. Some of the key factors that are mechanistically involved in bone turnover are therapeutic targets for osteoporosis treatment. See Table 4 for summary of treatments.

 

Fragility Fractures

 

Vertebral compression fractures are associated with substantial morbidity including: acute and chronic back pain, height loss, kyphosis, restrictive lung disease, early satiety, reduced quality of life, and increased mortality (1). A spine fracture is associated with a 5-fold risk of a subsequent spine fracture and a 2-fold risk of hip and other fractures. Hip fractures are serious fractures that can lead to pain, disability, loss of independence, and high mortality. A Danish registry study published in 2018 found that one-year excess mortality was 20-25% after femur or pelvic, 10% following vertebral, and 5-10% following humerus fractures.

 

There is a high prevalence of low vitamin D levels among hip fracture patients. Since there is a large care gap for patients with fragility fractures, there are critical ongoing efforts to try to implement inter-disciplinary, hospital-based approaches to advance fracture care. It is imperative to ensure timely outpatient follow-up to correct the vitamin D deficiency, evaluate patients for other secondary causes of osteoporosis, and institute osteoporosis treatment. See Treatment section for further description of management of these fractures.

 

DIAGNOSIS and DIFFERENTIAL

 

Assessment of osteoporosis risk factors and measurement of bone mineral density (BMD) by dual energy x-ray absorptiometry (DXA) are important to determine which individuals are at increased risk of fractures. Low bone mass (osteopenia) is present when the BMD is between 1.0 and 2.5 SDs below peak bone density of young, healthy individuals. More than 50% of fragility fractures occur in these patients. Osteoporosis, according to the World Health Organization, is defined as a BMD ≤-2.5 SDs of young normal. BMD testing is typically measured at the proximal femur and lumbar spine, though the 1/3 radius should be measured in patients with hyperparathyroidism (https://www.iscd.org/official-positions/). The Bone Health & Osteoporosis Foundation (BHOF; formerly the National Osteoporosis Foundation) currently recommends that women >65 years, men >70 years, and postmenopausal women and men >50 years with risk factors or fracture after age 50 receive screening DXA scans (3). The BHOF recommends monitoring osteoporosis by an annual measurement of a patient’s height, preferably with a mounted stadiometer, and BMD testing 1-2 years after initiating therapy and every 2 years thereafter. Because spine fractures are often not clinically evident, imaging for spine fractures (vertebral fracture assessment by DXA or X-ray) is recommended, particularly in older adults with osteopenia and after adult-age fracture (>50 years of age), glucocorticoid use, or diagnosis of hyperparathyroidism (See Table 1) (3, 4).

 

The FRAX® calculator was designed to quantify an individual’s absolute fracture risk (http://www.shef.ac.uk/FRAX). In addition to BMD, the following risk factors are included—ethnicity, age, body mass index, prior fracture history, glucocorticoid use, alcohol use, smoking, rheumatoid arthritis, and other secondary causes of osteoporosis. If the 10-year absolute fracture risk is ≥3% for hip fractures or ≥20% for other major osteoporotic fractures, pharmacologic therapy should be considered. Note that the FRAX calculator is not designed for those with osteoporosis on BMD testing but mainly for those with low bone mass.

 

Using a specialized software (incorporated in DXA machines), Trabecular Bone Score (TBS) can be generated from lumbar spine DXA images and is a measure that reflects bone microarchitecture and predicts fracture risk independent of bone density. TBS can now also be incorporated in the FRAX score.

 

Table 1. Imaging Assessment Recommendations

DXA Tests:
Women aged ≥65 and older men aged ≥70
Younger postmenopausal women and men aged 50-69 with risk factors for bone loss or fractures
Adults who have a fracture at age ≥50
Adults with a medical condition or taking a medication associated with bone loss and/or fractures

Vertebral Imaging Tests:
Women aged ≥65 if T-score is ≤ -1.0 at the femoral neck

Women aged ≥70 and men aged ≥80 if T-score is ≤ -1.0 at the lumbar spine, total hip, or femoral neck 
Men aged 70-79 if T-score is ≤ -1.5 at the lumbar spine, total hip, or femoral neck
Postmenopausal women and men aged ≥50 with specific risk factors:

-        Fracture(s) during adulthood (age ≥50) from any cause

-        Historical height loss of ≥1.5 inches (4 cm)

-        Prospective/interval height loss of ≥0.8 inches (2 cm)

-        Glucocorticoid therapy

-        Hyperparathyroidism

 

When the diagnosis of a low bone density is made, a work-up to look for secondary causes of osteoporosis should be considered. See Table 2.

 

Table 2. Secondary Causes of Osteoporosis

Endocrinological Abnormalities

Glucocorticoid excess, hyperthyroidism, hypogonadism, anorexia, prolactinoma, hyperparathyroidism

Hematologic Disorders

Multiple myeloma, mastocytosis, leukemia

Renal Disease

Metabolic bone disease, nephrolithiasis

Connective Tissue Disorders

Osteogenesis Imperfecta, Ehlers-Danlos syndrome

Gastrointestinal Diseases

Celiac disease, inflammatory bowel disease, post-gastrectomy, bariatric surgery

Rheumatological Disorders

Ankylosing spondylitis, rheumatoid arthritis

Medications

Glucocorticoids, cyclophosphamide, aromatase inhibitors, heparin, methotrexate, androgen deprivation therapy, gonadotropin releasing hormone agonists, proton-pump inhibitors, selective serotonin reuptake inhibitors

 

Laboratory evaluation may include the following: calcium, phosphorus, liver tests (including alkaline phosphatase), CBC, 25-hydroxyvitamin D, 24-hour urine calcium, +/- parathyroid hormone, and thyroid stimulating hormone (if clinical evidence of hyperthyroidism or those already on thyroid hormone replacement), and serum testosterone level in men. For select cases one may consider obtaining specialized tests for gastrointestinal disorders (tissue transglutaminase for celiac disease with an IgA level), infiltrative diseases (serum tryptase for mastocytosis), neoplastic (serum and urine protein electrophoresis), or excess glucocorticoid (24-hour urine cortisol, dexamethasone suppression test).

 

TREATMENT

 

Fractures

 

The management of a vertebral compression fracture involves both pharmacologic and non-pharmacologic approaches. The acute pain typically subsides over several weeks, but pain management with non-steroidal anti-inflammatory drugs, neuropathic pain agents, or narcotics may be needed. A 2-4 week course of calcitonin, administered as one spray (200 IU) per day intranasally, may help patients who need additional acute pain management. Spinal bracing may help with pain by limiting movement of bone fragments against one another, and physical therapy may improve mobility and reduce fear of falling. Vertebral fractures are common in older adults and secondary fracture prevention is important. After a vertebral fracture, patients should immediately start osteoporosis treatment to prevent subsequent vertebral fractures, particularly teriparatide, abaloparatide, zoledronic acid, denosumab, or romosozumab, which have been shown to reduce vertebral fracture risk within the first year of treatment.

 

Procedures such as vertebroplasty or kyphoplasty have been thought to be effective for acute fracture pain; however, this finding has not been replicated across studies, especially in those controlled by sham operations. This lack of a clear benefit is also offset by the small but serious risks of these procedures, which include epidural cement leak leading to possible nerve root compression, osteomyelitis, cement pulmonary embolism, and the possibility of subsequent vertebral fractures in adjacent vertebrae. A Cochrane review published in 2018 found no demonstrable clinically important benefits for vertebroplasty compared with placebo (sham procedure), and the results did not differ according to duration of pain (≤6 weeks vs. >6 weeks) (5). A 2019 American Society for Bone and Mineral Research (ASBMR) task force concluded that, for patients with painful vertebral fractures, there was no significant benefit for vertebroplasty compared to placebo or sham procedures and recommended against the use of balloon kyphoplasty (6). If vertebral augmentation is considered in select patients with disabling spine fractures, osteoporosis treatment should be initiated concurrently.

 

Glucocorticoid-induced osteoporosis affects the spine greater than other sites. Glucocorticoids have a major effect on reducing bone formation and also increase bone resorption. Thus, there are two sites for targeted intervention—anabolic and anti-resorptive treatments, respectively. The American College of Rheumatology has recommended starting bone protection therapy for adults ≥40 years taking prednisone at a dose of ≥2.5 mg/day for ≥3 months if at moderate to high risk for fracture (i.e., FRAX 10-year risk of major osteoporotic fracture >10%, FRAX 10-year risk of hip fracture >1%, osteoporosis by bone density criteria, or prior osteoporotic fracture) (7). The Food Drug Administration (FDA) has approved the following anti-resorptive agents — risedronate, alendronate, zoledronic acid, and denosumab — and the anabolic agent teriparatide for glucocorticoid-induced osteoporosis. In a randomized trial, teriparatide was superior to alendronate in preventing BMD declines at the spine and hip.

 

With regards to hip fractures and the use of zoledronic acid once yearly, the timing of this FDA-approved treatment for secondary fracture prevention is important. There is a significant reduction in vertebral and non-vertebral fractures and mortality as well as an increase in hip BMD in those who receive zoledronic acid and supplemental vitamin D between two weeks and 90 days following a hip fracture.

 

Osteoporosis

 

Adequate calcium and vitamin D intake are essential. In 2010, the Institute of Medicine (IOM) set recommendations for daily calcium and vitamin D requirements (8). See Table 3.

 

Table 3. Recommended Daily Intakes of Elemental Calcium (adapted from 2010 IOM report)

Calcium Intake

Women 19 to 50 years / Men 19 to 70 years
Women ≥51 years / Men ≥71 years

1000 mg
1200 mg

Vitamin D Intake

Women and Men < 70 years

Women and Men > 70 years

600U

800U

 

Obtaining calcium through the diet is preferred. However, if taking calcium supplements, for those on proton pump inhibitors, calcium citrate (e.g., Citracal®) is preferred given better absorption over calcium carbonate and can be taken on an empty stomach. Preparations of Citracal® include Maximum Plus (315 mg of calcium per tablet) and Petite (200 mg of calcium per tablet). Calcium carbonate (e.g., Oscal®, Caltrate®), ranging from 500 to 600 mg per tablet, should be taken with food to allow optimal absorption.

 

Vitamin D deficiency is a prevalent problem. The IOM guidelines recommend a daily dose of vitamin D3 of 600 IU for individuals ≤70 years of age and 800 IU daily for those ≥71. Other societies recommend 800-1000 IU of vitamin D for high-risk adults with osteoporosis. Patients with vitamin D deficiency need much higher doses. Although there is debate, the BHOF and other organizations currently recommend a 25-hydroxyvitamin D level ≥30 ng/mL. There are ongoing, population-based studies that are evaluating the effects of supplemental vitamin D on fractures and bone health measures.

 

Recommendations for lifestyle and dietary modification include weight-bearing exercises, balance training, muscle-strengthening, fall prevention interventions, smoking cessation, and moderate alcohol consumption.

 

PHARMACOLOGIC THERAPIES

 

Table 4 lists the currently available osteoporosis drugs approved by the FDA, their dosage, indication, and general efficacy to reduce fractures.

 

Table 4. FDA-approved Treatments for Osteoporosis: Dose, Fracture Indication, Efficacy and Side Effects

Drug

Dose & Administration

Fracture Reduction *

Side Effects

Bisphosphonates

Alendronate

70 mg PO once weekly

V, N, H

Upper GI symptoms, rare bone pain, osteonecrosis of the jaw (rare), atypical femur fracture (rare).

Ibandronate

150 mg PO monthly; 3 mg IV every 3 months

V

Risedronate

35 mg PO once weekly; 150 mg PO once monthly

V, N, H

Zoledronic Acid (ZA)

5 mg IV once yearly

V, N, H

Mild flu like syndrome during and after ZA infusion (pre-treat with acetaminophen); ZA should not be given if severe renal impairment (GFR <35 mL/min). After a hip fracture, vitamin D and ZA should be initiated 2 weeks to 90 days after the fracture.

SERMs (Selective Estrogen Receptor Modulators)

Raloxifene

60 mg PO daily

V

Hot flashes, deep vein thrombosis (rare)

Parathyroid Hormone

PTH
Teriparatide (PTH 1-34)

20 mcg SC daily

V, N

Nausea, hypercalcemia, hypercalciuria, hypotension (rare)

PTHrP
Abaloparatide
(PTHrP 1-34)

80 mcg SC daily (for maximum of 2 years)

V, N

Nausea, hypercalcemia, hypercalciuria, dizziness, osteosarcoma (in rodents)

RANKL inhibitor

Denosumab

60 mg SC every 6 months

V, N, H

Skin infections, other uncommon infections, osteonecrosis of the jaw (rare), atypical femur fractures (rare), bone loss/vertebral fractures upon discontinuation

Sclerostin inhibitor

Romosozumab

210 mg SC every month for 12 months

V, N, H

Injection site reaction, major adverse cardiac events, osteonecrosis of the jaw (rare), atypical femur fracture (rare)

Other

Calcitonin

200 IU nasally or
100 IU subcutaneously every other day

V

Nasal congestion, malignancy

V: vertebral, N: non-vertebral, H: hip

 

CURRENT THERAPEUTIC APPROACH

 

Pharmacologic treatment is indicated for those with osteoporosis by BMD criteria; fragility vertebral or hip fracture regardless of BMD; fragility fracture of the pelvis, proximal humerus, or wrist with osteopenic range BMD; and elevated FRAX scores.

 

The most commonly used therapy is a bisphosphonate, which has long skeletal retention, decreases bone turnover, and reduces the risk of fractures (see Table 4). Alendronate, risedronate, and zoledronic acid decrease vertebral, non-vertebral, and hip fractures, whereas ibandronate decreases vertebral but not hip or non-vertebral fractures. There is concern about the association of its long-term use and risk of atypical femur fractures. These fractures (1) can occur along the subtrochanteric femur, (2) are associated with minimal or no trauma, (3) are in transverse or short oblique configuration, and (4) usually are complete fractures through both cortices. Some patients have prodromal symptoms of thigh or groin pain in the affected leg; bilateral atypical femur fractures may also be present. The incidence of these types of fractures is very low, and the consensus has been that the number of fractures prevented far exceeds the number of these fractures occurring as a result of bisphosphonates. According to the available limited, post-hoc data analyses, continuation of therapy after 3 years for zoledronic acid and 5 years for oral bisphosphonates may be considered in those with hip, spine, or multiple other osteoporotic fractures before or during therapy, osteoporosis at the hip after treatment, or high fracture risk. According to the 2011 FDA review, more data are needed concerning long-term bisphosphonate use. Until these data are available, annual evaluation and follow-up should involve decisions as to whether a 1-2 year or greater bisphosphonate holiday is needed, according to each individual’s risk, or to consider the use of alternative treatments as needed. It is important, however, to follow patients with a history of low bone mass or osteoporosis who are on a bisphosphonate holiday. Another rare complication is osteonecrosis of the jaw, which usually occurs in the setting of an invasive dental procedure. This complication is primarily seen in cancer patients who are receiving zoledronic acid on a monthly basis to prevent cancer-related fractures.

 

Denosumab, FDA approved in June 2010, is a monoclonal antibody that reduces RANKL, inhibiting the cellular mechanisms underlying bone resorption. It decreases the risk of vertebral, non-vertebral, and hip fractures and can be judiciously used in those with renal dysfunction. Denosumab has also been associated with rare cases of atypical femur fractures and osteonecrosis of the jaw. Of note, a drug holiday from denosumab is not recommended due to rebound bone loss and risk of multiple vertebral fractures with discontinuation. If denosumab is to be discontinued, it should be followed by bisphosphonate treatment.

 

Anabolic agents teriparatide (1-34 recombinant PTH) and abaloparatide (1-34 recombinant PTHrP) stimulate overall bone formation, improve bone structure, increase BMD particularly at the spine, and reduce risk of vertebral and non-vertebral fractures. In postmenopausal women with history of vertebral fracture, teriparatide has been shown to reduce incident vertebral and clinical fractures more than risedronate. Abaloparatide appears to be more effective at increasing bone density at the total hip compared to teriparatide and is less likely to cause hypercalcemia. They are administered as daily subcutaneous injections. Due to increased risk of osteosarcoma in rodents, these agents were limited to 2 years in a lifetime. However, due to twenty years of post-surveillance data showing no increased risk of osteosarcoma in humans, use of teriparatide is no longer restricted to 2 years. Use of abaloparatide, which was FDA approved in 2017, continues to be restricted to 2 years. These treatments should not be used in patients with active malignancy, history of radiation therapy, elevated alkaline phosphatase, or Paget’s disease. Anabolic agents should be followed by anti-resorptive therapy to consolidate gains in BMD.

 

Romosozumab, FDA approved in April 2019, is fully human monoclonal antibody that inhibits sclerostin and simultaneously reduces bone resorption and stimulates bone formation. Clinical studies of romosozumab have shown reduced risk of vertebral and nonvertebral, and hip fractures compared to placebo as well as alendronate. However, there were more adjudicated serious cardiovascular events in the romosozumab treatment arm compared to the alendronate arm. Thus, according to the FDA, romosozumab should not be used in patients who have had a myocardial infarction or stroke within the preceding year. A course of romosozumab is 12-months long, as the anabolic effects of romosozumab wane before then. There is no limit of courses. Similar to the parathyroid hormone analogues, romosozumab should also be followed by anti-resorptive therapy.

 

FOLLOW-UP

 

Once an initial bone density is measured, a follow-up BMD should be done 1-2 years after the initial screening and depending on whether pharmacologic therapy was initiated. Biochemical bone turnover markers and collagen breakdown products (e.g., N-telopeptide, C-telopeptide, collected in the morning) at baseline and after 3 months of treatment may be helpful in select patients to determine patient response to a therapeutic intervention. Clinical musculoskeletal evaluation and annual height measurements are important in the identification of spine fractures. Fragility fractures increase exponentially with advancing age, and evaluation and treatment of new fractures are critical for secondary prevention of fractures and healthy aging.

 

GUIDELINES

 

LeBoff M.S., Greenspan S.L, Insogna K.L., Lewiecki E.M., Saag K.G., Singer A.J., Siris, E.S. The Clinician's Guide to Prevention and Treatment of Osteoporosis. Osteoporos Int. In press.

 

Camacho, P. M., Petak, S. M., Binkley, N., Diab, D. L., Eldeiry, L. S., Farooki, A., Harris, S. T., Hurley, D. L., Kelly, J., Lewiecki, E. M., Pessah-Pollack, R., McClung, M., Wimalawansa, S. J., & Watts, N. B. American Association of Clinical Endocrinologists/American College of Endocrinology Clinical Practice Guidelines for the Diagnosis and Treatment of Postmenopausal Osteoporosis – 2020 Update. Endocr Pract. 2020;26(Suppl 1), 1–46..

 

Eastell R., Rosen C.J., Black D.M., Cheung A.M., Murad M.H., Shoback D. Pharmacological Management of Osteoporosis in Postmenopausal Women:  An Endocrine Society Clinical Practice Guideline. J Clin Endocrinol Metab. 2019;104(5):1595-1622.

 

Shoback D., Rosen C.J., Black D.M., Cheung A.M., Murad M.H., Eastell R. Pharmacological Management of Osteoporosis in Postmenopausal Women:  An Endocrine Society Guideline Update. J Clin Endocrinol Metab. 2020;105(3): 587–594

 

REFERENCES

 

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  2. Rosen CJ. The Epidemiology and Pathogenesis of Osteoporosis. In: De Groot LJ, Chrousos G, Dungan K, Feingold KR, Grossman A, Hershman JM, Koch C, Korbonits M, McLachlan R, New M, Purnell J, Rebar R, Singer F, Vinik A, editors. Endotext [Internet]. South Dartmouth (MA): MDText.com, Inc.; 2000-2017 Feb 21.
  3. LeBoff M.S., Greenspan S.L, Insogna K.L., Lewiecki E.M., Saag K.G., Singer A.J., Siris, E.S. The Clinician's Guide to Prevention and Treatment of Osteoporosis. Osteoporos Int. In press.
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Age-Related Changes in the Male Reproductive System

ABSTRACT   

In male mammals, changes at all levels of the hypothalamic-pituitary-testicular axis, including alterations in the GnRH pulse generator, gonadotropin secretion, and testicular steroidogenesis, in addition to alterations of feed-forward and feed-back relationships contribute to the age-related decline in circulating testosterone concentrations. The rate of age-related decline in testosterone levels is affected by the presence of chronic illness, adiposity, medication, sampling time, and the methods of testosterone measurement. Epidemiologic surveys reveal an association of low testosterone levels with changes in sexual function, body composition, physical function and mobility, and increased risk of diabetes, late life persistent depressive disorder (dysthymia), unexplained anemia of aging, osteoporosis and bone fractures. Age-related decline in testosterone should be distinguished from classical hypogonadism due to known diseases of the hypothalamus, pituitary, and the testis. In young hypogonadal men who have a known disease of the hypothalamus, pituitary, and testis, testosterone therapy is generally beneficial and has been associated with a low frequency of adverse events. However, neither the long-term benefits in improved health outcomes nor the long-term risks of testosterone therapy are known in older men with age-related decline in testosterone levels. Well-conducted randomized trials have found that testosterone replacement of older men with unequivocally low testosterone levels improves sexual desire, erectile function, and overall sexual activity; lean body mass, muscle strength and some measures of physical function and mobility; areal and volumetric bone density and bone strength; depressive symptoms; and corrects anemia of aging. Testosterone treatment does not worsen lower urinary tract symptoms but the effects of long-term testosterone treatment on the risk of prostate cancer and major adverse cardiovascular events remain unknown. Although testicular morphology, semen production, and fertility are maintained up to a very old age in men, there is clear evidence of decreased fecundity with advancing age and an increased risk of specific genetic disorders related to paternal age among the offspring of older men. Thus, reproductive aging of men is emerging as an important public health problem whose serious societal consequences go far beyond the quality-of-life issues related to low testosterone levels.

INTRODUCTION

Aging of male mammals is a very recent evolutionary event observed mostly in humans and animals in captivity. Most animal species in the wild with few exceptions [e.g., short-finned pilot whales, killer whales and some fish (1)] do not live beyond their reproductive years; during periods of food deprivation, many small animals may not even live beyond puberty. Even among humans, only the men and women of the past three generations have enjoyed a life expectancy of greater than fifty years. With increasing life expectancies of human populations across the globe, today, most men and women can expect to spend a substantial proportion of their lifespan past their procreative years.

 

The historical transition towards aging of human populations has profoundly influenced the health and wellbeing of older adults in their post-reproductive years as well as the size, health, vitality, and economies of human societies (2). At an individual level, many conditions related to reproductive aging, including sexual dysfunction, subfertility or infertility, conditions related to sex-steroid deficiency, genitourinary disorders, pelvic floor disorders, and cancers of the reproductive and accessory organs motivate middle-aged and older men and women to seek medical care. At a societal level, reproductive aging poses a potential threat to the reproductive capacity, health, and welfare of the current and future generations (2,3). Birth-rates in the United States, which had been declining since the turn of the nineteenth century - except during a short baby boom period after World War II - have trended below replacement levels since 1971 (Figure 1) (3-6). Several factors have contributed to this trend, including a growing proportion of couples having their first child after age 30, and an increasing proportion postponing pregnancy beyond age 35 (Figure 1) (4,7).  Societal developments underpinning these trends include the availability of contraceptives that enable couples to separate their sexual and procreative lives; increased work force participation and changing career expectations of women; and a higher age of the male and female partners at reproductive union (2,3). Postponement of childbearing to an older age increases the risk of involuntary childlessness because of the adverse effects of advanced maternal and paternal age per se on fecundity, increased risk of comorbidities associated with advancing age that may indirectly affect fecundity, and the age-related changes in reproductive behaviors (4,8-11).

Figure 1. Birth rates, mean age of mother at first childbirth, and the proportion of infants born in the United States to women >35 years of age since 1970. Legend. The birth rate per 1000 population declined from 18.4 in 1970 to 11.8 in 2017. The mean age of mothers at first child birth increased from 21.4 years in 1970 to 26.6 in 2016. The proportion of all infants born in the USA to mothers > 35 years increased from 4.6% in 1970 to 14.9% in 2012. Birth rates are per 1,000 population estimated as of July 1 for each year except in 1970 and 1980, which were estimated as of April 1. Reproduced with permission from Bhasin S, Kerr C, Oktay K, Racowsky C. The Implications of Reproductive Aging for the Health, Vitality and Economic Welfare of Human Societies. J Clin Endocrinol Metab. 2019 Apr 16:jc.2019-00315. doi: 10.1210/jc.2019-00315. Epub ahead of print. PMID: 30990518. The original figure was based on data derived from: Centers for Disease Control and Prevention. National Vital Statistics System: birth data. Available at: www.cdc.gov/nchs/nvss/births.htm. Accessed 24 June 2021.

The health issues related to reproductive aging of women have been the subject of intense research for nearly 50 years and are covered in other sections of this textbook (12-15). This chapter focuses only on the reproductive aging of men, which has recently begun to garner considerable attention as reflected by the opening of hundreds of men's health clinics across the United States, and in the growing sales of testosterone and erectile dysfunction products.

 

The aging of men is associated with functional alterations at all levels of the reproductive axis that affect both the steroidogenic and gametogenic compartments (16-19). As discussed in this chapter, there is agreement that serum testosterone levels decline with age, a decline that is exacerbated by the accumulation of comorbidities (20,21); however, the long-term effects of testosterone supplementation on health-related outcomes in older men have not been fully examined. Long-term safety data on the effects of testosterone supplementation on the risk of prostate cancer and major adverse cardiovascular events are also lacking. The recent publication of several well-conducted placebo-controlled trials of testosterone in middle-aged and older men has greatly advanced our understanding of the effects of testosterone treatment on sexual function, mobility, vitality, lower urinary tract symptoms and atherogenesis progression (22-28). However, in the absence of long-term, adequately-powered randomized trials of the effects of testosterone on hard patient-important health outcomes – fractures, falls, physical disability, progression from prediabetes to diabetes, remission of depressive disorders, wellbeing, and progression to dementia - the risks and benefits of long-term testosterone replacement in older men remain incompletely understood. The first section of this chapter reviews the pathophysiology and health consequences of age-related decline of testosterone levels and offers a patient-centric individualized approach to the treatment decisions. The second section describes the age-related alterations in the gametogenic compartment of the testes.

 

CHANGES IN THE STEROIDOGENIC COMPARTMENT OF THE TESTIS

 

 

Many studies suggest that aging per se affects the gonadal axis independently of the co-morbidities that accrete with aging, but there remains controversy about the relative contributions of the aging and the accumulation of co-morbidities to the age-related decline in testosterone levels. A few studies of older men have reported preservation of normal testosterone concentrations and its circadian rhythm in healthy older men (29,30). However, many other cross-sectional studies have shown that even after accounting for the potential confounding factors such as time of sampling, concomitant illness and medications, and technical issues related to hormone assays, serum total testosterone levels are lower in older men in comparison to younger men (31-52). Several longitudinal studies (31-34)also have confirmed a gradual but progressive decrease in serum testosterone concentrations from age 20 to 80. Adiposity, chronic illness, weight gain, lifestyle factors, medications, and genetic factors affect testosterone levels and the trajectory of the age-related decline in testosterone levels in men (29,32,35,53-56).  The rate of age-related decline is greater in older men with chronic illness and adiposity than in healthy, non-obese older men (35,53,54). In the European Male Aging Study, adiposity and comorbidities were more strongly associated with low testosterone levels than age (57).

 

In contrast to the sharp reduction in ovarian estrogen production at menopause, the age-related decline in men does not start at a discrete coordinate in old age; rather, total testosterone concentrations, after reaching a peak in the second and third decade, decline inexorably throughout a man’s life (Figure 2). Because of the absence of an identifiable inflection point at which testosterone levels begin to decline abruptly or more rapidly, many investigators have questioned the validity of the concept of “andropause”, which misleadingly implies an abrupt cessation of androgen production in men (39,58). The term ‘late-onset hypogonadism’ has been proposed to reflect the view that in some middle-aged and older men (> 65 years), the age-related decline in testosterone concentration is associated with a cluster of symptoms and signs in a syndromic constellation which resembles in some aspects that observed in men with classical hypogonadism (47,59).

Figure 2. The distribution of total and free testosterone levels by decades of age in male participants of the Framingham Heart Study, the European Male Aging Study (EMAS) and the Study of Osteoporotic Fractures in Men (MrOS). Means and standard deviations are shown. To convert total testosterone from ng/dL to nmol/L, multiply concentrations in ng/dL with 0.0347. To convert free testosterone from pg/mL to pmol/L, multiply concentrations in pg/mL with 3.47. Reproduced with permission from Bhasin et al, J Clin Endocrinol Metab. 2011 Aug;96(8):2430-9.

Sex-hormone binding globulin concentrations are higher in older men than younger men (32,43,48). Thus, the age-related decline in free testosterone levels is of a greater magnitude than that in total testosterone levels. Similarly, there is a greater percent decline in bioavailable testosterone concentrations (the fraction of circulating testosterone that is not bound to SHBG) than in total testosterone concentrations.

 

An Expert Panel of the Endocrine Society defined androgen deficiency as a syndrome resulting from reduced production of testosterone and characterized by a set of signs and symptoms in association with unequivocally low testosterone levels (16). Many epidemiologic studies have defined androgen deficiency solely in terms of serum testosterone concentrations below the lower limit of the normal range for healthy, young men leading to inaccurate estimates of the prevalence of androgen deficiency in older men. Additionally, serum testosterone levels in most studies were measured using direct immunoassays, whose accuracy in the low range has been questioned. Not surprisingly, the estimates of the prevalence of androgen deficiency in older men have varied greatly among different studies. In the Baltimore Longitudinal Study of Aging (BLSA) (31), 30% of men over the age of 60 and 50% of men over the age of 70 had total testosterone concentration below the lower limit of normal range for healthy young men (325 ng/dL, 11.3 nmol/L). The prevalence was even higher when these investigators used a free testosterone index to define androgen deficiency (31). In contrast, more recent studies that have used liquid chromatography tandem mass spectrometry found the prevalence of androgen deficiency to be significantly lower than that observed in the MMAS and BLSA (39,40,47-50). Although 10–15% of men aged ≥65 years have low total testosterone levels (Table 1) (47-50), the prevalence of late-onset hypogonadism defined by symptoms and a total testosterone level <8 nmol/L in the EMAS was 3.2% for men aged 60–69 years and 5.1% for those aged 70–79 years (47). The Healthy Man Study in Australia found no significant age-related decline in testosterone or dihydrotestosterone in men who reported being in good health (60). The authors of the Health Man Study have argued that ill health, rather than aging itself, is the major contributor to androgen deficiency in older men. A Finnish cross-sectional study also demonstrated very low prevalence of low serum testosterone concentrations in older men who were healthy (39).

 

Table 1. Percent of Community-Dwelling Older Men with Unequivocally Low Testosterone Level in Population Studies

Study

Principal Investigator

Number of Men with Age > 65 years

% Men with Testosterone <250 ng/dL

Framingham Heart Study (FHS)

Bhasin

1870

12.1%

Osteoporotic Fractures in Men Study (MrOs)

Orwoll

2623

10%

European Male Aging Study (EMAS)

Wu

1080

7.3%

Cardiovascular Health Study (CHS)

Hirsch

639

14.3%

Data derived from Bhasin et al, JCEM 2011; Orwoll et al, JCEM 2009; Wu et al, NEJM 2010; Hirsch et al, JCEM 2009.

 

 

Circulating testosterone concentrations are a function of testosterone production and clearance rates; the age-related decline in serum testosterone concentrations is primarily a consequence of decreased production rates in older men (20,21,43-45,48). Plasma clearance rates of testosterone are, in fact, lower in older men than in younger men (54,55). The decline in testosterone production in older men is the result of abnormalities at all levels of the hypothalamic-pituitary-testicular axis (42-44,60-71).

GONDADOTROPIN-RELEASING HORMONE SECRETION AND REGULATION IN OLDER MEN           

 

Pulsatile GnRH secretion is attenuated in older men. In addition, there are disturbances of the feedback and feed-forward relationships between testosterone and LH secretion (63,71,72). Thus, the sensitivity of pituitary LH secretion to androgen-mediated feedback inhibition is increased; in addition, the ability of LH to stimulate synchronously testicular testosterone secretion (feedforward) is attenuated (63,71,72). Veldhuis has shown that the orderliness of LH pulses and the synchrony between LH and testosterone pulses are decreased in older men (63,71,72); in addition, there is greater variability in LH pulse frequency, amplitude, and secretory mass in older men, in comparison to younger men (71,72).

 

GONADOTROPIN SECRETION AND REGULATION IN OLDER MEN     

 

There is considerable heterogeneity in circulating LH and FSH concentrations in individual older men; both hypogonadotropic and hypergonadotropic hypogonadism have been reported (54,59). As a group, serum LH and FSH concentrations are higher in older men than in young men (32,33). However, serum LH concentrations do not increase in proportion to the age-related decline in circulating testosterone levels, due to the impairment of GnRH secretion and alterations in gonadal steroid feedback and feedforward relationships (60-71).

 

In the EMAS, secondary hypogonadism (low testosterone and low or normal LH) was more prevalent (nearly 12%) than primary hypogonadism (low testosterone and elevated LH, 2%) (57). Secondary hypogonadism was associated with obesity and comorbid conditions, while primary hypogonadism was associated predominately with age (57). Nearly 10% of men in EMAS had normal testosterone levels and elevated LH; these men with elevated LH tended to be older and in poor health and were at increased risk of developing low testosterone and other comorbid conditions (73).

 

The data on LH response to GnRH are somewhat inconsistent across studies. Urban et al (65) used an interstitial cell bioassay to measure serum concentrations of bioactive LH and found that although basal bioactive LH concentrations were similar in this sample of young and older men, older men demonstrated diminished LH response to GnRH administration. However, in a subsequent study, Zwart et al (66) found greater gonadotropin responsiveness to GnRH in older men than younger men; the maximal and incremental LH and FSH secretory masses in response to graded doses of GnRH were significantly higher in healthy, older men than in younger men. The estimated half-lives of LH, FSH, or alpha-subunit did not significantly differ between young and older men (66).

 

The Brown Norway rat has been widely used as a model of reproductive aging. In this experimental model, the prepro-GnRH mRNA content and the number of neurons expressing prepro-GnRH mRNA are lower in older male rats in comparison to young rats (67,68). The GnRH content of several hypothalamic areas is also lower in intact older rats than younger rats (67). Older Brown Norway rats exhibit significant reductions in glutamate and -aminobutyric acid (GABA) levels in the hypothalamus compared to young rats (68). These observations suggest that the decreased hypothalamic excitatory amino acid expression and the reduced responsiveness of GnRH neurons to N-methyl-D-aspartate may contribute to the altered LH pulsatile secretion observed in old rats (68).

 

Infusions of testosterone and DHT are associated with greater reductions in mean serum LH and FSH levels and the frequency of LH pulses in older men in comparison to young men (69). Winters et al (64) reported that the degree of LH inhibition during testosterone replacement of older, hypogonadal men was significantly greater than in young, hypogonadal men suggesting that older men are more sensitive to the feedback inhibitory effects of testosterone on LH. Deslypere et al (69) also found decreased LH pulse frequency and a greater degree of LH inhibitory response to estradiol administration in older men than young controls. Age-related increase in FSH levels is not associated with a progressive or proportionate decrease in inhibin B levels (70). Thus, the mechanistic basis of FSH increase with advancing age is not fully understood, although the lack of change in inhibin B levels suggests that Sertoli cell function is relatively preserved in older men.

 

TESTICULAR TESTOSTERONE PRODUCTION IN OLDER

 

Testosterone secretion in healthy, young men exhibits a diurnal rhythm characterized by higher concentrations in the morning and lower concentrations in the late afternoon. The diurnal rhythm of testosterone secretion is dampened in older men (41,51). Testosterone response to LH and human chorionic gonadotropin is decreased in older men, compared to younger men (42-44).

 

 

Many physiological changes that occur with advancing age, such as the loss of bone and muscle mass, increased fat mass, impairment of physical and sexual functions, loss of body hair, and decreased hemoglobin levels, are similar to those associated with androgen deficiency in young men. Aging is associated with loss of skeletal muscle mass (Figure 3), muscle strength and power, and progressive impairment of physical function (74-98). Epidemiological studies of older men have reported associations between low testosterone levels and some age-related conditions, although these associations are weak. For instance, in a number of epidemiologic studies, such as the St. Louis Inner City Study of Aging Men (77), the Olmsted County Epidemiological Study (76), and the New Mexico Elderly Health Study (79,80), low bioavailable testosterone levels (unbound and albumin-bound testosterone) were associated with low appendicular skeletal muscle mass. Low bioavailable testosterone levels also have been associated with decreased strength of upper as well as lower extremity muscles (77,78) and decreased performance in self-reported as well as performance-based measures of physical function (99-103). Low free testosterone levels have also been associated with the development of mobility limitation and the frailty syndrome (104-107).

Figure 3. A schematic diagram of the age-related changes in body composition in 7265 men. Lines represent the longitudinal changes in body weight (black line), fat mass (red line) and fat-free. mass (blue line) components from age 20 years. The estimated mass values at age 20 years were as follows: body mass, 72.72 kg; fat mass, 9.14 kg; fat-free mass, 64.09 kg. Figure adapted with permission from Jackson et al. Br J Nutr. 2012;107(7):1085-91.

The association of testosterone levels with sexual dysfunction has been inconsistent across studies because of the heterogeneity and variable quality of instruments used to assess sexual dysfunction, problems of testosterone assay quality, and failure to distinguish among various categories of sexual dysfunction (108-113). Androgen deficiency and erectile dysfunction are two independently distributed clinical disorders and because both disorders are prevalent in middle-aged and older men, they can often co-exist (112,113). Low testosterone levels were associated with low sexual desire in the MMAS (108). Among men enrolled in the testosterone trials, free and total testosterone levels were independently associated with sexual desire, erectile function, and sexual activity scores (114).

 

In the EMAS, total and free testosterone levels were associated with overall sexual function in middle-aged and older men (47). This relationship was observed more robustly at testosterone concentrations <8 nmol/L, but not at higher testosterone concentrations (115). Men deemed to have low total and free testosterone levels in EMAS were more likely to report decreased morning erections, erectile dysfunction, and decreased frequency of sexual thoughts than those with normal testosterone levels (48). In another study of men over the age of 50 who had benign prostatic hyperplasia, sexual dysfunction was reported only by men with serum total testosterone levels less than 225 ng/dL (110).

 

Aging of humans is attended by a decline in several aspects of cognitive function; of these multiple domains of cognition that decline with aging, declines in verbal memory, visual memory, spatial ability, and executive function are associated with the age-related decline in testosterone (109-113,115-124).

 

The relationship of testosterone levels with depression has been inconsistent across epidemiologic studies (125-129). Low testosterone levels in older men are associated more with late-onset low grade persistent depressive disorder (dysthymia) but not with major depression (128-130). In general, testosterone levels are lower in older men with dysthymic disorder than in those without any depressive symptoms (129).

 

Several epidemiologic studies of older men (131-135), including MrOS (131), Rancho Bernardo Study (132), Framingham Heart Study (133), and the Olmsted County Study (134) - have found bioavailable testosterone levels to be associated with bone mineral density, bone geometry, and bone quality (135); the associations are stronger with bioavailable testosterone and estradiol levels than with total testosterone levels. In the MrOS Study, the odds of osteoporosis in men with a total testosterone less than 200 ng/dL were 3.7-fold higher than in men with normal testosterone level (131); free testosterone was an independent predictor of prevalent osteoporotic bone fractures (136).

 

Several studies have evaluated the association of testosterone levels and mortality (137-141). Some, but not all, studies found higher all-cause mortality and cardiovascular mortality in men with low testosterone levels than in those with normal testosterone levels. In a meta-analyses of epidemiologic studies of community-dwelling men, low testosterone levels were associated with an increased risk of all-cause and CVD death (Figure 4) (142,143). However, the strength of the inferences of these meta-analyses was limited by considerable heterogeneity in study populations; it is possible that effects may have been driven by differences in the age distribution and the health status of the study populations (142-146).

Figure 4. The relationship of low testosterone level with all-cause mortality in a meta-analysis of epidemiologic studies of community-based men. Eleven studies which enrolled 16,184 subjects were included in this meta-analysis. There was considerable heterogeneity of the age distribution, health status, and other subject characteristics. Reproduced with permission from Araujo et al, J Clin Endocrinol Metab 2011;96:3007-19.

Testosterone levels are not correlated with aging-related symptoms assessed by the Aging Male Symptom (AMS) score or with lower urinary tract symptoms assessed by the IPSS/AUA prostate symptom questionnaire (144). Some cross-sectional studies found no difference in serum testosterone levels between men who had coronary artery disease and those who did not have coronary artery disease; other studies have reported testosterone levels to be lower in men with coronary artery disease than in men without coronary artery disease (145-150).

 

Epidemiologic studies, especially cross-sectional studies, can only demonstrate associations; causal relationships are difficult to establish from these studies. Furthermore, the associations between testosterone levels and health-related outcomes are generally weak. The inferences are further confounded by the co-linearity of aging-related co-morbid conditions, low testosterone levels, and age-related changes in body composition and inflammatory markers. Although epidemiologic studies have reported associations between the age-related changes in circulating testosterone levels and skeletal muscle mass, muscle strength and physical function; sexual and cognitive functions; areal and volumetric bone density and fracture risk; and mood, long-term randomized trials are needed to determine whether these relations are causal.

 

Potential Beneficial Effects of Testosterone Treatment in Older Men with Low Testosterone Levels

 

It has been hypothesized that increasing serum testosterone concentrations in older men with low testosterone levels into a range that is mid-normal for healthy, young men would improve physical function and mobility, some domains of sexual and cognitive functions, energy and sense of wellbeing, and reduce the risk of falls and fractures, and improve overall quality of life. A number of randomized trials have demonstrated improvements in measures of sexual function, lean and fat mass, and areal and volumetric bone mineral density; however, there has been a paucity of long-term, placebo-controlled, randomized trials that are adequately powered to detect clinically meaningful changes in health outcomes such as fracture rates, physical disability, progression to dementia, remission of late onset low grade persistent depressive disorder (dysthymia), progression from prediabetes to diabetes, and overall quality of life. Furthermore, none of the previously published studies had sufficient power to address the long-term risks of prostate and cardiovascular disease. 

 

The following section describes the effects of testosterone supplementation on multiple organ systems focusing on physical function, sexual function, vitality, bone health, mood, wellbeing, and depression, and cognitive function.

 

EFFECTS OF TESTOSTERONE SUPPLEMENTAION ON MUSCLE MASS AND PERFORMANCE AND PHYSICAL FUNCTION IN OLDER MEN WITH LOW TESTOSTERONE LEVELS 

        

 

Sarcopenia, the loss of muscle mass and function, is an important consequence of aging (75-79). The principal component of the decrease in fat-free mass is the loss of muscle mass; there is little change in non-muscle lean mass (81-87). Between 20 and 80 years of age, the skeletal muscle mass decreases by 35-40% in men (85), in part due to decreased muscle protein synthesis (92). Although there is a loss of both type I and type II fibers, there is a disproportionate decrease in the number of type II muscle fibers that are important for the generation of muscle power (93,94). In spite of the significant depletion of skeletal muscle mass, body weight does not decrease, and may even increase because of the accumulation of body fat (81-87) (Figure 3).

 

The loss of skeletal muscle mass that occurs with aging is associated with a reduction in muscle strength (95-98). There is a substantial decrease in muscle strength and power between 50 and 70 years of age, primarily due to muscle fiber loss and selective atrophy of type II fibers (93-98). The loss of muscle strength is even greater after the age of 70; 28% of men over the age of 74 could not lift objects weighing more than 4.5 kg (97). With increasing age, there is a progressive reduction in muscle power (151,152), the speed of strength generation, and fatigability, the ability to persist in a task.

 

Loss of muscle mass and strength leads to impairment of physical function, as indicated by the impaired ability to arise from a chair, climb stairs, generate gait speed, and maintain balance (151-154). The impairment of physical function contributes to loss of independence, and increased risk of physical disability, falls and fractures in older men.

 

Anabolic Effects of Testosterone in Humans: Testosterone Trials in Healthy, Hypogonadal Men, Men with Chronic Illness, and Older Men

 

The anabolic effects of testosterone on the muscle have been a source of controversy for over sixty years. The athletes and recreational bodybuilders use large doses of androgenic steroids with the belief that these compounds increase muscle mass and strength. Until recently, the academic community was skeptical about such claims because of the problems of study design. However, a large number of studies in healthy young men, healthy hypogonadal men, men with chronic illness, and in healthy older men have established that testosterone administration improves skeletal muscle mass, maximal voluntary strength, leg power, aerobic capacity, and some measures of physical performance and mobility (154-165). In a systematic review of testosterone trials in healthy, hypogonadal men, testosterone therapy increased fat-free mass and body weight (Figure 5) (154-161).

Figure 5. The effects of testosterone therapy on body composition, muscle strength, and sexual function in intervention trials. The point estimates and the associated 95% confidence intervals are shown. Panel A shows the effects of testosterone therapy on, grip strength, fat mass and lean body mass in a meta-analysis of randomized trials (data derived from Bhasin et al. Nat Clin Pract Endocrinol Metab. 2006;2(3):146-59; figure reproduced with permission from Spitzer et al. Nat Rev Endocrinol. 2013;9(7):414-24). Panel B shows the effects of testosterone therapy on sexual function in a meta-analysis of randomized trials (figure adapted with permission from Ponce et al. J Clin Endocrinol Metab. 2018;103(5):1745-54).

The anabolic effects of testosterone on fat-free mass, muscle size, and maximal voluntary strength are related to the administered testosterone dose and the circulating testosterone concentrations (166-168) (Figure 6). The administration of supraphysiologic doses of testosterone in eugonadal men increases fat-free mass, muscle size, and maximal voluntary strength (166-169).

Figure 6. Testosterone Dose Response Relationship in Young and Older Men. In this study, healthy, young men (18-34 years of age) and healthy older men (60-75 years of age) were treated with a long-acting GnRH agonist plus graded doses of testosterone enanthate for 20 weeks. Shown are mean (±SEM) changes from baseline in fat free mass (upper left), skeletal muscle mass (upper right), fat mass (lower left), and leg press strength (lower right) in young (black bars) and older (lightly shaded bars) men. Adapted with permission from Bhasin et al. J Clin Endocrinol Metab. 2005 Feb;90(2):678-88.

Testosterone effects on muscle performance are domain-specific: testosterone administration increases maximal voluntary strength and leg power, but does not affect fatigability or specific tension (167). The gains in maximal voluntary strength during testosterone administration are proportional to the increase in muscle mass; unlike resistance exercise training, testosterone does not improve the contractile properties of the human skeletal muscle (167).

 

Resistance exercise training augments the anabolic response to androgens; thus, men receiving testosterone and resistance exercise training together experience greater gains in fat-free mass and muscle strength than those receiving either intervention alone (169). The anabolic effects of testosterone are also augmented by concomitant recombinant growth hormone administration (170). Although it has been speculated in the sports medicine literature that increasing the protein intake can enhance the muscle mass and strength gains in response to anabolic stimuli such as resistance exercise training or androgens, the evidence supporting such speculation is weak. In a recent controlled feeding study, increasing the daily protein intake to a level (1.3 g/kg/day) higher than the recommended daily allowance (0.8 g/kg/day) for six months did not increase lean body mass or maximal muscle strength more than that associated with the daily intake of the recommended daily allowance of 0.8 g/kg/day (171) . The higher level of daily protein intake (1.3 g/kg/day) also did not augment the gains in lean body mass and muscle strength in response to testosterone administration above that observed in participants eating the recommended dietary allowance for protein (171,172). 

 

Testosterone replacement of young, hypogonadal men has been reported to increase muscle protein synthesis (158,173,174). The effects of testosterone replacement on muscle protein degradation need further investigation.

 

Systematic reviews (155,175,176) of randomized, placebo-controlled trials in HIV-infected men with weight loss (176-181) have revealed that testosterone therapy for 3 to 6 months was associated with greater gains in lean body mass than placebo administration (difference in lean body mass change between placebo and testosterone arms 1.22 kg, 95% CI 0.23-2.22 for the random effect model). In two (176,180) out of three trials that measured muscle strength (176,180,181), testosterone administration was associated with significantly greater improvements in maximal voluntary strength than placebo. Testosterone therapy had a moderate effect on depression indices (-0.6, 95% CI -1.0, -0.2) (182) and fatigue (183), but did not improve overall quality of life (182,183). Changes in CD4+ T lymphocyte counts, HIV copy number, PSA, plasma HDL cholesterol, and adverse event rates were not significantly different between the placebo and testosterone-treatment groups (176-183). Overall, short-term (3-6 months) testosterone use in HIV-infected men with low testosterone levels and weight loss can induce modest gains in body weight and lean body mass with minimal changes in quality of life and mood. This inference is weakened by inconsistency of results across trials, and heterogeneity in inclusion and exclusion criteria, disease status, testosterone formulations and doses, treatment duration, and methods of body composition analysis (155). Data on testosterone effects on physical function, risk of disability, or long-term safety in HIV-infected men are limited.

 

Testosterone administration increases fat-free mass and decreases fat mass in older men with low testosterone levels. Meta-analyses (155,183) of randomized trials (184-188) that included middle-aged and older men with low or low normal testosterone levels, and that used testosterone or its esters in replacement doses for >90 days, have confirmed that testosterone administration is associated with a significantly greater increase in whole body and appendicular fat-free mass and a greater reduction in whole body and appendicular fat mass than placebo (Figure 5). The average gains in fat-free mass generally were greater in trials that used injectable testosterone esters than in those which used transdermal testosterone gel, presumably because of the higher doses of testosterone delivered by the injectable formulations than by transdermal gel formulations. The change in body weight did not differ significantly between the testosterone and placebo groups.

 

Testosterone administration improves stair climbing speed and power, and self-reported physical function, as assessed by the Medical Outcomes Study Short Form 36 (MOS SF36) questionnaire. Testosterone’ Effects on Atherosclerosis Progression in Aging Men Trial (The TEAAM Trial), a randomized trial conducted in healthy community-dwelling older men without functional limitations and low to low-normal testosterone levels, showed that testosterone replacement for 3-years was associated with modest improvements in leg-press and chest-press power and the stair-climb power (163). Changes in gait speed generally have been modest and inconsistent across randomized trials (25,185,188,189). Testosterone administration is associated with small improvements in aerobic capacity and attenuation of the age-related decline in VO2peak (Figure 7) (164,165).

Figure 7. Effects of testosterone administration on measures of muscle performance and physical function in randomized testosterone trials in older men. Panel A shows the mean (SD) change from baseline to maximal voluntary strength in the leg press and chest press exercises and on loaded stair climbing power at either the end of the intervention period or at the last measurement performed in who dropped out before study completion in the testosterone in older men with mobility limitation (The TOM Trial). The minimal clinically important difference (MCID) for each outcome was determined using an anchor-based method within the trial. The proportion of men (percent) whose change from baseline either equaled or exceeded the MCID is shown below the figure along with the P-value for the comparison of placebo and testosterone groups (figure adapted with permission from Spitzer et al. Nat Rev Endocrinol. 2013;9(7):414-24). Panel B shows the long-term effects of testosterone administration on aerobic capacity in older men participating in the TEAAM trial. Data points represent mean changes from baseline and error bars are 95% CI in VO2peak (L/min) and in peak work rate. P values indicate the overall effect of the testosterone intervention over time (figure reproduced with permission from Traustadóttir et al, J Clin Endocrinol Metab. 2018;103(8):2861-2869).

One reason for the variable improvements in physical function in various testosterone trials is that the measures of physical function used in previous studies had low ceilings. Another confounder of the effects of anabolic interventions on muscle function is the learning effect. For instance, subjects who are unfamiliar with weightlifting exercises often demonstrate improvements in measures of muscle performance simply because of increased familiarity with the exercise equipment and technique. Because of the considerable test-to-test variability in tests of physical function, it is possible that previous studies did not have adequate power to detect meaningful differences in measures of physical function between the placebo and testosterone-treated groups. It is also possible that neuromuscular adaptations needed to translate strength gains into functional improvements require a lot longer than the 3 to 6-month duration of most of the previous trials. The measures of physical function that are more robustly related to lower extremity muscle strength, such as stair climbing speed and power, have shown more consistent improvements in testosterone trials than walking speed (22,23,190).

 

Only a few testosterone trials have been conducted in older men with functional limitations (22,26,28,190-192). In a trial of pre-frail or frail men (28), administration of 50 mg testosterone gel daily for 6 months induced greater improvements in lean mass, knee extension peak torque, and sexual symptoms than did placebo gel (28). Performance-based measures of physical function did not differ significantly between groups, but they improved in the subgroup of frail elderly men (28). In Testosterone in Older Men (TOM) Trial, older men with mobility limitation were randomly assigned to either placebo or 10 g testosterone gel daily for 6 months (22,190). The testosterone dose was adjusted to achieve testosterone levels between 17.4 nmol/l and 34.7 nmol/L (500 to 1000 ng/dL). The improvements in leg-press strength, chest-press strength and power, and loaded stair-climbing speed and power were significantly greater in men assigned to testosterone arm than in those receiving placebo (Figure 7). A greater proportion of men in the testosterone arm improved more than the minimal clinically important difference for leg-press and chest-press strength and stair-climbing speed than that in the placebo arm. Because of a higher frequency of cardiovascular-related events in the testosterone arm compared with the placebo arm, the trial’s data and safety monitoring board stopped further administration of study medication (22,190). The findings of the TOM trial and other epidemiologic studies have heightened the concern that frail elderly men with a high burden of chronic co-morbidities may be at an increased risk of adverse events (22), providing the impetus to develop, strategies to achieve increased selectivity and a more favourable risk to benefit ratio (22).

 

The Testosterone Trials were a coordinated set of seven randomized double-blind, placebo-controlled trials designed to determine the benefits of testosterone therapy in older men 65 years and older with low testosterone levels and clinical symptoms of androgen deficiency on a variety of androgen-dependent outcomes (192). To participate in these trials, the men had to be eligible for at least one of the three main trials (the Sexual Function Trial, the Physical Function Trial, or the Vitality Trial). The men were assigned to testosterone or placebo gel for 1 year and the dose was adjusted to maintain testosterone concentrations within the normal range for healthy young men.  The Physical Function Trial of the TTrials recruited older men with self-reported difficulty walking or climbing stairs and walking speed less than 1.2 m/s and an average of two morning fasting testosterone levels less than 275 ng/dL (162). The 6-minute walking distance improved significantly more in the testosterone than in the placebo group among all men in the TTrials, but not in those who were enrolled in the PFT (162). The self-reported physical function assessed using the physical component of the Medical Outcomes Study Short Form-36 questionnaire, improved more in the testosterone group than in the placebo group in all men in TTrials and in men enrolled in the PFT (162). The men in the testosterone group were more likely to report improvement in their walking ability than men in the placebo group. The changes in 6-minute walking distance were significantly associated with changes in testosterone, free testosterone, dihydrotestosterone, and hemoglobin levels, and to baseline gait speed and self-reported mobility limitation (162). Thus, testosterone treatment of older men with mobility limitation consistently improved self-reported walking ability, modestly improved 6-minute walking distance (162). The number of falls was similar in the testosterone and placebo arms (162).

 

Innovative strategies to translate gains in muscle mass and strength induced by testosterone into functional improvements are needed (18). Resistance exercise training augments the anabolic effects of androgens on muscle mass and performance and physical function (193). Thus, adjunctive exercise training might be required to induce the neuromuscular and behavioural adaptations that are necessary to translate the gains in muscle mass and strength into clinically-meaningful functional improvements (18). In addition, there is some evidence that the anabolic response of skeletal muscle to dietary protein is attenuated with age (194,195). These findings have raised the question whether the current recommended dietary allowance (RDA) for protein (0.8 g/kg/day) is adequate to preserve lean body mass and physical function in older adults. However, In a recent controlled feeding study in functionally-limited older men with usual protein intake less than or equal to the RDA for protein (171) higher protein intake exceeding the RDA did not increase lean body mass, muscle performance or physical function nor augmented the anabolic response to testosterone. However, higher protein intake was associated with lower whole body and visceral abdominal fat, although no significant changes in metabolic biomarkers (fasting glucose, fasting insulin, HOMA-IR, leptin, adiponectin, IL-6, and hs-CRP) were observed (196). These findings suggest that the current RDA for protein is adequate to maintain lean body mass and higher protein intake above the RDA does not promote additional gains in muscle mass or physical function with or without testosterone supplementation.

 

Mechanisms of Androgen Action on Muscle

 

Testosterone-induced increase in muscle mass is associated with hypertrophy of both type I and II muscle fibers (197). The absolute number and the relative proportion of type I and type II fibers do not change during testosterone administration. Testosterone-induced muscle fiber hypertrophy is associated with dose-dependent increases in myonuclear number and satellite cell number (198), suggesting that testosterone administration increases the number of muscle progenitor cells.

 

Testosterone administration has been shown to increase fractional muscle protein synthesis and improve the reutilization of amino acids (173,174). The effects of testosterone on muscle protein degradation have not been well studied. However, the muscle protein synthesis hypothesis does not explain the reciprocal decrease in fat mass or the increases in myonuclear and satellite cell number that occur during testosterone administration (198). Testosterone promotes the differentiation of mesenchymal multipotent muscle progenitor cells into the myogenic lineage and inhibits the differentiation of these progenitor cells into the adipogenic lineage (199,200). Thus, testosterone promotes the formation of myosin heavy chain II positive myotubes in multipotent cells and up-regulates markers of myogenic differentiation, such as MyoD and myosin heavy chain (199,200). Testosterone and DHT inhibit adipogenic differentiation and downregulate markers of adipogenic differentiation, such as PPAR-¡ and C/EBPµ (201). 

 

Testosterone’s effects on myogenic differentiation are mediated largely through its binding to the classical androgen receptor, which induces a conformational change in the androgen receptor protein, promoting its association with its co-activator, beta-catenin, causing the complex to translocate into the nucleus (200,202). The androgen receptor – beta-catenin complex associates with TCF-4 and activates a number of Wnt target genes (200,202), including follistatin. Follistatin cross-communicates the signal from the AR-beta- catenin pathway to the TGF-beta signaling pathway, blocking signaling through the TGF-beta / Smad 2/3 (201,203). Follistatin plays an essential role in mediating the effects of testosterone on myogenic differentiation (203,204). Jasuja et al (204) found that the administration of recombinant follistatin selectively increased muscle mass and decreased fat mass but had no effect on prostate growth. Recombinant follistatin and testosterone each regulated the expression of a large number of common genes in the skeletal muscle, but they differed substantially in the expression profile of genes activated in the prostate (204). Among the genes activated differentially by testosterone but not by follistatin in the prostate, Jasuja et al (204) identified polyamine pathway as an important signaling pathway. The polyamine pathway has been known to be involved in regulating prostate growth. Administration of testosterone in combination with an inhibitor of ornithine decarboxylase-1, a key enzyme in the polyamine pathway, to castrated male mice restored levator ani muscle mass but not prostate mass, indicating that ODC1 plays an important role in mediating the effects of testosterone on the prostate (Figure 8) (204). Therefore, combined administration of testosterone plus ODC1 inhibitor provides a novel approach for achieving selectivity of testosterone’s anabolic effects on the muscle while sparing the prostate (204).

Figure 8. Testosterone Plus Ornithine Decarboxylase 1 Inhibitor as a Selective Prostate Sparing Anabolic Therapy. Intact and castrated adult male mice were treated for 2-weeks with vehicle or testosterone with and without α-difluoromethylornithine (DFMO), a specific Odc1 inhibitor, as follows: Intact, castrated (Cx), castrated + 15µg/day T (Cx+T), castrated +15µg/day T+ 15µg/day DFMO (Cx+T+DFMO). Levator ani weights (right panel) in mice treated with testosterone plus DFMO were similar to those in intact controls and testosterone-treated castrated mice. Prostate weights in castrated mice were lower than in intact controls and were restored by testosterone administration to levels seen in intact mice (left panel). Mice treated with testosterone plus DFMO had significantly lower prostate weights than intact controls or castrated mice treated with testosterone alone, but not significantly different from those in castrated mice treated with vehicle alone. Thus, testosterone plus ODC1 inhibitor could serve as prostate-sparing selective anabolic therapy. Reproduced with permission from Jasuja et al. Aging Cell. 2014 Apr;13(2):303-10.

The Role of Steroid 5-Alpha Reductase and DHT in Mediating Androgen Effects in the Muscle

 

Although the enzyme steroid 5-alpha-reductase is expressed at low concentrations within the muscle (205,206), we do not know whether conversion of testosterone to dihydrotestosterone is required for mediating testosterone's effects on the muscle. Men with benign prostatic hypertrophy who are treated with a 5-alpha reductase inhibitor do not experience muscle loss (207). Similarly, individuals with congenital 5-alpha-reductase deficiency have normal muscle development at puberty (207). These data suggest that 5-alpha reduction of testosterone to DHT is not obligatory for mediating its effects on the muscle. However, all the kindred with steroid 5-alpha reductase deficiency that have been published to-date have had mutations of type 2 isoform of the enzyme. Similarly, finasteride is a weak inhibitor of only the type 2 isoform of the enzyme. The circulating concentrations of DHT in male patients with congenital mutation of type 2 steroid 5-alpha reductase enzyme or in men treated with finasteride are lower than eugonadal men; however, these patients still produce significant amounts of DHT and their circulating DHT concentrations are often in the lower end of the range in healthy young men. Long-term administration of dutasteride, a dual and potent inhibitor of both 5-alpha reductase isoforms, has not been associated with significant reductions in bone mineral density (207). This issue is important because if 5-alpha reduction of testosterone to DHT were not obligatory for mediating its anabolic effects on the muscle, then it might be beneficial to administer testosterone with an inhibitor of steroid 5-alpha reductase or to develop selective androgen receptor modulators that do not undergo 5-alpha reduction.

 

To determine whether testosterone’s effects on muscle mass and strength, sexual function, hematocrit, prostate, sebum production, and lipids are attenuated when its conversion to DHT is blocked, we administered to healthy men, 21-50 years, a long-acting GnRH-agonist to suppress endogenous testosterone. We randomized them to placebo or dutasteride (dual inhibitor of steroid 5-alpha reductase type 1 and 2) 2.5-mg daily, plus 50, 125, 300, or 600-mg testosterone enanthate weekly for 20-weeks (208). Changes in lean and fat mass, leg-press and chest-press strength, were related to testosterone dose but did not differ between placebo and dutasteride groups (208). The relation between testosterone concentrations and the changes in lean body mass, maximum voluntary muscle strength, hematocrit, and sebum production was similar between dutasteride and placebo arms (Figure 9) (208). Changes in sexual-function scores, bone markers, prostate volume, and PSA did not differ between groups (208). These data indicate that testosterone’s conversion to DHT is not essential for mediating its effects on muscle mass and strength, sexual function, hematocrit, or sebum production in men over the range of testosterone concentrations achieved in this trial (208). These data are consistent with studies that have reported that administration of steroid 5α-reductase inhibitors has little or no effect on muscle or bone mass (209-211). The isoforms of steroid 5α reductase enzyme also catalyze the 5α reduction of cortisol, progesterone, bile acids and other metabolites. In the central nervous system, 5α-reductase is the rate-limiting enzyme in the conversion of progesterone to allopregnanolone that serves as a positive allosteric modulator of gamma-aminobutyric acid (GABA) A receptors to modulate neural pathways that regulate mood, affect, and  cognition (212-214). Low levels of allopregnanolone have been implicated in the pathogenesis of some forms of depressive and anxiety disorders (215). An intravenous preparation of allopregnanolone was found to be efficacious and approved for the treatment of postpartum depression (216,217) and is being investigated for the treatment of other depressive disorders. Steroid 5α-reductase enzymes are also involved in cortisol metabolism and in the pathogenesis of metabolic disease (218).

Figure 9. The Role of 5-alpha-Dihydrotestosterone in Men. In this randomized trial, healthy men, 18-50 years, received a long-acting GnRH-agonist to suppress endogenous testosterone. They were then randomized to either placebo or dutasteride (dual inhibitor of steroid 5-alpha reductase types 1 and 2) 2.5-mg daily, plus 50, 125, 300, or 600-mg testosterone enanthate weekly for 20-weeks (535). Changes in fat-free mass (upper panel) and leg-press strength (lower panel), were related to testosterone dose but did not differ between placebo and dutasteride groups (535). The relationship between change in total testosterone (TT) levels and change in fat-free mass and leg press strength (right panels) did not differ between men assigned to placebo or dutasteride arms. Reproduced with permission from Bhasin et al, JAMA. 2012 Mar 7;307(9):931-9.

The Role of CYP19A1 (Aromatase) in Mediating Testosterone’s Effects on the Muscle

 

Studies of aromatase knockout mice have revealed higher fat mass and lower muscle mass in mice that are null for the P450-linked CYP19A1 aromatase gene (219). Similarly, humans with CYP19A1 mutations have decreased muscle mass and increased fat mass, and they exhibit insulin resistance (220). Data from these experiments of nature suggest that aromatization of testosterone to estradiol is important in mediating androgen effects on body composition. Finkelstein et al (221) have recently examined the relative roles of testosterone and estradiol in regulation of muscle and fat mass, and sexual function. These investigators found that testosterone’s effects on lean mass, muscle size, and strength were not significantly attenuated when its conversion to estradiol was blocked by administration of an aromatase inhibitor (221).

 

REGULATION OF FAT MASS, FAT DISTRIBUTION, AND METABOLISM BY TESTOSTERONE         

 

Testosterone is an important regulator of fat mass and distribution. Lowering testosterone concentrations by administration of a GnRH agonist increases fat mass, and testosterone administration in hypogonadal men decreases whole body fat mass (159,222-224). The loss of fat mass during testosterone administration occurs both in the appendices as well as the trunk and is distributed evenly between the superficial subcutaneous and deep intra-abdominal and intermuscular compartments (166,223). The effects of testosterone on whole body fat mass are related to the administered testosterone dose and the circulating testosterone concentrations (166,223).

 

Mechanisms of Testosterone’s Effects on Fat Mass and Metabolism  

 

The effects of testosterone on fat mass are mediated through its conversion to estradiol by the aromatase enzyme encoded by CYP19A1 (221).  Men with inactivating mutations of CYP19A1 are characterized by increased fat mass, metabolic syndrome, hepatic steatosis, and insulin resistance (225-227). Estradiol replacement of male aromatase knockout mice reverses the adiposity and metabolic abnormalities associated with estrogen deficiency (228).

 

Testosterone regulates adipose tissue mass and metabolism through multiple mechanistic pathways. Androgens inhibit adipogenic differentiation of multipotent mesenchymal progenitor cells; these effects are blocked by androgen receptor blocker, bicalutamide (200,201,229). Testosterone regulates fat oxidation but does not appear to affect triglyceride secretion over short durations (230).

 

Testosterone, after its aromatization to estradiol, acts through the estrogen receptors in specific brain regions to regulate eating behavior, energy expenditure, and adipose tissue metabolism. The deletion of estrogen receptor α (ER-α) in specific brain regions is associated with adiposity, hyperphagia, and hypometabolism (231); estradiol acting through ER-α regulates eating behavior and energy expenditure differentially through actions on different hypothalamic neurons (231).  Activation of estrogen receptor β (ER-β) by selective agonists inhibits weight gain, adiposity, increases energy expenditure and thermogenesis, and reverses hepatic steatosis in mice through direct effects on xenobiotic and bile acid receptors in the liver (232).

 

TESTOSTERONE AND SEXUAL FUNCTION IN OLDER MEN     

 

Regulation of Sexual Function by Testosterone  

Sexual function in men is a complex process that includes central mechanisms for regulation of sexual desire and arousal, and local mechanisms for penile tumescence, orgasm, and ejaculation (233). Primary effects of testosterone are on sexual interest and motivation (233-238). Testosterone replacement of young, androgen deficient men improves a wide range of sexual behaviors including frequency of sexual activity, sexual daydreams, sexual thoughts, feelings of sexual desire, attentiveness to erotic stimuli, and spontaneous erections (233-241).  Kwan et al (237)demonstrated that androgen-deficient men have decreased frequency of sexual thoughts and lower overall sexual activity scores; however, these men can achieve erections in response to visual erotic stimuli. Hypogonadal men have lower frequency and duration of the episodes of nocturnal penile tumescence; testosterone replacement increases both the frequency and duration of sleep-entrained, penile erections (239-241). Although both orgasm and ejaculation are believed to be androgen-independent, hypogonadal men have decreased ejaculate volume and their orgasm may be delayed.

 

Although hypogonadal men can achieve erections, it is possible that achievement of optimal penile rigidity might require physiologic testosterone concentrations. Testosterone regulates nitric oxide synthase activity in the cavernosal smooth muscle (242). Testosterone administration in orchiectomized rats increases penile blood flow and has trophic effects on cavernosal smooth muscle (243-245).

 

In male rodents, all measures of mating behavior are normalized by relatively low testosterone levels that are insufficient to maintain prostate and seminal vesicle weight (246,247). Similarly, in men, sexual function is maintained at relatively low normal levels of serum testosterone (221,238,248). Testosterone’s effects on libido are mediated through its conversion to estradiol (221).

Total and free serum testosterone levels are positively associated with sexual desire, erectile function and sexual activity in older men with unequivocally low testosterone levels and symptoms of sexual dysfunction (114). These findings suggest that low testosterone levels may contribute to impaired sexual functioning in older men.

 

Erectile dysfunction and androgen deficiency are two common but independently distributed, clinical disorders that sometimes co-exist in the same patient (112,113,233,249). Hypogonadism is a clinical syndrome that results from androgen deficiency (16); in contrast, erectile dysfunction is usually a manifestation of a systemic vasculopathy, often of atherosclerotic origin. Thus, androgen deficiency and erectile dysfunction have distinct pathophysiology. Eight to ten percent of middle-aged men presenting with erectile dysfunction have low testosterone levels (113,249-251).

 

Clinical Trials of the Effects of Testosterone Therapy on Sexual Function of Older Men with Low Circulating Testosterone Concentrations

 

In open-label trials, testosterone treatment has been shown to improve sexual function in young men with classical hypogonadism due to disorders of the hypothalamus, pituitary, or testes (159,252). However, previous trials evaluating the benefits of testosterone therapy in men 60 years and older with age-related decline in testosterone levels on sexual functioning have yielded inconsistent results (253), with some studies showing improvement (254,255), while others have suggested no clear benefit (23). The inconsistencies in these previous studies are due to several factors, including small sample sizes, inclusion of men who were not clearly hypogonadal or did not have sexual symptoms, inclusion of men with heterogeneous sexual disorders, variable treatment durations, and the use of outcomes assessment tools that had not been rigorously validated.

 

In a small number of placebo-controlled trials of testosterone that have been conducted in men with sexual symptoms and low testosterone levels (24,26,161), testosterone replacement has been associated with a small but significant increase in overall sexual activity, sexual desire, erectile function, and sexual satisfaction.  A meta-analysis of these placebo-controlled trials found that testosterone replacement of hypogonadal men is associated with a small but significant increase in sexual desire [standardized mean difference (SMD): 0.17; 95% CI, 0.01, 0.34], erectile function (SMD: 0.16; 95% CI, 0.06, 0.27), and sexual satisfaction (SMD: 0.16; 95% CI, 0.01, 0.31) (256). 

 

The Sexual Function Trial of the TTrials determined the efficacy of testosterone treatment for 1-year on sexual function in symptomatic, community-dwelling, older men ≥65 years with low testosterone levels (26). Testosterone administration for 1-year to raise testosterone concentrations into a range that is mid-normal for healthy young men was associated with significant improvements in sexual activity, desire, and erectile function (257). The treatment effects tended to wane over time, and the effect on erectile function was substantially smaller than that reported with phosphodiesterase 5 inhibitors (258). The magnitude of increase in testosterone levels was related to the improvements in sexual activity and desire, but not erectile function (257). There was no clear testosterone threshold level of effect.

 

Testosterone does not improve sexual function in middle-aged and older men who have normal testosterone levels and do not have any sexual symptoms (23). Testosterone replacement therapy does not improve ejaculatory function in men with ejaculatory disorder (259).

 

It had been speculated that testosterone administration might improve erectile response of men with ED to selective phosphodiesterase inhibitors (260-262). To determine whether the addition of testosterone to a phosphodiesterase-5-inhibitor improves erectile response, we conducted a randomized, placebo-controlled trial (263), in men, 40-to-70 years, with erectile dysfunction and low total testosterone< 11.5 nmol/L (330ng/dL) and/or free testosterone <173.5 pmol/L (50 pg/mL). All participants were initially started on sildenafil alone and the sildenafil dose was optimized based on their response during a 3 to 7-week run-in period (263). The participants were then randomized to 10-g testosterone or placebo gel for 14-weeks in combination with the optimized sildenafil dose (263). The administration of sildenafil alone was associated with substantial increases in erectile function domain (EFD) score and total and satisfactory sexual encounters (263). However, the change in EFD score in men assigned to testosterone plus sildenafil did not differ significantly from that in men assigned to placebo plus sildenafil (263). Changes in total and successful sexual encounters, quality-of-life, and marital-intimacy did not differ between testosterone and placebo groups. Even among the subsets of men with baseline testosterone <250 ng/dL or those without diabetes, there were no significant differences in EFD scores between the two arms (263). Another placebo-controlled trial of men with erectile dysfunction who were non-responders to tadalafil also did not show a greater improvement in erectile function in men assigned to the testosterone arm than in those assigned to the placebo arm (262). Thus, in randomized trials, the addition of testosterone to PDE5Is has not been shown to improve erectile function in men with erectile dysfunction (262,263).

Synopsis of The Effects of Testosterone on Sexual Function

 

In older hypogonadal men with low sexual desire, testosterone treatment improves sexual desire, erectile function, and overall sexual activity. Androgen deficiency is an important cause of low sexual desire disorder (233). Therefore, serum testosterone concentrations should be measured in the diagnostic evaluation of hypoactive sexual desire disorder as well as erectile dysfunction, recognizing that low sexual desire is often multifactorial; systemic illness, relationship and differentiation (the ability of individuals in a relationship to maintain their distinct identities) issues, depression, and many medications can be important antecedents or contributors to low sexual desire and sexual dysfunction.

 

TESTOSTERONE EFFECTS ON BONE MINERAL METABOLISM        

 

The Effects of Androgen Deficiency on Bone Mass

 

Testosterone deficiency is associated with a progressive loss of bone mass (264-267). In one study performed in sexual offenders (264), surgical orchiectomy was associated with a progressive decrease in bone mineral density of a magnitude similar to that seen in women after menopause. Similarly, androgen deficiency induced by the administration of a GnRH agonist, surgical orchiectomy, or an androgen antagonist for the treatment of prostate cancer leads to loss of bone mass (265-267) and an increase in fracture risk (268,269), which is related to the dose of GnRH agonist and the degree of testosterone suppression (270). In male rats, surgical orchiectomy or androgen blockade by administration of an androgen receptor antagonist is associated with loss of bone mass (271).

 

Androgen deficiency that develops before the completion of pubertal development is associated with reduced cortical and trabecular bone mass (272,273). During the pubertal years, bone accretion, and bone length and thickness is regulated by sex steroids. During puberty, sex hormones slow long bone growth and accelerate axial growth. Prepubertal sex hormone deficiency allows continued long bone growth and slows axial growth resulting in longer limbs and a shorter trunk (eunuchoidal proportions)  (274). Sex differences in bone width are also established during pubertal development. Men increase bone width by periosteal bone formation and women mostly by endocortical apposition  (275). Young men with constitutional delay of puberty have lower bone mineral density (276), which does not improve spontaneously 2 years later (277). Indeed, men with hip fractures have been shown to have smaller femoral head diameters, which may potentially be related to delayed puberty (278). Therefore, individuals with sex-steroid deficiency before or during peri-pubertal years may end up with suboptimal peak bone mass and increased lifetime fracture risk. Similarly, men with acquired androgen deficiency have lower bone mineral density than age-matched controls (155).

 

Clinical Trials on The Effects of Testosterone Therapy on Bone in Young, Hypogonadal Men

 

Testosterone therapy of healthy, young, hypogonadal men is associated with significant increases in vertebral bone mineral density (156,279-283). However, bone mineral density is typically not normalized after 1-2 years of testosterone replacement therapy (156). Some hypogonadal patients included in these testosterone trials had panhypopituitarism and also suffered from growth hormone deficiency. It is possible that concomitant GH replacement might be necessary for restoration of normal bone mineral density. Excessive glucocorticoid replacement might also contribute to bone loss in these patients. In addition, some participants had experienced testosterone deficiency before the onset and completion of pubertal development; the individuals who develop androgen deficiency during the critical pubertal developmental window of bone accretion, may end up with decreased peak bone mass, and testosterone administration may not be able to restore bone mass to levels seen in eugonadal age-matched controls. Many testosterone replacement trials were less than 3 years in duration, and it is possible that a longer period of testosterone administration might be necessary to achieve maximal improvements in bone mineral density. Indeed, Behre et al (279) reported that bone mineral density in some hypogonadal men continued to increase even after many years of testosterone treatment using a scrotal transdermal patch and reached the levels expected for age-matched eugonadal controls.

 

Cross-Sectional Studies of the Relationship Between Sex-Hormone Concentrations and Osteoporosis in Older Men 

 

The age-related decline in sex hormones is associated with age-related changes in bone mineral density and increased risk of osteoporotic fractures (131-136,284,285). Older men with hip fractures have lower testosterone levels than age-matched controls (286). Bioavailable testosterone levels have been found to be better predictors of fracture risk than total testosterone levels (287). Interestingly, a U-shaped association between endogenous testosterone concentrations and incident fractures was recently observed, with midrange plasma testosterone levels being associated with lower incidence of any fracture and with hip fracture compared to lower or higher testosterone (288). Men with osteoporosis have been found to have lower DHT levels than those without osteoporosis (289). In the Cardiovascular Health Study, in which testosterone and DHT levels were measured by liquid chromatography–tandem mass spectrometry, circulating DHT, but not testosterone, was found to be negatively associated with hip fracture risk in men (290).

 

In epidemiologic studies, estradiol levels are more strongly associated with bone mineral density of the spine, hip, and distal radius than total testosterone levels (132,134,135,285). Men with low bioavailable estrogen have increased risk of non-vertebral fracture which is increased further in those with low bioavailable estrogen, low bioavailable testosterone as well as high SHBG (287) suggesting a complex interplay of these hormones in fracture resilience.  Mendelian randomization analysis have found that increased genetically determined estradiol levels are associated with increase in lumbar spine bone mineral density (291) and lower fracture risk (292).  The CYP19A1 alleles associated with higher estradiol levels are associated with higher bone mineral density (291).

 

Clinical Trials of the Effects of Testosterone Therapy on Bone of Middle-Aged and Older Men with Low Circulating Testosterone Concentrations 

 

Earlier studies of testosterone replacement of relatively healthy older men that examined the effects of testosterone on bone mineral density reported inconsistent results (188,189,293,294). One study found greater increases in vertebral bone mineral density in the testosterone arm of the trial than in the placebo arm, while another study did not find any significant differences between the change in vertebral or femoral bone mineral density between testosterone and placebo groups (294). A meta-analysis of randomized trials found a significantly greater increase in lumbar bone mineral density but not in femoral bone mineral density in the testosterone arms of trials that used intramuscular testosterone than in placebo arms (Figure 10) (295); transdermal testosterone had no significant effect.

Figure 10. The effects of testosterone therapy on bone health in intervention trials. Panel A shows the effects of testosterone therapy on lumbar and femoral bone mineral density in a meta-analysis of randomized trials (data derived from a meta-analysis by Tracz et al, J Clin Endocrinol Metab. 2006;91(6):2011-6.; figure adapted with Spitzer et al. Nat Rev Endocrinol. 2013;9(7):414-24). Panels B and C show the effects of testosterone replacement for 12 Months on volumetric bone mineral density and estimated bone strength of trabecular, peripheral, and whole bone of the spine and hip, as assessed by quantitative computed tomography (figure reproduced with permission from Snyder et al. JAMA Intern Med. 2017;177(4):471-479).

The Bone Trial of the TTrials determined the effects of testosterone replacement for 1-year in men 65 years or older with low testosterone levels on volumetric bone mineral density and bone strength using quantitative computed tomography (296). This trial found significantly greater increases in volumetric bone mineral density and estimated bone strength in the testosterone arms compared to placebo; specifically, these increases were most prominent in the spine than hip and more in trabecular than peripheral bone (Figure 10). The treatment effects on volumetric bone density and bone strength observed in the TTrials compare favorably with those reported in trials of bisphosphonates and some selective estrogen receptor modulators.

 

The T4Bone substudy of the T4DM trial determined the effect of 24 months of testosterone treatment on bone microarchitecture and bone mineral density of men aged 50 years or older enrolled in a community-based lifestyle program using high resolution-peripheral quantitative computed tomography (297). Compared to placebo, testosterone treatment increased cortical and total bone mineral density of the tibia and radius, as well as cortical area and thickness at both sites. Testosterone treatment also increased areal thickness at the lumbar spine (297).

 

Future studies are needed to determine whether these improvements from testosterone treatment are associated with reduced fracture risk in older men with low testosterone levels.

 

Mechanisms of Androgen Action on the Bone 

 

Testosterone increases bone mass by several mechanisms (298). Short-term studies of androgen replacement have shown inconsistent increases in markers of bone formation, but a more consistent reduction in markers of bone resorption (283,298-300). These observations suggest that testosterone increases bone mineral density in part through its aromatization to estrogen, which inhibits bone resorption. Estrogen deficiency contributes to increased bone resorption and remodeling by multiple mechanisms. Estrogens regulate the activation frequency of bone functional basic multicellular units, the duration of the resorption phase and the formation phase, and osteoclast recruitment (301). The protective effects of estrogen on bone in both male and female mice during growth and maturation are mediated largely through estrogen receptor-alpha (302-308). 17β-estradiol has also been shown to increase connexin-43 based intracellular communication which may modulate the bone response to mechanical loading in osteocytes (309). Dias and colleagues found that treatment with testosterone for 12-months improved lumbar spine bone mineral density compared to placebo but not in men treated concomitantly with anastrozole, suggesting that aromatization of testosterone to estrogen may be required for maintaining bone mineral density (310). Similarly, another recent study found significant reduction in spine bone mineral density in men treated with testosterone and anastrozole for 16-weeks that was independent of testosterone dose (311). In addition, treatment with lower testosterone doses were associated with greater increases in bone turnover markers; an effect that was significantly greater in combination with anastrozole. DHT suppresses osteoclast formation in vitro via NF-kB ligand (RANKL) mediated effects, comparable to estradiol (312); the clinical significance of DHT in suppressing bone resorption is incompletely understood.

 

Testosterone also directly stimulates osteoblastic bone formation. Androgen receptors have been demonstrated on osteoblasts and on mesenchymal stem cells (313). Testosterone stimulates cortical bone formation (314). Sclerostin is secreted by osteocytes and inhibits osteoblast differentiation. Sclerostin was found to be negatively related to total and free testosterone in men with idiopathic osteoporosis (312). Hypogonadal men have higher serum sclerostin levels than eugonadal men, and DHT directly suppresses sclerostin production in cultured human osteocytes through an AR-mediated mechanism (315). Testosterone also stimulates the production of several growth factors within the bone, including IGF-1; these growth factors may contribute to bone formation (316). Leydig cells in the testis secrete insulin-like peptide 3 (INSL3) in addition to testosterone. INSL3 has been reported to have a negative association with sclerostin in specific populations and INSL3 downregulates sclerostin protein expression in cultured osteocytes (317). Osteocalcin secreted by osteoblasts acts on Leydig cells through the GPRC6A receptor, suggesting a possible feedback mechanism for bone-testis crosstalk (318). Testosterone increases muscle mass, which may indirectly increase bone mass by increased loading. Testosterone might inhibit apoptosis of osteoblasts through non-genotropic mechanisms (319,320). In addition to its effects on bone mineral density, testosterone might reduce fall propensity because of its effects on muscle strength and reaction time.

 

We have shown that testosterone has dose dependent effects on erythropoiesis (321) possibly through increased erythropoietin and reduced hepcidin (322). Hematopoietic cells and bone cells are interdependent and support each other at different stages in development   (323,324). Androgen deficiency seems to favor hematopoietic precursor differentiation to an osteoclast fate (312), which is consistent with the decreased bone resorption observed with testosterone supplementation (275,287-289). We have shown that older men in the MrOS study with accelerated bone density loss (>0.5%/year) have increased risk of anemia (325), and that anemia increases the risk of non-spine fractures independent of bone density (326). In a prospective analysis of the Cardiovascular Health Study, we have recently shown that men with anemia and, separately, men with decreasing hemoglobin were at increased risk of hip fracture (327). Low endogenous testosterone levels have been associated with lower hemoglobin (328), which is reversible with testosterone supplementation (329). It is possible that testosterone sufficiency is required for a healthy hematopoietic niche in men, which is then able to support a favorable microenvironment for bone health.

 

In men androgens and estrogens both play independent roles in regulating bone resorption (301). Estradiol levels above 10 pg/ml are generally believed to be sufficient to prevent increases in bone resorption and decreases in BMD in men (311).

 

Synopsis of The Effects of Testosterone on Bone 

 

Testosterone replacement has been shown to increase vertebral and femoral bone mineral density, and bone strength in older men with unequivocally low testosterone levels (16). Testosterone increases bone mass by multiple mechanisms. Testosterone’s aromatization to estrogen plays an important role in regulating bone health in men. Testosterone’s effects on fracture risk have not been studied. 

 

TESTOSTERONE EFFECTS ON COGNITIVE FUNCTION        

           

Cross-Sectional and Longitudinal Studies Correlating Sex-Hormone Levels and Cognitive Function

 

Several lines of evidence suggest that testosterone regulates several domains of cognition, sexually dimorphic behaviors, mood, and affect, and the neuropathology of Alzheimer’s Disease (AD). Testosterone is aromatized to estrogen in the brain, and some effects of testosterone on cognition might be mediated through its conversion to estradiol. Additionally, androgen receptors are expressed in the brain (330), and androgen effects on brain organization during development (331,332) are mediated through androgen receptor. Androgens increase neurite arborization, facilitating intercellular communication (331-334). Testosterone is metabolized in neurons as well as in glial cells to DHT, which is further converted reversibly in some cell types such as type 1 astrocytes to 5α-androstane-3α,17β-diol (335), which is a potent modulator of GABA on GABAA receptors but a weak ligand for AR and ER (336). The 3β isomer of androstanediol, 5α-androstan-3β,17β-diol, is also synthesized in the brain; this steroid is a ligand for ERβ (337).  Thus, testosterone treatment may potentially expose the brain to a range of biologically active metabolites, all of which may contribute to the observed responses. Testosterone also affects serotonin, dopamine, acetylcholine (333), and calcium signaling (334). Thus, testosterone could influence cognitive function and the development and progression of AD neuropathology through multiple mechanistic pathways.

 

The age-related decline in serum testosterone levels has been associated with impairment in cognitive function (338). Androgens effects on cognitive function are domain-specific. For instance, observations that men outperform women in a variety of visuo-spatial skills suggest that androgens enhance visuo-spatial skills (339). In !Kung San hunter-gatherers of Southern Africa, testosterone, but not estradiol, levels correlated with better spatial ability and with worse verbal fluency (340). Women with congenital adrenal hyperplasia with high androgen levels score higher on tests of spatial cognition than their age- and gender-matched siblings (341). 46, XY rats with androgen insensitivity perform worse on tests of spatial cognition than their age-matched controls (342). Other studies have reported a complex relationship between androgen levels and spatial ability (123,343-345). Circulating levels of dihydrotestosterone, a metabolite of testosterone that is not converted to estrogen, positively correlated with verbal fluency (340). Barrett-Conner et al (122) found positive associations between total and bioavailable testosterone levels, and global cognitive functioning and mental control, but not with visuospatial skills. In the Baltimore Longitudinal Study of Aging (346), higher free testosterone index was associated with better scores on visual and verbal memory, visuospatial functioning, and visuomotor scanning. Men with low testosterone levels had lower scores on visual memory and visuospatial performance (346); however, some studies have shown no association of serum testosterone levels with domains of visual and verbal memory, and executive function in older men (347,348). In the Concord Health and Aging in Men Project, the authors found that changes in serum testosterone levels over time, rather than baseline testosterone levels, were predictive of cognitive decline (338).

 

The Potential Role of Testosterone in the Pathobiology of Alzheimer's Disease

 

A large body of preclinical and epidemiologic data shows that testosterone acts as a negative regulator of endogenous Ab amyloid accumulation in the brain, attenuates tau phosphorylation, reduces neuro-inflammation, exerts neuronal protective effect in response to injury and disease, and promotes neuronal regeneration and connectivity. However, the randomized trials data generated largely in community dwelling middle-aged and older adults without cognitive deficits or Alzheimer's Disease neuropathology have been inconclusive for reasons that are discussed below.   

 

Testosterone acts as a negative regulator of endogenous Ab amyloid accumulation in the brain through multiple mechanisms. Surgical orchiectomy of male rats is associated with increased accumulation of Ab amyloid in the brain; the accumulation of Ab amyloid in surgically orchiectomized rats is prevented by DHT administration but not by estradiol administration (349-351).  In male Brown-Norway rats, age-related decreases in testosterone and DHT are associated with increased brain levels of Ab amyloid (350). Testosterone promotes the conversion of amyloid precursor protein (APP) to soluble APP-alpha rather than A beta amyloid. Consistent with these findings, prolonged treatment of cultured cortical neurons and neuroblastoma cell lines with testosterone resulted in increased production of soluble sAPP-a and decreased production of Ab amyloid (349). This effect of testosterone on the processing of APP is mediated in part through its aromatization to estradiol (352). However, there is strong evidence of mediation through a direct androgen receptor (AR)-mediated pathway as well (350-353). 

 

In 3XTg-AD mouse model of Alzheimer’s Disease, orchiectomy at age 3 months is associated with significantly increased accumulation of Ab amyloid in hippocampus CA1, amygdala, and subinculum at age 6 months (352,353).  DHT treatment of orchiectomized mice prevents the accumulation of Ab amyloid as well as deterioration of spontaneous alternation behavior (353).  DHT also reduces Tau-phosphorylation in orchiectomized triple transgenic mouse model of AD (352).  Androgens upregulate the expression of neprilysin, the enzyme that catalyzes the degradation and clearance of Ab amyloid in neuronal cells (354) and decrease Ab amyloid accumulation (355). 

 

Testosterone also attenuates AD-like tau pathology. In gonadectomized mice, testosterone as well as estradiol reduce tau phosphorylation (356,357).  Androgens also reduce tau phosphorylation induced by acute heat shock and injury in male rats independent of estradiol (358).

 

Testosterone exerts neuroprotective effects in many brain regions. Androgens promote neuronal viability during neural development as well as in adult brain following mechanical injury and disease-related toxicity  (359-361).  Testosterone protects motor neurons in the spinal cord following axotomy (359-361).  In this experimental model, testosterone treatment accelerates the rate of nerve regeneration and attenuates neuronal loss (359,360,362-364).

 

Testosterone exerts neuroprotective effects across the lifespan in brain areas susceptible to neurodegeneration in AD (365-368). Thus, in cultured neurons, testosterone reduces neuronal apoptosis induced by oxidative stress and Abamyloid (369-371).

 

Testosterone promotes neuronal growth, connectivity, and functioning. Testosterone increases neurite arborization, and synapse formation facilitating intercellular communication (372-375).  Testosterone also has nongenomic effects, and affects serotonin, dopamine, acetylcholine and calcium signaling (376-378).  Androgen receptors are expressed in the brain, and androgen effects on organization of the brain during development are likely mediated directly through AR. Some additional effects of testosterone are mediated through its conversion to estradiol.

 

Testosterone also exerts protective effects against neuroinflammation. Orchiectomy as well as obesogenic diet are each associated with increased expression levels of proinflammatory cytokines TNF-alpha and IL-1beta in the cerebral cortex in middle-aged male rats (370). The castration-induced upregulation of proinflammatory cytokines TNFa and IL-1b effect is prevented by testosterone supplementation (370). Similar stimulatory effects of testosterone on the expression of proinflammatory cytokines were observed in mixed glial cell cultures in vitro (370).  5aDihydrotestosterone inhibits interleukin-1a or tumor necrosis factor a-induced proinflammatory cytokine production via androgen receptor-dependent inhibition of nuclear factor kB activation (371). Low testosterone also is associated with increased macrophage infiltration in sciatic nerve in castrated male rats (371). The mechanisms of these protective effects of testosterone on neuroinflammation are incompletely understood but appear to require both androgen receptor and estrogen receptor-mediated pathways (371).

 

Epidemiological Data on the Association of Testosterone Levels with Cognitive Function and AD Pathology

 

Some but not all epidemiologic studies have found an association between low circulating testosterone levels and AD (346,379-384); the relation appears to be stronger between free testosterone levels and the risk of AD than between total testosterone and AD (346). The strength of the association between testosterone and AD is affected by apolipoprotein ε4 genotype, a genetic risk factor for AD (380); men with one or more ε4 alleles have lower testosterone levels and a higher risk of AD than men without an ε4 allele (380).

 

In longitudinal follow-up of male participants of the Baltimore Longitudinal Study on Aging (346), the men who were healthy at baseline and developed a clinical diagnosis of AD had significantly lower free testosterone levels than those who did not develop AD.  The age-related decline in circulating free testosterone levels preceded the clinical diagnosis of AD by nearly 10 years (346). 

 

Rosario et al. (384) found that low brain levels of testosterone were associated with increased risk of AD in men. In human postmortem brain tissue from neuropathologically normal men, tissue levels of testosterone but not E2 showed an age-related decline (384). The brain tissue levels of testosterone were significantly lower in AD cases as compared with neuropathologically normal cases after controlling for age (384).

Epidemiologic investigations of the association of circulating testosterone levels with age-related changes in cognitive function are in agreement that androgens effects on cognitive function are domain-specific. Generally, men with low testosterone levels perform less well than those with normal testosterone levels on tests of verbal fluency, visuospatial abilities, verbal memory, and executive function (121,122,385-388). Some inconsistency in findings across studies is likely related to heterogeneity of study populations, lack of standardization of cognitive assessments across studies, inaccuracy and imprecision of testosterone immunoassays, and the use of variable thresholds of testosterone levels to define "low". Some studies have suggested a curvilinear relation between testosterone levels and cognitive function; both low and high testosterone levels are associated with worse function suggesting that there may be an optimal level at which cognitive performance is optimized (386).

 

Clinical Trials Data

 

No adequately powered randomized placebo-controlled trials of testosterone replacement have been conducted in men with AD (389-392). The clinical trials data on the effects of testosterone on cognition have provided conflicting results; these trials were limited by their small size, inclusion of men who were not clearly hypogonadal and who did not have cognitive impairment or AD neuropathology, and use of outcomes that were not directly related to AD phenotype. Some studies have reported improvements in verbal memory and visuospatial skill while others found no effect (389,391-393).

 

The Testosterone Trials, a set of 7 coordinated trials of community-dwelling older men with unequivocally low testosterone levels, measured using liquid chromatography tandem-mass spectrometry (LC-MS/MS), showed no significant effect on delayed paragraph recall – the primary outcome of the trial (26,390). Post hoc analysis of the TTrials data showed small but significant improvement in executive function (390). The TTrials had many attributes of good trial design - prospective allocation of participants, parallel groups, blinding, and high retention rates, but progression of AD was not a primary aim of the trial (26). The trial’s duration of one year was not long enough to evaluate effects on clinically meaningful measures of cognitive function or AD pathology. The trial did not include any measures of AD pathology, including A beta amyloid or Tau-protein or blood or CSF markers of AD. The participants in this well conducted trial were not selected prospectively based on cognitive deficits or risk of AD. A few small testosterone supplementation studies (sample size varying from 11 to 47) of 6 weeks to 6-month duration in men with cognitive impairment of AD have reported modest improvements in verbal and spatial memory but the small sample sizes, short intervention durations, variable eligibility criteria, and inclusion of men without confirmed AD, and inclusion of men with normal testosterone levels limit the interpretability of these data (391,392).      

 

In a double-blind randomized placebo-controlled trial, Huang et al investigated the effect of testosterone administration for 3-years on multiple domains of cognitive function in a large cohort (n=280) of men 60 years and older with low or low-normal testosterone levels (394). In this trial of older, cognitively healthy men, testosterone administration was not associated with significant improvement in any domain of cognitive function (Figure 11). These findings are similar to another recent placebo-controlled clinical trial conducted in older men 65-years and older (n=493) with low testosterone levels, which showed that treatment with testosterone for 1-year was not associated with improved cognitive function or memory (Figure 11) (390). Sensitivity analysis that was limited to men with minimal cognitive impairment also did not find significant differences in measures of cognition between the testosterone and placebo groups (390).

Figure 11. Effects of testosterone therapy on cognition domains in older men. Left panels show the long-term effects of testosterone therapy in visual and verbal memory, spacial ability and executive function in the TEAAM trial (36 months of treatment). Data displayed as baseline and post-randomization cognitive function test scores by group and study visit. Error bars are 95% CIs for mean scores and p-values are for the estimated difference between treatment effects, controlling for baseline values, age, and education (figure adapted from Huang et al. J Clin Endocrinol Metab. 2018;103(4):1678-1685.) Right panels show adjusted mean change from baseline to 6 months and 12 months for men with age-associated memory impairment by treatment group in cognition domains in the Cognitive Function Trial of the TTrials (12 months duration; figure adapted from Resnick et al. JAMA. 2017;317(7):717-727).

Synopsis of the Effects of Testosterone on Cognition

 

In spite of the robust preclinical data that testosterone acts as a negative regulator of endogenous Ab amyloid accumulation in the brain, attenuates tau phosphorylation, reduces neuro-inflammation, exerts neuronal protective effect in response to injury and disease, and promotes neuronal regeneration and connectivity and some epidemiologic evidence that decline in testosterone levels increases the risk of incident clinical AD, the randomized trial data on the effects of testosterone on cognition is highly equivocal. The randomized clinical trials in community dwelling older adults without cognitive deficit or AD neuropathology have not found clinically meaningful improvements in cognitive function. The inconsistency in findings cannot yet be interpreted as conclusive evidence that there is no effect. Limitations of previous studies include limited sample sizes, inclusion of men with no clear cognitive deficit or AD neuropathology, the use of a variety of neuropsychological tests that are not clinically meaningful in the context of AD or dementia; the use of differing protocols in clinical trials. The effects of testosterone therapy on clinically important outcomes in men with cognitive impairment have not been studied. The efficacy of testosterone replacement in men with cognitive impairment, such as in patients with Alzheimer’s disease, needs further investigation in larger randomized controlled trials.

 

 

Circulating testosterone concentrations have not been consistently associated with major depressive disorder in men (128,129,395-398). Rather, testosterone levels appear to be associated with a late-life low grade persistent depressive disorder (dysthymia) (128,129,395-398). Intervention trials have failed to demonstrate statistically significant or clinically meaningful improvements in patients with major depressive disorder (399). Placebo-controlled trials of testosterone in men with refractory depression also have not consistently shown a beneficial effect of testosterone (399-402). A meta-analysis of randomized trials reported modest improvements in depressive symptoms in testosterone-treated men compared to placebo-treated  men (403),  but there is no convincing evidence that testosterone treatment can induce remission in men with major depressive  disorder (404). Two small trials in men with dysthymia have reported greater improvements in depressive symptoms in testosterone-treated men than in placebo-treated men (405,406). Adequately powered long-term randomized trials are needed to determine whether testosterone replacement therapy can induce remission in older hypogonadal men with late-onset, low grade persistent depressive disorder (dysthymia).  

 

There is anecdotal evidence that androgens improve energy and reduced sense of fatigue (407). Testosterone administration increases hemoglobin and red cell mass, stimulates 2, 3 DPG concentrations thereby shifting the oxygen – hemoglobin dissociation curve favorably to improve greater oxygen delivery, and induces muscle capillarity (322,408,409). Additionally, testosterone stimulates mitochondrial biogenesis and mitochondrial quality (410). All of these adaptations would be expected to improve net oxygen delivery to the muscle, improve aerobic performance, and reduce fatigability. The effects of testosterone on fatigue and vitality have been studied in some randomized trials. Endogenous levels of total and free testosterone are not significantly associated with vitality in older hypogonadal men with sexual dysfunction, diminished vitality, and/or mobility limitation (114). In the Vitality Trial of the TTrials, testosterone treatment for 1-year did not improve vitality in older men with low vitality measured using the Functional Assessment of Chronic Illness Therapy (FACIT)-scale but men receiving testosterone did report a small but statistically significant improvement in mood.  These findings are consistent with other randomized controlled studies (23,171,190), showing no clear benefit on fatigue and health-related quality of life with testosterone therapy.

 

Supraphysiologic doses of androgenic steroids such as those abused by athletes and recreational bodybuilders have been associated with aggressive responses to provocative situations (411), increased scores on Young’s manic scale, and with affective and psychotic disorders in some individuals (412); these adverse effects have not been reported with physiologic testosterone replacement.

By improving some aspects of physical and sexual function, testosterone supplementation might be expected to improve health-related quality of life. However, only a few small trials have evaluated the effects of testosterone on health-related quality of life. A systematic review of a small number of randomized trials has not revealed a significant improvement in composite health-related quality of life scores, but testosterone therapy improves scores on the physical component of MOS SF-36 (16,159). 

 

Risks of Testosterone Administration in Older Men

 

Short-term testosterone administration in healthy, young, androgen-deficient men with classical hypogonadism is associated with a low frequency of relatively mild adverse effects such as acne, oiliness of skin, and breast tenderness. However, the long-term risks of testosterone supplementation in older men are largely unknown. There are several unique considerations in older men that may increase their risks of testosterone administration. Serum total and free testosterone concentrations are higher in older men than young men at any dose of testosterone therapy, due to decreased testosterone clearance in older men (61). Older men exhibit greater increments in hemoglobin and hematocrit in response to testosterone administration than young men (321), adjusting for testosterone dose. Altered responsiveness of older men to testosterone administration might make them susceptible to a higher frequency of adverse events, such as erythrocytosis, or to unique adverse events not observed in young hypogonadal men. The baseline prevalence of disorders such as prostate cancer, benign prostatic hypertrophy, and cardiovascular disease that might be exacerbated by testosterone administration is high in older men; therefore, small changes in risk in either direction could have enormous public health impact. Furthermore, the clustering of co-morbid conditions in the frail elderly might render these men more susceptible to the adverse effects of testosterone therapy than healthy young hypogonadal men.

 

The contraindications for testosterone administration include history of prostate or breast cancer (16). Benign prostatic hypertrophy by itself is not a contraindication, unless it is associated with severe symptoms, as indicated by IPSS symptom score of greater than 21. Testosterone should not be given without prior evaluation and treatment to men with baseline hematocrit greater than 50%, severe untreated sleep apnea, or congestive heart failure with Class III or IV symptoms (16). Testosterone suppresses spermatogenesis and should not be prescribed to men who are considering having a child in the near future.  

 

The risks of testosterone administration include acne, oiliness of skin, erythrocytosis, induction or exacerbation of sleep apnea, leg edema, transient breast tenderness or enlargement, and reversible suppression of baseline spermatogenesis (16) (Table 2). Abnormalities of liver enzymes, hepatic neoplasms, and peliosis hepatis that have been reported previously with orally administered, 17-alpha alkylated androgens, have not been observed with replacement doses of transdermal or injectable testosterone formulations. The two major areas of concern and uncertainty are the effects of long-term testosterone administration on prostate cancer and major adverse cardiovascular events.

 

Table 2. Potential Adverse Effects of Testosterone Replacement in Older Men

Adverse Events for Which There is Evidence of Association with Testosterone Administration

1.         Erythrocytosis

2.         Acne and oily skin

3.         Detection of subclinical prostate cancer

4.         Growth of metastatic prostate cancer

5.         Reduced sperm production and fertility

Potential Adverse Events for Which There is Weak Evidence of Association with Testosterone Administration

1.         Gynecomastia

2.         Male pattern balding (familial)

3.         Growth of breast cancer

4.         Induction of worsening of obstructive sleep apnea

Formulation Specific Adverse Effects

1.     1.         Oral Tablets (not recommended)

·                          - Effects on liver enzymes and HDL cholesterol (methyltestosterone)

1.     2.          Pellet Implants

¨                        -. Infection, extrusion of pellet

2.     3.          Intramuscular Injections

¨                         - Fluctuations in mood or libido

¨                         - Pain at injection site

¨                         - Coughing episodes immediately after injection

3.     4.          Transdermal Patches

¨                         - Skin reaction at the patch application site

4.     5.          Transdermal Gel

¨                         - Potential risk of transference to partner

¨                         - Skin irritation and odor at application site

¨                         - Stickiness, slow drying, dripping

5.     6.           Buccal Testosterone Tablets

¨                         - Alterations in taste

¨                         - Irritation of gums

Adapted with permission from the Endocrine Society Guideline for Testosterone Therapy in Men with Hypogonadism in: Bhasin et al J Clin Endocrinol Metab 2018;103(5):1715-1744.

 

TESTOSTERONE EFFECTS ON THE RISK OF ATHEROSCLEROTIC HEART DISEASE       

 

The long-term consequences of testosterone supplementation on the risk of heart disease remain unknown and have been the subject of debate (145,413-417). Some known effects of testosterone such as increase in hematocrit, suppression of plasma HDL cholesterol, and salt and water retention, might be expected to increase cardiovascular risk. Some other effects such as testosterone’s vasodilator effect on coronary arteries resulting in increased coronary blood flow, reduction of whole body and abdominal fat mass, and improved brachial reactivity might be perceived as beneficial. Testosterone’s effects on coagulation are complex; testosterone administration is associated with stimulation of both anti-coagulant and pro-coagulant proteins.

 

Androgen Effects on Plasma Lipids 

 

Cross-sectional studies of middle-aged men found a positive relationship between serum testosterone levels and plasma HDL-cholesterol concentrations (415,418-421). Lower testosterone levels in men are associated with higher levels of dense LDL particles (418), triglycerides (421,422) and prothrombotic factors (423).

 

The effects of androgen supplementation on plasma lipids depend on the dose, the route of administration (oral or parenteral), the type of androgen (aromatizable or not), and the subject population (whether young or old, and hypogonadal or not). Supraphysiological doses of testosterone and non-aromatizable androgens frequently employed by bodybuilders undoubtedly decrease plasma HDL-cholesterol levels (424-427). However, administration of replacement doses of testosterone in older men has been associated with only a modest decrease or no change in plasma HDL-cholesterol (16,22,23,25,184,186-189,428-430), and without a significant effect on cholesterol efflux capacity from macrophages (431), suggesting preserved HDL function.

 

Androgens and Other Cardiovascular Risk Factors 

 

Cross-sectional studies have found a positive association between circulating testosterone concentrations and tissue plasminogen activator activity (432), and a negative relationship between testosterone and plasminogen activator inhibitor-1 activity, fibrinogen, and some other prothrombotic factors (432), suggesting an antithrombotic effect of testosterone. However, testosterone increases hematocrit (433), as well as neutrophil, monocyte and platelet counts (434). In men, higher neutrophil counts – even within the normal range - are associated with cardiovascular disease (435). Similarly, higher monocyte counts within the normal range have been suggested as a risk-factor for coronary artery plaque formation and cardiovascular mortality (436). Additionally, testosterone administration increases thromboxane A2 receptor density on human platelets, increasing platelet aggregability ex vivo (437,438). Observational studies have not found a consistent relationship between testosterone treatment and the risk of venous thromboembolism (439-443), although one study reported a small increase in VTE risk in the first few months after starting testosterone treatment (439).

 

Cross-sectional studies have reported conflicting findings on the association of endogenous testosterone levels and inflammatory markers (444-449). Intervention trials of testosterone generally have not found a significant effect of testosterone on inflammatory markers (430,450). Even supraphysiological doses of testosterone have been found not to affect C-reactive protein (451). Similarly, a prospective cohort study did not find meaningful changes in inflammatory markers in men with prostate cancer receiving androgen deprivation therapy (452).

 

Androgens and Coronary Artery Disease 

 

Whether variation of testosterone within the normal range is associated with risk of coronary artery disease remains controversial. Of the 30 cross-sectional studies reviewed by Alexandersen (145), 18 reported lower testosterone levels in men with coronary heart disease, 11 found similar testosterone levels in controls and men with coronary artery disease and 1 found higher levels of DHEAS. Prospective studies have failed to reveal an association of total testosterone levels and coronary artery disease (146-150,453-455). The common carotid artery intimal media thickness, a marker of generalized atherosclerosis, is negatively associated with circulating testosterone levels (150).

 

One interventional study (456), reported that testosterone undecanoate given orally improved angina pectoris in men with coronary heart disease. Testosterone infusion acutely improves coronary blood flow in a canine model and in men with coronary artery disease (457-463). Short-term administration of testosterone induces a beneficial effect on exercise-induced myocardial ischemia in men with coronary artery disease (462). This effect may be related to a direct vasodilator effect of testosterone on the coronary arteries resulting in increased coronary blood flow. Testosterone replacement has been shown to increase the time to 1-mm ST-segment depression (460). However, in another study, there were no differences between the placebo or testosterone groups in peak heart rate, systolic blood pressure, maximal rate pressure product, perfusion imaging scores, or the onset of ST-segment depression (462). Yue et al (463) reported that testosterone induces endothelium-independent relaxation of rabbit coronary arteries via potassium conductance. Testosterone is a potent vasodilator; it induces nitric oxide synthesis in human aortic endothelial cells in vitro (464). Testosterone has been shown to be an inhibitor of L-type Ca2+ channel. In human cells transfected with α1C subunit of the human cardiovascular L-type Ca2+ channel, testosterone inhibits these calcium channels with a potency that is similar to that of dihydropyridine calcium channel blockers (465).

 

Effects of Testosterone Supplementation on Atherosclerosis Progression

 

In some animal models, orchiectomy accelerates and testosterone administration retards atherogenesis progression (466). The protective effect of testosterone on aortic atherogenesis in this preclinical model is mediated through its conversion to estradiol by the CYP19A1 in the blood vessel wall (466).

 

Two large placebo-controlled trials have evaluated the effects of testosterone treatment on atherogenesis progression in middle-aged and older men. The Testosterone’s Effects on Atherosclerosis Progression in Aging Men (TEAAM) Trial determined the effects of testosterone therapy on progression of subclinical atherosclerosis in the common carotid artery using sonographic measurement of common carotid artery intima-media thickness (CCA-IMT) and the coronary artery calcium scores measured using MDCT. The participants in the TEAAM Trial were 308 men, 60 years and older, with total testosterone between 100 and 400 ng/dL or free testosterone below 50 pg/mL (23). Men were randomized to receive either 75 mg of transdermal testosterone gel or placebo gel daily and received for 3 years. Neither the progression of CCA-IMT nor coronary artery calcium scores differed between the men randomized to the testosterone and placebo groups (Figure 12) (23).

Figure 12. Effects of testosterone administration on atherosclerosis progression. Panels A and B show data from the TEAAM trial (Basaria et al. JAMA. 2015;314(6):570-81; figure reproduced with permission from JAMA) Panel C shows data from the Cardiovascular Trial of the TTrials (data from Budoff et al. JAMA. 2017;317(7):708-716; figure adapted from Gagliano-Jucá & Basaria, Asian J Androl. 2018;20(2):131-137).

In the cardiovascular trial of the TTrials, 138 men with serum total testosterone below 275 ng/dL received either testosterone gel or placebo gel for one year and were evaluated by coronary computed tomographic angiography for progression of non-calcified and calcified coronary artery plaque volume, as well as coronary artery calcium score (467). Consistent with the findings of the TEAAM Trial, the changes in coronary artery calcium scores did not differ between the testosterone and placebo groups over one year of intervention. However, the increase in non-calcified plaque volume (primary endpoint) was significantly greater in men assigned to the testosterone arm than in those assigned to placebo arm (Figure 12) (467); there were baseline differences in non-calcified plaque volume between the two groups. The clinical implications of these findings to cardiovascular risk remain to be established.

 

Testosterone and Cardiac Arrhythmias

 

Testosterone has important effects in cardiac electrophysiology (468); it increases potassium currents derived from the human ether-a-go-go related gene (hERG) (469), and inhibits the depolarizing delayed calcium current (ICaL) (470), with its effects on ICaL being more meaningful than on hERG (471). These effects lead to shortening of ventricular cardiomyocyte repolarization time, which can be seen in the electrocardiogram as shortening of the heart-rate corrected QT interval (QTc). Indeed, cross-sectional studies have observed a negative association between serum testosterone levels and QTc duration (472). Additionally, in randomized trials of testosterone replacement to men with low testosterone levels, testosterone treatment shortened QTc duration in community-dwelling older men (473) and in men with chronic heart failure (474). Similarly, in a prospective cohort study, androgen deprivation therapy in men with prostate cancer was associated with QTc prolongation compared with men with prostate cancer not receiving the therapy (475). As QTc prolongation is associated with an increased risk of ventricular tachyarrhythmias (torsades de pointes) and sudden cardiac death (476-478), it is not surprising that androgen deprivation therapy is associated with a higher risk of arrhythmia, cardiac conduction disturbances and sudden death (479,480). A small case series study and analysis of the European pharmacovigilance database concluded that “conditions or drugs leading to male hypogonadism were associated with torsades de pointes”, and “correction of hypogonadism with testosterone replacement therapy can treat or prevent torsades de pointes” (481).

 

Cross-sectional studies have also linked low androgen levels in men to an increased risk of atrial fibrillation (482-484), and normalization of testosterone levels with testosterone replacement is associated with a decreased incidence of atrial fibrillation compared with untreated hypogonadal men (485). These findings need corroboration in randomized trials.

 

The Effects of Testosterone on Major Adverse Cardiovascular Events (MACE)

 

To-date, no randomized trials have been large enough or of sufficiently long duration to determine the effects of testosterone treatment on MACE (416). The frequency of MACE reported in randomized testosterone trials has been low—even lower than that expected for the age and comorbid conditions of the participants (18,486,487). A randomized trial of testosterone in older men (The TOM Trial) with mobility limitation was stopped early due to a higher frequency of cardiovascular-related events in men assigned to testosterone than in those assigned to placebo (22), heightening concern about the cardiovascular safety of testosterone in frail older men. In contrast to many other testosterone trials in older men, which recruited relatively healthy older men, the participants in the TOM trial had a high prevalence of chronic conditions, such as heart disease, diabetes mellitus, obesity, hypertension, and hyperlipidaemia (22). Men, 75 years of age or older, and men with high on-treatment testosterone levels seemed to be at the greatest risk of cardiovascular-related events. In secondary analyses, these events were found to be associated with changes in serum free testosterone and estradiol levels (488). The dose of testosterone used in the TOM trial was higher than that used in some previous trials, but not dissimilar from or lower than that used in some other trials. The cardiovascular events were small in number and of variable clinical significance. The TOM trial was not designed for cardiovascular events; therefore, the cardiovascular events were not a pre-specified endpoint, and were not collected in a standardized manner, nor adjudicated prospectively. Additionally, many of the cardiovascular events were not MACE.

 

The higher cardiovascular adverse event incidence in testosterone-treated older men observed in the TOM trial was not reproduced in two larger trials of longer duration published more recently; in the TEAAM trial, the incidence of major adverse cardiac events throughout the 3 years of intervention was similar between groups (23). Similarly, in the TTrials, the number of MACE (myocardial infarction, stroke or death related to cardiovascular disease) during the one year of treatment was similar in the two groups, with seven men in each group experiencing an event (26). The number of MACE in the TEAAM and Ttrials were too few to permit strong inferences on the effects of testosterone treatment on MACE.

 

The Hormonal Regulators of Muscle and Metabolism in Aging (HORMA) trial reported a significantly greater increase in blood pressure in men treated with testosterone than in those treated with placebo (489). Testosterone administration causes salt and water retention (490), which can induce edema and worsen pre-existing heart failure.

 

Several meta-analyses of randomized testosterone trials have been published (413,486,487,491,492); however, these meta-analyses are limited by the small size of most trials, heterogeneity of study populations, poor quality of adverse-event reporting, and short treatment duration in many trials. None of the testosterone trials to date was sufficiently powered to adequately assess safety outcomes. The rigor of adverse-event reporting varied greatly among studies. The MACE was not ascertained rigorously nor adjudicated in most trials except in the TTrials.

 

The meta-analyses of randomized testosterone trials (487,491-494) and retrospective analyses of electronic medical records data (495-498) have also yielded inconsistent findings. These meta-analyses and pharmacovigilance studies have suffered from many limitations that are inherent in retrospective analysis of electronic medical records data. These studies included heterogeneous populations, and differed in the duration of intervention and study design. They used variable definitions and ascertainment of cardiovascular outcomes. The cardiovascular events were not prespecified, not collected prospectively and were not adjudicated. Treatment indications, treatment regimens, on-treatment testosterone levels and exposure differed among studies. These studies also suffered from a potential for residual confounding in that the patients assigned to testosterone therapy differed from comparators in baseline cardiovascular risk factors. Because of these inherent limitations and inconsistency of findings, these epidemiologic studies do not permit strong inferences about the relation between testosterone therapy and mortality and cardiovascular outcomes.

 

Synopsis of the Effects of Testosterone on Cardiovascular Risk 

 

The long-term effects of testosterone replacement therapy on MACE remain unknown. The FDA conducted an extensive review and concluded “the studies...have significant limitations that weaken their evidentiary value for confirming a causal relationship between testosterone and adverse cardiovascular outcomes”. Nevertheless, the FDA directed the pharmaceutical companies to add in the drug label information about a possible increased risk of cardiovascular events with testosterone use. An independent review conducted by the European Medicines Agency also found no consistent evidence of an increased risk of coronary heart disease associated with testosterone treatment of hypogonadal men. Long-term randomized trials of the effects of testosterone replacement on MACE are needed and are particularly important because even small changes in incidence rates could have significant public health impact.

 

A large randomized, placebo-controlled trial to study the effects of testosterone replacement therapy on the incidence of major adverse cardiovascular events in men 45 to 80 years of age with low testosterone levels and one or more symptoms of testosterone deficiency, who are at increased risk for cardiovascular events is currently underway (The TRAVERSE Trial, NCT03518034). The intervention duration is up to 5 years in this trial of over 6,000 men. The efficacy outcomes include adjudicated clinical fractures, remission of low-grade persistent depressive disorder (dysthymia), progression from pre-diabetes to diabetes, correction of anemia, and overall sexual activity, sexual desire, and erectile function. This randomized, placebo-controlled trial offers an historical opportunity to advance our understanding of the cardiovascular safety and long-term efficacy of testosterone replacement in middle-aged and older hypogonadal men.

 

TESTOSTERONE, DIA

Figure 13. Circulating Concentrations of SHBG, but not total or free testosterone, were associated prospectively with risk of incident diabetes in the Massachusetts Male Aging Study (MMAS). In a prospective analysis of data from the Massachusetts male Aging Study, total testosterone (left panel) and free testosterone (middle panel) were not associated significantly with risk of incident diabetes. Only SHBG concentrations were associated with incident diabetes in longitudinal analysis. Reproduced with permission from Lakshman et al J Gerontol A Biol Sci Med Sci. 2010;65(5):503-9.

 

BETES, AND METABOLIC SYNDROME      

 

Spontaneous (156) and experimentally induced (222) androgen deficiency is associated with increased fat mass, and testosterone replacement decreased fat mass in older men with low testosterone levels (16). In epidemiologic studies, low testosterone levels are associated with higher levels of abdominal adiposity (499,500). Testosterone administration promotes the mobilization of triglycerides from the abdominal adipose tissue in middle-aged men (501). Surgical castration in rats impairs insulin sensitivity; physiologic testosterone replacement reverses this metabolic derangement (502). However, high doses of testosterone impair insulin sensitivity in castrated rats (502), suggesting a biphasic relationship in which both low and high testosterone levels impair insulin resistance. Androgens increase insulin-independent glucose uptake (503) and modulate LPL activity in a region-specific manner (504).

 

Testosterone levels are lower in men with type 2 diabetes mellitus compared with controls (505-510). Low total testosterone levels have been associated with lower insulin sensitivity (505,511) and increased risk of type 2 diabetes mellitus and metabolic syndrome in community dwelling men both cross-sectionally and longitudinally (508-510,512-520). However, the association of free testosterone and type 2 diabetes mellitus has been inconsistent; some studies have reported a weak relationship (509,510,512) while others have failed to find any relationship (508,514). Circulating sex hormone binding globulin (SHBG) and some SHBG polymorphisms also have been associated negatively with the risk of type 2 diabetes (508-510,512-516,521-524). For instance, individuals with the rs6257and rs179994 variant alleles of the SHBG single nucleotide polymorphism (SNP) have lower plasma SHBG levels and a higher risk of type 2 diabetes (521-524). Similarly, individuals with the rs6259 variant have higher SHBG levels and lower type 2 diabetes risk (524). We performed longitudinal analyses of men participating in the Massachusetts Male Aging Study (525), a population-based study of men aged 40-70 years (Figure 13) to evaluate whether SHBG is an independent predictor of T2DM (526). After adjustment for age, body mass index, hypertension, smoking, alcohol intake and physical activity, the hazard ratio  for incident type 2 diabetes was 2.0 for each one SD decrease in SHBG and 1.29 for each one SD decrease in total testosterone (525). Free testosterone was not significantly associated with type 2 diabetes. The strong association of T2DM risk with SHBG persisted even after additional adjustment for free testosterone. The association of SHBG polymorphisms with type 2 diabetes suggests a potential role of SHBG in the pathogenesis of type 2 diabetes. In a Mendelian randomization analysis of the UK Biobank data, genetically determined free testosterone levels were associated with the risk of type 2 diabetes mellitus in a sexually dimorphic manner after adjusting for SHBG levels; men with low genetically determined free testosterone levels had increased risk of type 2 diabetes while women with low genetically determined free testosterone levels had reduced risk of type 2 diabetes (527).

Figure 13. Circulating Concentrations of SHBG, but not total or free testosterone, were associated prospectively with risk of incident diabetes in the Massachusetts Male Aging Study (MMAS). In a prospective analysis of data from the Massachusetts male Aging Study, total testosterone (left panel) and free testosterone (middle panel) were not associated significantly with risk of incident diabetes. Only SHBG concentrations were associated with incident diabetes in longitudinal analysis. Reproduced with permission from Lakshman et al J Gerontol A Biol Sci Med Sci. 2010;65(5):503-9.

HbA1c levels did not differ between groups. Homeostasis model assessment of insulin resistance (HOMA-IR), a marker of insulin resistance, improved modestly in men who were assigned to testosterone compared with placebo (532). Dhindsa et al reported improvement of insulin sensitivity with testosterone replacement for 24 weeks in hypogonadotropic hypogonadal men with type 2 diabetes (511). Overall, studies have failed to show improvements in diabetes outcomes or consistent changes in measures of insulin sensitivity (18,430,451,532-536) even though interventional trials have found a consistent reduction in whole body fat as well as abdominal fat (18,123,343). Indeed, in the TEAAM trial, 3 years of testosterone supplementation decreased fat mass in community-dwelling older men with low or low-normal serum testosterone concentrations, but did not improve insulin sensitivity (Figure 14) (537). The T4DM trial, one of the largest testosterone trials conducted to-date, evaluated the effects of 2 years of testosterone treatment in men aged 50 to 74 years with impaired glucose tolerance or newly diagnosed type 2 diabetes and a serum testosterone concentration below 404 ng/dL enrolled in a lifestyle program. Compared to placebo, testosterone treatment in conjunction with a life style program was associated with a lower proportion of participants with type 2 diabetes (538). It is important to note, however, that the men enrolled in the T4DM trial were not hypogonadal.

Figure 14. Long-term effects of testosterone therapy on insulin sensitivity in older men. Change in insulin sensitivity over time measured by the octreotide insulin suppression test and estimated as the mean concentration of glucose at equilibrium (SSPG). Figure adapted from Huang et al. J Clin Endocrinol Metab. 2018;103(4):1678-1685.

TESTOSTERONE AND PROSTATE RISK      

 

There is no evidence that testosterone causes prostate cancer (539). A retrospective analysis of the Registry of Hypogonadism in Men (RHYME) (540) and several meta-analyses of randomized controlled trials (486,541,542) did not find an increased risk of prostate cancer in men receiving testosterone. Also, there is no consistent relationship between endogenous serum testosterone levels and the risk of prostate cancer (16,18,123,343,542-545). A meta-analyses of prospective cohort studies did not find a significant association between endogenous total testosterone levels and prostate cancer (542). Conversely, an analysis of 20 prospective studies found that men in the lowest tenth of free testosterone concentration had a lower risk of prostate cancer (OR=0.77, 95%CI= 0.69 to 0.86; p<0.001) compared with men with higher concentrations (545). Similarly, in the male participants in the UK Biobank followed for a mean of 6.9 years, higher genetically determined free testosterone was associated with a higher risk of prostate cancer, while total testosterone was not associated with prostate cancer risk (Figure 15) (546). The men with Klinefelter Syndrome have lower risk of prostate cancer than the general population. Taken together, these data suggest that life-long exposure to testosterone treatment in hypogonadal men could potentially increase the risk of prostate cancer.

Figure15. Mendelian Randomization: Genetically Determined Bio-Testosterone Associated with Increased Prostate Cancer Risk. Legend: UK Biobank Study: Genetic determinants of bioavailable testosterone were positively associated with risk of prostate cancer in men and ER+ breast cancer and endometrial cancer in women. Reproduced with permission from: Ruth KS, et al. Nat Med. 2020;26(2):252‐258.

Prostate cancer is an androgen–dependent tumor, and testosterone treatment is known to promote the growth of metastatic prostate cancer (544,547). Testosterone administration has been historically contraindicated in men with history of prostate cancer (16,543). The prevalence of subclinical, microscopic foci of prostate cancer in older men is high (548-555). There is concern that testosterone administration might make these subclinical foci of cancer grow and become clinically overt. In addition, older men with low testosterone levels may have prostate cancer (556,557). Morgentaler et al (556,557) reported a high prevalence of biopsy-detectable prostate cancer in men with low total or free testosterone levels despite normal PSA levels and normal digital rectal examinations. However, this study did not have a control group, and we do not know whether sextant biopsies of age-matched controls with normal testosterone levels would yield a similarly high incidence of biopsy-detectable cancer. Therefore, this study should not be interpreted to conclude that there is a higher prevalence of prostate cancer in older men with low testosterone levels, or that low testosterone levels are an indication for performing prostate biopsy.

 

Effects of Testosterone Therapy on Prostate Events

 

None of the testosterone trials in middle-aged or older men had sufficient power or intervention duration to detect meaningful differences in the incidence of prostate cancer between testosterone and placebo-treated men. Testosterone treatment of hypogonadal men increases PSA levels (16,558), which may lead to urological referral for prostate biopsy. A systematic review of randomized testosterone trials in middle-aged and older men found (413) that men treated with testosterone in clinical trials were at significantly higher risk for undergoing prostate biopsy than placebo-treated men (413). Because of the high prevalence of subclinical prostate cancer in older men, the higher number of prostate biopsies in testosterone-treated men could lead to increased detection rates of subclinical prostate cancer in comparison with placebo-treated men. Thus, testosterone therapy of middle-aged and older men is associated with a higher risk of prostate biopsy and a bias towards detection of a higher number of prostate events (18,413).

 

Administration of exogenous testosterone or suppression of circulating levels of testosterone by administration of a GnRH antagonist is not associated with proportionate changes in intra-prostatic testosterone or DHT concentrations. For instance, in a randomized controlled trial, Marks et al (559) measured intraprostatic testosterone and DHT levels in older men treated with placebo or testosterone. Surprisingly, intraprostatic DHT concentrations were not significantly higher in testosterone-treated men than in placebo-treated men (559). Similarly, the expression levels of androgen-dependent genes in the prostate were not significantly altered by testosterone administration (559). In separate studies, lowering of circulating testosterone levels by administration of a GnRH antagonist was not associated with changes in intraprostatic androgen concentrations (560,561).  

 

Effects of Testosterone Replacement on Serum PSA Levels

 

Serum PSA levels are lower in androgen–deficient men and are restored to normal following testosterone replacement (16,558,562-570). Lowering of serum testosterone concentrations by withdrawal of androgen therapy in young, hypogonadal men is associated with a decrease in serum PSA levels. Similarly, treatment of men with benign prostatic hyperplasia with a 5-alpha reductase inhibitor, finasteride, is associated with a significant lowering of serum and prostatic PSA levels (570,571). However, serum PSA levels do not increase progressively in healthy hypogonadal men with replacement doses of testosterone. The increase in PSA levels during testosterone replacement might trigger evaluation and biopsy in some patients (16,543).

 

More intensive PSA screening and follow-up of men receiving testosterone replacement might lead to an increased number of prostate biopsies and the detection of subclinical prostate cancers that would have otherwise remained undetected (16,543). Serum PSA levels tend to fluctuate when measured repeatedly in the same individual over time (572-574). There is considerable test-retest variability in PSA measurements (572-574). Some of this variability is due to the inherent assay variability, and a significant portion of this variability is due to unknown factors. Fluctuations are larger in men with high mean PSA levels. Variability can be even greater if measurements are performed in different laboratories that use dissimilar assay methodology (572-574).

 

An important issue is what increment in PSA level should warrant a prostate biopsy in older men receiving testosterone replacement. To address this issue, we conducted a systematic review of published studies of testosterone replacement in hypogonadal men (543). This review indicated that the weighted effect size of the change in PSA after testosterone replacement in young, hypogonadal men is 0.68 standard deviation units (95% confidence interval 0.55 to 0.82). This means that the effect of testosterone replacement therapy is to increase PSA levels by an average 0.68 standard deviations over baseline. Because the average standard deviation was 0.47 in this systematic analysis, the standard deviation score of 0.68 translates into an average increase in serum PSA levels of about 0.30 ng/ml in young hypogonadal men (543). The average change in serum PSA levels after testosterone replacement in studies of older men was 0.43 ng/mL (543). The data from the Proscar Long-Term Efficacy and Safety Study (PLESS) demonstrated that the 90% confidence interval for the change in PSA values measured 3 to 6 months apart is 1.4 ng/mL (570). Therefore, a change in PSA of >1.4 ng/ml between any two values measured 3 to 6 month apart in the same patient is unusual (16,543).  In the TTrials, 2.4% of men receiving testosterone had increases above 1.4 ng/mL at 3 months, and 4.7% at 12 months (26).

 

Carter et al, based on the analysis of PSA data from the Baltimore Longitudinal Study of Aging, reported that PSA velocity, defined as the annual rate of change of PSA, is different in men who develop prostate cancer than in those who do not (575-577). Thus, PSA velocity greater than 0.7 ng/ml/year was unusual in men without prostate cancer whose baseline PSA was between 4 and 10 ng/ml (575-577). However, most men being considered for testosterone replacement will have baseline PSA less than 4 ng/ml. In a subsequent analysis, the same group reported that the PSA velocity in men with baseline PSA between 2 and 4 ng/ml was 0.2 ng/ml/year (577). Because test-to-retest variability in PSA measurement is far greater than this threshold, it is likely that the use of this threshold of 0.2 ng/ml/year to select men for prostate biopsy would lead to many unnecessary biopsies.

 

In eugonadal, young men, administration of supraphysiological doses of testosterone does not further increase serum PSA levels (166,169,578). These data are consistent with dose response studies in young men that demonstrate that maximal serum concentrations of PSA are achieved at testosterone levels that are at the lower end of the normal male range; higher testosterone concentrations are not associated with higher PSA levels (166,169).

 

In summary, these data suggest that the administration of replacement doses of testosterone to androgen-deficient men can be expected to produce a modest increment in serum PSA levels. Increments in PSA levels after testosterone supplementation in androgen-deficient men are generally less than 0.5 ng/mL and increments in excess of 1.4 ng/mL over a 3–6-month period are unusual. Nevertheless, administration of testosterone to men with baseline PSA levels between 2.6 and 4.0 ng/mL will cause PSA levels to exceed 4.0 ng/mL in some men. Increments in PSA levels above 4 ng/mL will trigger a urological consultation and many of these men will be asked to undergo prostate biopsies. However, considering the controversy over prostate cancer screening and monitoring, the decision to monitor PSA levels during testosterone treatment and the decision to refer a patient for consideration of prostate biopsy should be made only after informing him of the risks and benefits of prostate cancer screening and monitoring and engaging the patient in a shared decision-making process.

 

Monitoring PSA Levels in Older Men Receiving Testosterone Replacement (Tables 3 and 4)

 

Older men considering testosterone supplementation should undergo evaluation of risk factors for prostate cancer; the Endocrine Society guideline suggest a baseline PSA measurement and a digital prostate examination (16). Prostate cancer screening has some risks; therefore, initiation of prostate monitoring should be a shared decision, made only after a discussion of the risks and benefits of prostate cancer monitoring. Men with history of prostate cancer, should not be given androgen supplementation and those with palpable abnormalities of the prostate or PSA levels greater than 3 ng/ml should undergo urological evaluation. After initiation of testosterone replacement therapy, PSA levels should be repeated at 3 months and annually thereafter (16). Although measurements of free PSA and PSA density have been proposed to enhance the specificity of PSA measurement, long term data, especially from studies of testosterone replacement in older men, are lacking. Considering the interassay variability and the longitudinal change in PSA previously discussed, an Endocrine Society Expert Panel recently suggested that men receiving testosterone replacement should be referred to urological consultation if: 1) PSA increases more than 1.4 ng/mL in the first 12 months of treatment; 2) a PSA above 4 ng/mL is confirmed; or 3) a prostatic abnormality is detected on digital rectal examination (16). After 12 months of treatment, prostate monitoring should follow standard guidelines for prostate cancer screening taking into account the age and race of the patient (16).

 

Table 3. Recommendations for Monitoring of Men Receiving Testosterone Therapy

A. Explain the potential benefits and risks of monitoring for prostate cancer and engage the patient in shared decision making regarding the prostate monitoring plan.

B. Evaluate the patient at 3–12 months after treatment initiation and then annually to assess whether symptoms have responded to treatment and whether the patient is suffering from any adverse effects

C. Monitor testosterone concentrations 3–6 months after initiation of therapy:

·       --Therapy should aim to raise testosterone into the mid-normal range.

·       --Injectable testosterone enanthate or cypionate: measure testosterone midway between injections. If midinterval T is >600 ng/dL (24.5 nmol/L) or <350 ng/dL (14.1 nmol/L), adjust dose or frequency.

·       --Transdermal gels: assess testosterone 2–8 h following the gel application, after the patient has been on treatment for at least 1 week; adjust dose to achieve testosterone in the mid-normal range.

·       --Transdermal patches: assess testosterone 3–12 h after application; adjust dose to achieve concentration in the mid-normal range.

·       --Buccal T bioadhesive tablet: assess concentrations immediately before or after application of fresh system.

·       --Testosterone pellets: measure concentrations at the end of the dosing interval. Adjust the number of pellets and/or the dosing interval to maintain serum T concentrations in the mid-normal range.

·       --Oral T undecanoate: monitor serum T concentrations 3–5h after ingestion with a fat-containing meal.

·       --Injectable testosterone undecanoate: measure serum T levels at the end of the dosing interval just prior to the next injection and aim to achieve nadir levels in low-mid range.

D. Check hematocrit at baseline, 3–6 months after starting treatment, and then annually. If hematocrit is >54%, stop therapy until hematocrit decreases to a safe level; evaluate the patient for hypoxia and sleep apnea; reinitiate therapy with a reduced dose.

E. Measure BMD of lumbar spine and/or femoral neck after 1–2 year of testosterone therapy in hypogonadal men with osteoporosis, consistent with regional standard of care.

F. For men 55–69 years of age and for men 40–69 years of age who are at increased risk for prostate cancer who choose prostate monitoring, perform digital rectal examination and check PSA level before initiating treatment; check PSA and perform digital rectal examination 3–12 months after initiating testosterone treatment, and then in accordance with guidelines for prostate cancer screening depending on the age and race of the patient.

G. Obtain urological consultation if there is:

·       An increase in serum PSA concentration.1.4 ng/mL within 12 months of initiating testosterone treatment

·       A confirmed PSA > 4 ng/mL at any time

·       Detection of a prostatic abnormality on digital rectal examination

·       Substantial worsening of lower urinary tract symptoms

Adapted with permission from the Endocrine Society Guideline for Testosterone Therapy in Men with Hypogonadism in: Bhasin et al J Clin Endocrinol Metab 2018;103(5):1715-1744.

 

Table 4. Indications for Urological Consultation in Men Receiving Testosterone Replacement

1.     1) An increase in serum or plasma PSA concentration >1.4 ng/mL within any 12-month period after initiating testosterone treatment

2.     2) A PSA >4.0 ng/mL

3.     3) Detection of a prostatic abnormality on digital rectal examination

4.     4) An AUA/IPSS prostate symptom score of >19

Adapted with permission from the Endocrine Society Guideline for Testosterone Therapy in Men with Hypogonadism in: Bhasin et al J Clin Endocrinol Metab 2018;103(5):1715-1744.

 

Testosterone and Benign Prostatic Hypertrophy  

 

Testosterone replacement can be administered safely to men with benign prostatic hypertrophy who have mild to moderate symptom scores. The severity of symptoms associated with benign prostatic hypertrophy can be assessed by using either the International Prostate Symptom Score (IPSS) or the American Urological Association (AUA) Symptom questionnaires. Androgen deficiency is associated with decreased prostate volume and androgen replacement increases prostate volume compared to  age–matched controls (559,562,566,567). Meta-analyses of testosterone trials have not found statistically significant difference in lower urinary tract symptoms scores in hypogonadal men receiving testosterone replacement compared to placebo (Figure 16) (256,579). However, in patients with pre–existing, severe symptoms of benign prostatic hypertrophy, even small increases in prostate volume during testosterone administration may exacerbate obstructive symptoms. In these men, testosterone should either not be administered or administered with careful monitoring of obstructive symptoms.

Figure 16. Adverse events associated with testosterone therapy in randomized trials. The relative risk and 95% CI for development of erythrocytosis (RR= 8.14; 95%CI= 1.87 to 35.40) and lower urinary tract symptoms (LUTS; RR= 0.38; 95%CI= -0.67 to 1.43) in randomized testosterone trials derived from meta-analyses published by Ponce et al., 2018 are shown. The figure was adapted with permission from Ponce et al. J Clin Endocrinol Metab. 2018;103(5):1745-54.

ERYTHROCYTOSIS

 

Testosterone replacement is associated with increased red cell mass and hemoglobin levels (Figure 16) (256,329,580-585). Therefore, testosterone replacement should not be administered to men with baseline hematocrit of 52% or greater without appropriate evaluation and treatment of erythrocytosis (16) (Table 3). Administration of testosterone to androgen–deficient young men is typically associated with a small increase in hemoglobin levels. Clinically significant erythrocytosis is uncommon in young hypogonadal men during testosterone replacement therapy, but can occur in men with sleep apnea, significant smoking history, or chronic obstructive lung disease. Testosterone administration in older men is associated with greater increments in hemoglobin than observed in young, hypogonadal men (321). The magnitude of hemoglobin increase during testosterone therapy appears related to the testosterone dose, the increase in testosterone concentrations during testosterone therapy, and age (321). Testosterone replacement by means of a transdermal system has been reported to produce a lesser increase in hemoglobin levels than that associated with intramuscular testosterone enanthate and cypionate presumably because of the substantially higher testosterone dose and average circulating testosterone levels achieved with testosterone esters (586).

 

Testosterone increases hemoglobin and hematocrit by multiple mechanisms (322,408,409,587). Testosterone administration stimulates iron-dependent erythropoiesis by suppressing hepcidin transcription and increasing iron availability for erythropoiesis (322,408,409,587). Additionally, testosterone stimulates erythropoiesis by a direct effect on bone marrow hematopoietic progenitors and increasing the numbers of myeloid progenitors. Testosterone also stimulates erythropoietin and alters the set-point of the relationship between erythropoietin and hemoglobin (322). Testosterone supplementation can correct anemia in older men with unexplained anemia of aging and anemia of inflammation (322,329,409). Suppression of testosterone secretion in men receiving androgen deprivation therapy reduces hematocrit and hemoglobin levels by slowing erythropoiesis independently of changes in erythropoietin levels (588).     

 

Monitoring Hematocrit During Testosterone Replacement Therapy (Table 3)

 

Hematocrit levels should be measured at baseline and 3 months after institution of testosterone replacement or after increase in dosage, and every 12 months thereafter. It is not clear what absolute hematocrit level or magnitude of change in hematocrit warrants discontinuation of testosterone administration. Plasma viscosity increases disproportionately as hematocrit rises above 50%. Hematocrit levels above 54% may be associated with increased risk of neuro-occlusive events. Therefore, testosterone dose should be withheld if hematocrit rises above 54%; once hematocrit falls to a safe level, testosterone therapy may be re-initiated at a reduced dose or with a different formulation (16).  

 

SLEEP APNEA   

 

Circulating testosterone concentrations are related to sleep rhythm and are generally higher during sleep than during waking hours (589-592). Testosterone secretory peaks coincide with the onset of rapid-eye movement sleep. Aging is associated with decreased sleep efficiency, reduced numbers of REM sleep episodes, and altered REM sleep latency, which may contribute to lower circulating testosterone concentrations (590-594).  The degree of sleep-disordered breathing increases with age and is associated with reduced overnight plasma bioavailable testosterone. Thus, changes in sleep efficiency and architecture are associated with alterations in testosterone levels in older men (590-594). Sleep apnea and disordered sleep are often associated with low testosterone levels (595), particularly in patients with more severe cases of OSA (i.e. severe hypoxemia) (596). Some potential mechanisms by which OSA may decrease endogenous testosterone levels include disruption of pulsatile luteinizing hormone secretion from restricted sleep and/or recurrent nocturnal hypoxia (597,598), which is further exacerbated by obesity. OSA treatment with continuous positive airway pressure has been demonstrated to increase serum testosterone levels (599).

 

Testosterone can induce or exacerbate sleep apnea in some individuals, particularly those with obesity or chronic obstructive lung disease (589-594,600). This appears to be due to direct effects of testosterone on laryngeal muscles. Testosterone administration depresses hypercapnic ventilator drive and induces apnea in primate infants (594). Short-term administration of high doses of testosterone shortens sleep duration and worsens sleep apnea in older men (601). The frequency of sleep apnea in randomized testosterone trials in older men has been very low (16,486) and no randomized trial has reported an increased incidence of OSA or OSA worsening in men randomized to the testosterone arm compared to the placebo arm. 

 

Testosterone should not be given to men with severe untreated OSA without evaluation and treatment of sleep apnea. Several screening instruments can be used to detect sleep apnea. A history of loud snoring, and daytime somnolence, in an obese individual with hypertension increases the likelihood of having sleep apnea; such patients should be referred for a sleep study.

 

BREAST ENLARGEMENT AND TENDERNESS

 

Testosterone administration can induce breast tenderness; however, gynecomastia is an uncommon complication of testosterone replacement therapy. Even with administration of supraphysiological doses of testosterone enanthate, less than 4% of men in a contraceptive trial developed detectable breast enlargement (580). Breast cancer is listed as a contraindication for testosterone replacement therapy primarily because of concern that increased estrogen levels during testosterone treatment might exacerbate breast cancer growth. There are, however, few case reports of breast cancer occurring as a complication of testosterone treatment. Men with Klinefelter’s syndrome have a higher risk of breast cancer than the general population (602).

 

An Individualized, Patient-Centric Approach to Shared Decision Making in the Evaluation and Treatment of Older Men with Low Testosterone Levels

 

Recent large randomized clinical trials, especially the TTrials, have substantially expanded our understanding of the efficacy and short-term safety of testosterone in older men with low testosterone levels. However, none of the trials has been long enough or large enough to determine the effects of testosterone treatment on major adverse cardiovascular events and prostate cancer risk. Furthermore, the long-term efficacy of testosterone treatment in improving hard outcomes – physical disability, fractures, falls, progression to dementia, progression from prediabetes to diabetes, remission of late-life low grade persistent depressive disorder (dysthymia) - remains to be established. Adherence with testosterone treatment is poor and in one survey, nearly 50% of men prescribed testosterone, discontinued treatment within 3 months.  Population level screening of all older men for androgen deficiency is not justified (16) because of the lack of agreement on a case definition, the paucity of data on the performance characteristics of the screening instruments (e.g., the ADAM questionnaire (603), the Aging Male Symptoms questionnaire (604), and the MMAS questionnaire (605)) and the lack of clarity on the public health impact of the androgen deficiency syndrome in the general population.

 

Recognizing the lack of evidence of the long-term safety and efficacy of testosterone therapy in older men with symptomatic androgen deficiency, the expert panel of the Endocrine Society recommended against testosterone therapy of all men 65 years or older with low testosterone levels (16). Instead, the panel suggested that “in men >65 years who have symptoms or conditions suggestive of testosterone deficiency (such as low libido or unexplained anemia) and consistently and unequivocally low morning testosterone, clinicians offer testosterone therapy on an individualized basis after explicit discussion of the potential risks and benefits” (16).

 

The decision to offer testosterone treatment to older men with low testosterone levels should be guided by an individualized assessment of potential benefits and risks  (Figure 17) (606).  Determine whether the patient has clear evidence of testosterone deficiency recognizing the imprecision and inaccuracy of many available immunoassays and the substantial overlap in the symptoms of hypogonadism and aging per se. Perform a careful general health evaluation to identify conditions, such as prostate cancer, erythrocytosis, heart failure, or a hypercoagulable state that could increase the risk of harm. Weigh the burden of patient's symptoms and conditions associated with testosterone deficiency against the potential benefits and the uncertainty of long-term harm. Evaluate prostate cancer risk recognizing that prostate cancer screening and monitoring has some risks. Weigh the bother and distress associated with symptoms of testosterone deficiency and patient's values and risk tolerance against the uncertainty of benefits and long-term risks, and the burden, cost, and risks of treatment and monitoring. The participation of the patient who is well informed of the potential benefits and risks in the shared decision to initiate testosterone treatment can enable a more thoughtful treatment plan and increased adherence with the treatment and monitoring (606).

Figure 17. An evidence-based, individualized approach to testosterone therapy in older men with testosterone deficiency. The decision to offer testosterone treatment to older men with low testosterone levels should be guided by an individualized assessment of potential benefits and risks. Testosterone deficiency needs to be evaluated using reliable assays for the measurement of total and free testosterone levels. Patients should also be evaluated for conditions that are likely to respond to testosterone replacement therapy (TRT) as well as conditions that could be adversely impacted, such as prostate cancer, erythrocytosis, heart failure, or a hypercoagulable state. It is important to consider each patient’s burden of symptoms, individual preferences, and risk tolerance against the uncertainty of long-term benefits and risks, the burden and risks of monitoring, and the cost. Reproduced with permission from Bhasin S. 2021. J Clin Invest. 2021;131(4):e146607.

Testosterone therapy can be instituted using any of the available approved formulations based on considerations of pharmacokinetics, patient convenience and preference, cost, and formulation-specific adverse effects (16).  The men receiving testosterone therapy should be monitored using a standardized monitoring plan to facilitate early detection of adverse events and to minimize the risk of unnecessary prostate biopsies (Table 2), as recommended by the Endocrine Society expert panel (Table 3) (16).

 

CHANGES IN THE SPERMATOGENIC COMPARTMENT OF THE TESTIS

 

Women are more fertile below the age of 40, and fecundity decrease after age 35 and fertility ceases at the inception of menopause, around age 50. Increasing age in women confers greater risk for infertility, spontaneous abortion, and genetic and chromosomal defects among offspring. In contrast, there is no critical age at which sperm production or function, and fertility cease in men (607-614).  Although serum testosterone concentrations decrease below the normal range in a significant minority of older men, men over the age of 60 years commonly father children; the oldest father on record was 94-years old (607,609). Even though many older men are fertile, the overall fertility and fecundity decline with aging. The interpretability of data on the effects of aging on male fertility is limited by the small size of the studies and the low overall event rates.

 

Paternal age is associated with an increased risk of germ line mutations in FGFR2, FGFR3, and RET genes and inherited autosomal dominant diseases, such as Apert's syndrome, achondroplasia, and Costello Syndrome, respectively, in the offspring of older men (614-623). These monogenic disorders have been referred to as paternal age effect (PAE) disorders. Approximately one third of babies with diseases due to new autosomal dominant mutations are fathered by men aged 40 years or older (624).

 

Some other disorders such as schizophrenia, autism, and bipolar disorder have also been linked to paternal age (Figure 18) (615,616,622,623). The rate of de novo mutations increases with paternal age (622), which may contribute to the increase risk of neurodevelopmental diseases such as schizophrenia and autism (622).

Figure 18. Impact of paternal age on incidence of schizophrenia and early-onset bipolar disorder. Increasing paternal age at conception increases the relative risk of having an offspring with schizophrenia (panel A; figure adapted from Malaspina et al. Arch Gen Psychiatry. 2001 Apr;58(4):361-7.) and the odds ratio of having a child with early-onset bipolar disorder (compared to fathers aged 20 to 24 years; panel B; data derived from Frans et al. Arch Gen Psychiatry. 2008 Sep;65(9):1034-40)

The accumulation of these de novo germ line mutations with increasing paternal age has been explained by the “selfish spermatogonial selection" hypothesis (618,619).  According to this hypothesis, the somatic mutations in male germ cells that enhance the proliferation of germ cells could lead to within-testis expansion of mutant clonal lines (620,621), thus favoring the propagation of germ cells carrying these pathogenic mutations, and increasing the risk of mutations in the offspring of older fathers (620,621). Interestingly, the risk of autism has also been associated with the age of the father as well as the grandparent (623). These concerns have prompted the American Society of Reproductive Medicine to state in their guidelines that semen donors should be younger than 40 years of age so that potential hazards related to aging are diminished (610).

 

Some cardiac defects have also been attributed to aberrant genetic input from older men.  For instance, a case-control study of 4,110 individuals with congenital heart defects born between 1952 and 1973 in British Columbia, found a general pattern of increasing risk with increasing paternal age among cases relative to controls for ventricular septal defects, atrial septal defects, and patent ductus arteriosus (617,624). The risk of schizophrenia has also been reported to increase with paternal age (618) and possible loci affecting this risk have been identified (625). In addition, a modest proportion of preeclampsia, normally associated with increased maternal risk factors including age, might be attributable to an increase in paternal age although no gene loci have been identified (626). These observations need further corroboration.

 

Although there is a positive association between paternal age and incidence of aneuploidy, it has been difficult to dissociate the effect of paternal age from the confounding influence of the advanced maternal age. After accounting for various confounders, there does not appear to be a major independent effect of increased paternal age on the incidence of autosomal aneuploidies (608,609,615,616,627,628). The existence of a paternal age effect on Down syndrome is controversial. Earlier studies from the 1960s and 1970s found no correlation between Down syndrome and paternal age (e.g.,(629)). However, a study in New York from 1983 to 1997 found a significant greater numbers of mothers and fathers 35 years of age and older, respectively, among parents of patients with Down’s syndrome (630). Among the cases of Down syndrome evaluated, paternal age had a significant effect only when the mothers were 35 years of age or older, and was the highest when both the Mother and Father were older than 40 years in which case the risk of Down Syndrome was 6 times that observed among couples younger than 35 years of age (630).

 

Changes in Fertility of Older Men  

 

A review of studies examining fertility at different ages demonstrated significant age-related differences in fertility rates in men; men older than 50 have lower pregnancy rates, increased time to pregnancy, and subfecundity compared to younger men (608,609,615,631,632). Some changes in fertility rates might be related to age-related decrease in sexual activity.  A literature review found no significant change in sperm concentration with aging when comparing men under the age of 30 to those greater than 50 years (613). However, in general, semen volume, sperm motility, and the number of morphologically normal sperm decrease with advancing age (Table 5; (45,608-614,622,627,628,631,633)). A number of these studies, however, did not control for important confounding variables. Of the 21 studies in which sperm densities were compared among men of different age groups (613), only four studies adjusted for the duration of abstinence, well known to affect sperm concentration. In addition, there is significant heterogeneity in the populations studied; most of the studies examined data from semen of sperm donors while others examined men from infertility clinics. Sperm donors might represent a healthier group of men than the general population; conversely men in infertility clinics might be more likely to have abnormalities of sperm number or function. Even studies that have controlled for abstinence as well as alcohol and tobacco use have shown an age-related decrease in semen volume. In one study of men whose partners had bilateral tubal obstruction or absence of both tubes and who were treated by conventional IVF, the odds ratio of failure to conceive was higher for men 40 years of age or older (634).

 

Table 5: Changes in Semen Quality and Fertility in Men with Age

Parameter

Age comparison

Change

Semen volume

30 versus ³50 years

3-22% decrease

Sperm concentration

Varying

None

Abnormal sperm morphology

£30 versus ³ 50 years

4-18% increase

Time to pregnancy

<30-35 versus >30-50 years

5-20% increase

Pregnancy rates

<30 versus > 50 years

23-38% decrease

Subfecundity

Varying

11-250% increase

From a Literature Review by Kidd et al., 2001 (501)

CHANGES IN THE GERM CELL COMPARTMENT

 

In a comparison of younger men (21-25 years) with older men (>50) referred for andrological evaluation, the ejaculate volume, progressive sperm motility, and sperm morphology were lower in older men than younger men after adjustment for duration of sexual abstinence (635). The older men also had a higher frequency of sperm tail defects, suggesting epididymal dysfunction (636). In addition, the fructose content was significantly lower in older men suggesting a defect in the seminal vesicle contribution to semen. There were no significant differences in sperm concentration and testicular size between the young and older men in this study.

 

Necropsies on adult men of different ages have revealed that the testicular volume is lower only in men in the 8th decade of life (637). A recent study examined testicular germ cells obtained by orchiectomy from 36 older men with advanced prostate cancer and by testicular biopsy from 21 younger men with obstructive azoospermia, as controls (638). The ratios of primary spermatocytes, round spermatids, and elongated spermatids to Sertoli cells were significantly decreased in the testes of older men, but the ratio of spermatogonia to Sertoli cell number remained unchanged (638,639). Older men are characterized by lower rates of germ cell apoptosis and cell proliferation compared with younger men, suggesting that germ cell proliferation and apoptosis diminish with aging (639).

 

Other studies evaluating the fidelity of the germ cell compartment are cross-sectional and depend on analyses of sperm number and semen quality; large-scale chromosomal analyses in healthy community dwelling men are scarce as most data are derived from fertility clinics.  A review of studies examining semen quality at different ages demonstrated significant age-related decrease in semen volume and sperm morphology. The change in sperm morphology has been hypothesized to be due to an increase in aneuploidy with age. Härkönen et al (628) found that sperm morphology was directly associated with the number of chromosomes in sperm and that men with higher aneuploidy rates for chromosomes 13, 18, 21, X and Y had lower sperm motility and sperm concentrations. Despite the changes in sperm morphology and motility from older men, in vitro fertilizing capacity of the sperm is well preserved (45,634).

 

There are several difficulties in interpreting these data on age-related changes in sperm density and function. The normal range for sperm concentration in men is wide where sperm concentration above 15 million/ml (total sperm per ejaculate > 39 million) is considered normal. Thus, even though average sperm concentrations decline with aging, they are still are in the normal range (45,632,638). Furthermore, normal sperm counts do not always correlate with normal sperm function.

 

Studies in flies demonstrate more germ cells during larval than adult stages suggesting age-related quiescence of the germ line (640). Significant age-related decreases in germ cells and spermatogenesis also have been reported in rodents and primates (641-645). The Brown Norway rat has been studied as a model of aging of the human male reproductive system because in this rodent model, serum testosterone levels decrease with aging, as they do in humans (642-644). Along with changes in hypothalamic-pituitary hormones, alterations in sperm counts, sperm maturation, Sertoli cell number, and progeny outcomes have been observed in this rodent model (Table 6) (626,642-651). Analysis of ribosomal DNA from germ cells of the male brown Norway rat has revealed hypermethylation of ribosomal DNA (645,652). Alterations in ribosomes have been theorized to promote aging of cells by multiplying errors in protein synthesis which initially might elude gross morphological analysis but eventually might lead to germ cell degeneration (652). Further assessment of spermatogonial stem cell populations is needed.  In many animal models of life span extension, there is a trade-off between longer life and fecundity, although there are some exceptions (653).

 

Table 6.  Changes in the Reproductive Axis in the Brown-Norway Rat

Parameter

Change

Reference

GnRH

¯

530, 531

FSH

 

530, 531

LH

®

530, 531

Testosterone

¯

530-532, 534

Germ Cells

¯

535

Sertoli Cells

¯

531, 537

Spermatogenesis

¯

531, 537

Seminiferous Tubules

¯

531, 537

Seminiferous Tubule Function

altered

534, 537

Epididymal function

¯

538

Sperm morphology

altered

538

Sperm motility

¯

538

Sperm Count

¯

532

 

CHANGES IN SUPPORTIVE CELLS AND ACCESSORY GLANDS

 

Since Sertoli and Leydig cells are crucial to spermatogenesis, changes in these cells could affect sperm number and function. Age-related changes in the supporting structures for sperm maturation have been described in the Brown Norway rat.  These changes include reductions in the numbers of Leydig and Sertoli cells (643-645). Changes in the supporting cells and structures for sperm maturation have been invoked to explain the age-related decrease in sperm number and fecundity in rats. In stallions, the numbers of Sertoli cells decreases with aging but individual Sertoli cells display a remarkable capacity to accommodate greater numbers of developing germ cells (654).  

 

In men, Sertoli cell number has been reported to be lower in men aged 50 to 85 years than in men aged 20 to 48 years (655). The apoptotic rate of primary spermatocytes in aged men was also significantly elevated compared with that of younger men, resulting in a decrease of the number of primary spermatocytes per Sertoli cell (639), leading the authors to suggest that there might be a failure of the Sertoli cells to support spermatogenesis in older men.

 

Sertoli cells produce inhibin, which regulates gonadotropin expression from the pituitary. Inhibin B has been identified as the physiologically important form of inhibin in men and as a valuable serum marker of Sertoli cell function and spermatogenesis.  Higher gonadotropins and lower inhibin levels in older men suggest a decline in Sertoli cell function (655); however changes in circulating inhibin B levels with advancing age have been inconsistent (70,655-657). Overall, these data suggest a possible decline in Sertoli cell number and function in older.

 

Aging is accompanied by a progressive, albeit variable, decline of Leydig cell function with a decrease of mean serum free (or bioavailable) testosterone levels in the population between age 25 and 75 years (658). Total Leydig cell volume and the absolute number of Leydig cells decline with advancing age, although total testis weight does not change substantially with age (658-662). In one study, age accounted for more than a third of the variation in Leydig cell number, and explained more than half the variation in daily sperm production (661). This might in part be explained by a fusion of Leydig cells resulting in fewer but multinucleated Leydig cells with age (662). The functionality of the multinucleated cells is not known.

 

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Dyslipidemia in Chronic Kidney Disease

ABSTRACT

Chronic kidney disease (CKD) is associated with a dyslipidemia comprising high triglycerides, low HDL-cholesterol and altered lipoprotein composition. Cardiovascular diseases are the leading cause of mortality in CKD, especially in end stage renal disease patients. Thus, therapies to reduce cardiovascular risk are urgently needed in CKD. Robust clinical trial evidence has found that use of statins in pre-end stage CKD patients, as well as in renal transplant recipients, can decrease cardiovascular events; however, providers need to be aware of dose restrictions for statin therapy in CKD subjects. Furthermore, statin therapy does not reduce cardiovascular events in dialysis patients, nor does statin therapy confer any protection against progression of renal disease. Niacin and fibrates are effective in lipid lowering in CKD and appear to have some cardiovascular benefit but further study is needed to clearly define their role. Novel therapies with PCSK 9 inhibitors, bempedoic acid, and inclisiran have all been shown to decrease LDL cholesterol levels but there is currently limited data for reduction of cardiovascular events or mortality in patients with CKD/ESRD. This article reviews the epidemiology of CKD, association of CKD with cardiovascular events, and the effects of CKD on lipid levels and metabolism. The article discusses clinical trial evidence for and against statin and non-statin lipid lowering therapy in CKD patients.

CHRONIC KIDNEY DISEASE (CKD) EPIDEMIOLOGY

Chronic kidney disease (CKD) is defined as renal impairment greater than 3 months duration that results in an estimated glomerular filtration rate (eGFR) < 60ml/min/1.73m2. CKD is classified into 5 stages based on the eGFR (Table 1). CKD is a world-wide health problem with rising incidence and prevalence. CKD, especially in the early stages is often asymptomatic; thus, the actual prevalence may be even higher than estimated. End stage renal disease (ESRD) is defined as needing dialysis or transplant, and the prevalence and incidence of ESRD have doubled over the past 10 years (1). The annual mortality rate of dialysis patients is greater than 20%. The burden of co-morbidities and the cost of caring for CKD patients is high, and thus a major focus is increased screening and early detection of CKD when interventions to delay or prevent progression to ESRD may be effective. There are multiple causes of CKD with the most common causes in Westernized nations being hypertension and diabetes; however, a wide range of etiologies including infectious, auto-immune, genetic, obstructive, and ischemic injury are all prevalent. There are ethnic differences in susceptibility with increased prevalence in Mexican-Americans and non-Hispanic blacks compared to Caucasians (2).

Table 1. Stages of CKD

CKD stage

GFR (ml/min/1.73 m2)

CKD 1

≥ 90 (with renal damage or injury)

CKD 2 (mild)

60-89

CKD 3 (moderate)

30-59

CKD 4 (severe)

15-29

CKD 5 (end stage)

<15, dialysis, or transplant

While the burden of CKD itself is significant, the leading causes of morbidity and mortality in CKD are cardiovascular diseases (CVD), primarily atherosclerotic coronary artery disease. Risk factors for CVD in CKD include the traditional risk factors – hypertension, sex, age, smoking, and family history and CKD patients appear to benefit similar to non-CKD patients from therapies targeting these risk factors. Regardless of the cause of CKD, patients with CKD are at increased risk for CVD, which has led to the National Kidney Foundation classifying all patients with CKD as “highest risk” for CVD regardless of their levels of traditional CVD risk factors. The focus of this chapter is on the dyslipidemia of CKD and the risk of CVD in CKD.

Nephrotic Syndrome

Nephrotic syndrome differs from other types of CKD in its presentation and risks. Nephrotic syndrome is comprised of significant proteinuria (typically > 3g/24h), hypoalbuminemia, peripheral (+/- central) edema, and significant hyperlipidemia and lipiduria may also be seen. It is frequently seen in children, and the etiology includes minimal change disease (up to 85%), focal segmental glomerulosclerosis (up to 15%), and secondary causes (rare) including systemic lupus erythematosus, Henoch Schonlein Purpura, or membrano-proliferative glomerulopathy. In adults, the etiology is more likely to involve a systemic disease such as diabetes, amyloidosis, or lupus. Nephrotic syndrome may be transient or persistent. Most (approximately 80% of children) cases of nephrotic syndrome are successfully treated with glucocorticoids with resolution of all features including hyperlipidemia; however, steroid-resistant nephrotic syndrome patients often have persistent dyslipidemia, which may place them at increased risk for CVD. For example, a small study found increased CVD markers including pulse wave velocity, carotid artery intima-media thickness, and left ventricular mass in patients with steroid-resistant nephrotic syndrome compared to controls (3), implying increased risk for CVD events. Treatment of nephrotic syndrome dyslipidemia includes therapies specifically targeting the renal disease (primarily glucocorticoids, but also renin-angiotensin system antagonists which can help decrease proteinuria) and lipid lowering agents.

 CVD IN CKD

CVD accounts for 40-50% of all deaths in ESRD patients, with CVD mortality rates approximately 15 times that seen in the general population (4). However, CVD is highly prevalent in patients who progress to ESRD implying that earlier stages of CKD increase the development of CVD. A number of factors have been proposed as risk factors for CVD in CKD including proteinuria, inflammation, anemia, malnutrition, oxidative stress, and uremic toxins (5). Ongoing research is investigating whether these (and other) markers may be therapeutic targets. Interestingly, proteinuria correlates with blood pressure, total cholesterol, triglycerides, and inversely correlates with HDL-cholesterol (6). Thus, it remains unclear if proteinuria itself is a risk factor (e.g., a cause of CVD) or a biomarker. Meta-analyses of general population and high-risk population cohorts found that both lower eGFR (<60 ml/min/1.73 m2) and higher albuminuria (>10 mg/g creatinine) are predictors of total mortality and CVD mortality; furthermore, eGFR and albuminuria are independent of each other and of traditional CVD risk factors (7, 8). Estimated GFR > 60 ml/min/1.73 m2 is not a risk factor for CVD or total mortality.

Dyslipidemia in CKD

EFFECT OF CKD ON LIPID LEVELS

CKD is associated with a dyslipidemia comprised of elevated triglycerides and low HDL-cholesterol. Levels of LDL-cholesterol (and thus, total cholesterol) are generally not elevated; however, proteinuria correlates with cholesterol and triglycerides. CKD leads to a down regulation of lipoprotein lipase and the LDL-receptor, and increased triglycerides in CKD are due to delayed catabolism of triglyceride rich lipoproteins, with no differences in production rate (9). CKD is associated with lower levels of apoA-I (due to decreased hepatic expression (10)) and higher apoB/apoA-I. Decreased lecithin-cholesterol acyltransferase (LCAT) activity and increased cholesteryl ester transfer protein (CETP) activity contribute to decreased HDL-cholesterol levels. Beyond decreased HDL cholesterol levels, the HDL in CKD is less effective in its anti-oxidative and anti-inflammatory functions [for review see (11)].

As CKD progresses the dyslipidemia often worsens. In an evaluation of 2001-2010 National Health and Nutrition Examination Survey (NHANES), the prevalence of dyslipidemia increased from 45.5% in CKD stage 1 to 67.8% in CKD stage 4; similarly, the use of lipid lowering agents increased from 18.1% in CKD stage 1 to 44.7% in CKD stage 4 (12).  Of more than 1000 hemodialysis patients studied only 20% had “normal” lipid levels (defined as LDL<130 mg/dl, HDL > 40 and triglycerides < 150); of 317 peritoneal dialysis patients only 15% had “normal” lipid levels (13). A larger study evaluating dyslipidemia in > 21,000 incident dialysis patients found 82% prevalence of dyslipidemia and suggested a threshold of non-HDL cholesterol > 100 mg/dl (2.6mmol/L) to identify dyslipidemia in CKD stage 5 subjects (14). Peritoneal dialysis is associated with higher cholesterol levels than hemodialysis, although the reasons aren’t fully understood. In subjects who switched from peritoneal dialysis to hemodialysis there was a drop in cholesterol levels of almost 20% following transition (15). The National Kidney Foundation recommends routine screening of all adults and adolescents with CKD using a standard fasting lipid profile (total cholesterol, LDL-cholesterol, HDL-cholesterol and triglycerides), and follows the classification of the National Cholesterol Education Panel for levels (desirable, borderline or high). Although some studies have found associations between Lp(a) and dialysis patients, this is not well defined and there is no current indication for routine screening of Lp(a).

EFFECT OF CKD ON LIPOPROTEIN COMPOSITION

Beyond simply measuring lipid levels, emerging evidence implies that lipoprotein particle size and composition is altered in CKD, with increased small dense LDL and decreased larger LDL particles in CKD subjects compared to controls (16). Small dense LDL is thought to be more atherogenic than larger LDL particles. An emerging theory is that beyond lipid levels or lipoprotein size, lipoprotein particle “cargo” can affect atherosclerosis development and progression. Lipoprotein particles transport numerous bioactive lipids, microRNAs, other small RNAs, proteins, hormones, etc. For example, a recent study compared LDL particle composition between subjects with stage 4/5 CKD and non-CKD controls, and found similar total lipid and cholesterol content, but altered content of various lipid subclasses; for example decreased phosphatidylcholines, sulfatides, and ceramides and increased N-acyltaurines (17). Many of these lipid species are known to have either pro- or anti-atherogenic properties and thus could directly affect atherogenesis.

EFFECT OF RENAL TRANSPLANTATION ON LIPID LEVELS

Dyslipidemia is frequently seen in renal transplant recipients, including increased total cholesterol, LDL-cholesterol, and triglycerides, and decreased HDL-cholesterol. The dyslipidemia may have existed pre-transplant or be related to transplantation associated factors. Cyclosporine increases LDL-cholesterol via both increased production and decreased clearance. Corticosteroids increase both cholesterol and triglyceride levels in a dose-dependent manner. The adverse effects of cyclosporine and corticosteroids on lipid levels appear to be additive (18). Tacrolimus and azathioprine appear to have less induction of dyslipidemia than cyclosporine (19). Sirolimus increases both cholesterol and triglycerides, in part due to decreased LDL-clearance (20).

EFFECT OF NEPHROTIC SYNDROME ON LIPID LEVELS

The dyslipidemia in nephrotic syndrome can be striking with significant elevations of cholesterol, LDL-cholesterol, triglycerides, and lipoprotein(a); HDL cholesterol is often low, especially HDL2. The cause of elevated lipid levels is multi-factorial, including reduction in oncotic pressure which stimulates apoB synthesis (although the exact mechanism by which this occurs is not known), decreased metabolism of lipoproteins, and decreased clearance. Patients with nephrotic syndrome have decreased LDL-receptor activity and increased acyl-CoA cholesterol acytransferase (ACAT) and HMG-CoA reductase activity leading to increased LDL-cholesterol levels (21, 22). Low HDL-cholesterol is thought to be due at least in part to LCAT deficiency secondary to accelerated renal loss of LCAT (23). Triglycerides are elevated due to impaired clearance of chylomicrons and triglyceride-rich lipoproteins, as well as increased triglyceride production (24).

EVIDENCE FOR/AGAINST LIPID LOWERING THERAPY IN CKD FOR CVD OUTCOMES

Given the high prevalence of CVD in CKD, and the robust clinical evidence in non-CKD subjects that lipid lowering reduces CVD outcomes, there is great interest in using lipid lowering therapy in CKD subjects. Statins are the most commonly used lipid-lowering medications and thus far have been shown to reduce CVD events and/or mortality in virtually every population studied. However, CKD patients seem to be a unique population in that at present there is no evidence of benefit for CVD outcomes in dialysis patients with statin therapy. The Canadian Journal of Cardiology lists CKD as a statin indicated condition in its newest guidelines published in 2021 (25) while AHA/ACC lists CKD as a risk enhancer but not a high-risk condition based on 2018 guidelines (26).  Despite growing evidence to support CKD as a CVD risk equivalent, the use of statin therapy in CKD does not appear to be rising more than in the non-CKD population based on data from Mefford et al looking at trends in statin use amongst US adults with CKD from 1999-2014 (27). As discussed below it appears that statins can reduce CVD events in pre-end stage CKD subjects, and in post-renal transplant subjects, but not in dialysis patients (Table 2).

Use of Statins in Pre-ESRD CKD Patients

Although many of the initial statin CVD studies did not include many CKD patients, evidence from sub-group analyses of large statin studies suggested that CKD subjects had similar benefits to non-CKD individuals. For example, the Heart Protection Study (HPS) which assessed >20,000 subjects at high risk of CVD included a subgroup of 1329 subjects with impaired kidney function. In this subgroup those that received simvastatin had a 28% proportional risk reduction and an 11% absolute risk reduction of a major cardiovascular event compared to those randomized to placebo; similar to the effect on the overall cohort (28). Further, in the Pravastatin Pooling Project, 4,991 subjects with CKD3 were examined and a 23% reduction in cardiovascular events was seen in the pravastatin group (29).  In a retrospective study with 47,200 subjects followed through the Department of Veterans Affairs, starting statin therapy 12 months prior to transitioning to ESRD conferred a reduction in 12-month all-cause mortality (HR 0.79), cardiovascular events (HR 0.83) and hospitalization rate (HR 0.89) (30). Several other studies or meta-analyses similarly predicted that CKD subjects would have reduction in CVD with statin therapy. For example, a meta-analysis of 38 studies with >37,000 participants with CKD but not yet on dialysis found a consistent reduction in major cardiovascular events, all-cause mortality, cardiovascular death, and myocardial infarction in statin users compared to placebo groups. There was no clear effect of statin on stroke, nor was there any effect of statin use on progression of the renal disease (31). Thus, for CKD patients with pre-end stage renal disease statins effectively lower total cholesterol and LDL-cholesterol levels and decrease CVD risk. The different statins have different degrees of renal involvement in their metabolism, and providers should be aware of dose restrictions in CKD (Table 3).

Unclear Whether to Use Statins in Subjects with Nephrotic Syndrome

Several small clinical studies have investigated the use of lipid lowering therapies in nephrotic syndrome, but data is only available for statins and fibrates, and no CVD outcomes data is available. Several small studies using statins have found efficacy in lowering LDL-cholesterol, and that statins were safe and well tolerated (32, 33). Thus, the use of statins in nephrotic syndrome appears to be safe and efficacious in terms of lipid lowering; however, it is not clear if there is any corresponding benefit on either CVD or renal outcomes.

No Benefit to Statins in Subjects with only Microalbuminuria

The Prevention of Renal and Vascular Endstage Disease Intervention Trial (PREVEND IT) randomized 864 subjects with persistent microalbuminuria (urinary albumin of 15-300mg/24h x 2 samples) to fosinopril (an angiotensin converting enzyme inhibitor) or placebo and to pravastatin 20 mg or placebo. Inclusion criteria for the study included blood pressure <160/100 mm Hg and no use of antihypertensive medications and total cholesterol < 300 mg/dl (8 mmol/L) or < 192 mg/dl (5 mmol/L) if patient had known CVD and no use of lipid lowering medications. Although diabetes was not an exclusion criteria, <3% of the subjects had diabetes (34). The use of statin did not affect either urinary albumin excretion or cardiovascular events; however, the use of fosinopril significantly decreased albuminuria and had a trend to reduction in cardiovascular events. Thus, in the absence of other indications for statin therapy, there appears to be no benefit in subjects that solely have microalbuminuria. However, a subsequent analysis found that the subjects with isolated microalbuminuria had an increased risk for CVD events and mortality compared to those without risk factors (35); thus, isolated microalbuminuria appears to indicate high risk and further study is needed to determine effective therapies to reduce risk.

No Benefit to Statins in Dialysis Patients

Studies specifically examining the role of statins in ESRD subjects have not found a benefit. The Deutsche Diabetes Dialyse Studie (4D) randomized 1255 type 2 diabetic subjects on maintenance hemodialysis to either 20 mg atorvastatin or placebo daily. The cholesterol and LDL-cholesterol reduction was similar to that seen in non-dialysis patients; however, unlike non-CKD subjects there was no significant reduction in cardiovascular death, nonfatal myocardial infarction or stroke with atorvastatin compared to placebo (36). A long-term follow-up of the 4D study population found similar effects after 11.5 years as were found at the end of the original study: no CVD benefit, but also no evidence of harm (37). Similarly, A Study to Evaluate the Use of Rosuvastatin in Subjects on Regular Hemodialysis (AURORA) randomized 2776 subjects on maintenance hemodialysis to rosuvastatin 10 mg or placebo. Again, the LDL-cholesterol lowering in dialysis patients was similar to that seen in other studies in non-dialysis patients, but there was no significant effect on the primary endpoint of cardiovascular death, nonfatal myocardial infarction or stroke (38). The Study of Heart and Renal Protection (SHARP) randomized 9270 CKD patients (3023 on dialysis) to simvastatin plus ezetimibe versus placebo. Unlike 4D and AURORA, the SHARP study did report a significant reduction in major atherosclerotic events in the simvastatin plus ezetimibe group, including the dialysis subgroup (39). However, a meta-analysis of 25 studies involving 8289 dialysis patients found no benefit of statin therapy on major cardiovascular events, cardiovascular mortality, all-cause mortality or myocardial infarction, despite efficacious lipid lowering (40). Nevertheless, a post-hoc analysis of the 4D study did demonstrate a benefit of statin therapy in the subgroup that had LDL cholesterol > 145 mg/dl (3.76mmol/l) (41). Although the use of statins in dialysis patients does not clearly cause harm, at present there is no indication for use in dialysis patients, with the exception of a possible benefit in those with significant elevation in LDL-cholesterol.

WHY IS STATIN THERAPY INEFFECTIVE IN DIALYSIS SUBJECTS?

Given the robust data demonstrating statin efficacy in CVD risk reduction in virtually all other populations studied, the lack of efficacy in ESRD subjects in perplexing. However, it may be due to different mechanisms of disease progression in ESRD populations compared to other populations. In ESRD subjects there is increased inflammation and oxidative stress as well as increased non-lipid-associated pro-atherogenic factors, which may be the major cause of atherosclerosis development or progression in CKD subjects [for review see (42)]. Therefore, the relative impact of dyslipidemia on CVD development and progression in ESRD subjects may be less than in other CKD and non-CKD subjects, and thus the potential benefit of lipid lowering therapy is reduced. In ESRD subjects with significant hyperlipidemia (such as genetic hyperlipidemias) there may still be a role for statins, or other lipid lowering therapies. Furthermore, while no benefit has been found for statins in dialysis subjects, there is no evidence of increased harm, and thus consideration of lipid lowering medications in particular individuals with ESRD is warranted.

Use of Statins in Renal Transplant Recipients

The Assessment of Lescol in Renal Transplant (ALERT) study randomized 2102 renal transplant recipients to fluvastatin or placebo. There was a non-significant 17% reduction in the combined primary endpoint (cardiac mortality, nonfatal myocardial infarction or coronary intervention procedures) but a significant reduction in cardiac death or myocardial infarction (43, 44). Furthermore, a post hoc analysis suggested that earlier initiation of statins post-transplant was associated with greater benefit (45). However, a recent small study found no benefit of statin therapy on coronary calcification in renal transplant patients (46). Furthermore, as with pre-end stage CKD patients there did not appear to be any benefit from statin therapy on progression of renal disease or graft loss in statin treated transplant recipients (47). Thus, following renal transplant patients should be considered for statin therapy for CVD risk reduction, but not for graft preservation. Several of the statins have drug interactions, particularly with cyclosporine, thus providers must be aware of dose and drug restrictions (Table 3).

Table 2. Use of Statins in Various CKD Subgroups

Patient population

Statin indicated? Yes/no

Microalbuminuria*

No

CKD 1-4

Yes

Nephrotic syndrome

Unclear

Dialysis patients

No

Renal transplant recipients

Yes

* In the absence of any other indication

EVIDENCE FOR/AGAINST LIPID LOWERING THERAPY IN CKD FOR RENAL OUTCOMES

Given the evidence that renal lipid deposition is associated with progression of renal disease itself, there has been an ongoing interest in whether targeting dyslipidemia in CKD can help delay the progression of the renal disease. The dyslipidemia in CKD is associated not only with increased CVD but also with adverse renal prognosis (48, 49). Biopsy studies have found that the amount of renal apoB/apoE is correlated with increased progression of the renal disease itself (50). Animal studies have supported this concept. A meta-analysis of several small, older studies suggested that the rate of decline in GFR was decreased in subjects receiving a lipid-lowering agent (the included studies mainly used statins but the meta-analysis also included a study using gemfibrozil and another using probucol) (51). However, the relationship between lipid levels and renal disease is unclear, as prospective cohort studies have not found any relationship of lipid levels to progression of kidney disease (52). Furthermore, the SHARP study, which included subjects with earlier stages of CKD (stages 3-5 were included) found no benefit of lipid lowering therapy on the progression of renal disease. A meta-analysis of statins in pre-end stage CKD patients found no overall effect of statins on renal disease progression (31) and the ALERT study found no benefit of statin use on renal graft or renal disease parameters (47). Thus, there does not appear to be any use for statins to improve renal function or CKD itself.

SAFETY OF STATINS IN CKD

Statin Safety– Renal Outcomes

An observational study using administrative databases containing information on > 2 million patients suggested that the use of high potency statins was associated with acute kidney injury, especially within the first 120 days of statin use (53). However, a subsequent analysis of 24 placebo-controlled statin studies and 2 high versus low-dose statin studies found no evidence of renal injury from statin use (54). These discrepant results can be explained by the quality of the data: in randomized controlled trials, albeit not designed or powered to look at renal injury, data quality tends to be higher than that in administrative data sets, which often contain bias for selection, ascertainment, and classification. Furthermore, statins appear to have a nephron-protective role in the prevention of contrast induced acute kidney injury. A meta-analysis of 15 trials examining the effect of statin pre-treatment before coronary angiography found a significant reduction in acute kidney injury in those treated with high dose statin compared to controls treated with either placebo or low dose statin (55). One study specifically examined the use of statins in subjects with diabetes and existing CKD undergoing angiography, and found a benefit to statin pre-treatment in reducing the risk of contrast induced acute renal injury (56). As discussed above, use of statins in pre-end stage CKD or post-renal transplant patients demonstrates neither benefit nor harm on renal outcomes. Thus, based on available evidence there does not seem to be any renal harm from statin use, and the presence of CKD should not be a contra-indication to statin use, although some statins require dose restrictions in CKD (Table 3).

Statin Safety – Diabetes Outcomes

As a class, emerging evidence demonstrates that statins increase new diagnoses of diabetes (57). As diabetes can lead to or exacerbate renal injury, this is another potential harm of statins. However, there is no evidence that statin therapy acutely raises normal fasting glucose into the diabetic range and rather the evidence from clinical trials suggests that statin therapy instead leads individuals at high risk of diabetes to progress to diabetes diagnosis sooner than may have happened without statin therapy. A subsequent meta-analysis of 5 statin trials with >32,000 patients without diabetes at baseline found that high dose statin was associated with increased risk for new diabetes diagnosis compared to low or moderate dose statin therapy (58). However, the number needed to harm (induce diabetes) is 498 whereas the number needed to treat (prevent cardiovascular events) is 155 for intensive statin therapy; implying that despite the increased risk of new onset diabetes, statin therapy’s benefits outweigh the risks.

Which Statins to Use in CKD?

The various statins have different degrees of renal clearance; thus, with CKD patients it is important to be aware of the metabolism of the agent of interest and understand if/when dose adjustments are needed. Most statins are primarily metabolized through hepatic pathways, and dose adjustment in early CKD is typically not needed (eGFR> 30 ml/min). However, with more advanced CKD, eGFR< 30 ml/min (or ESRD, although statins are not indicated in this population) most agents have maximum dose restrictions (Table 3). 

Table 3. Statin Dosing in CKD

Statin

Usual dose range (mg/d)

Clearance route

Dose range for CKD stages1-3

Dose range for CKD stages4-5

Use with cyclosporine

Atorvastatin

10-80

Liver

10-80

10-80

Avoid use with cyclosporine

Fluvastatin

20-80

Liver

20-80

20-40

Max dose 20 mg/d with cyclosporine

Lovastatin

10-80

Liver

10-80

10-20

Avoid use with cyclosporine

Pitavastatin

1-4

Liver/Kidney

1-2

1-2

Avoid use with cyclosporine

Pravastatin

10-80

Liver/Kidney

10-80

10-20

Max dose 20 mg/d when used with cyclosporine

Rosuvastatin

10-40

Liver/Kidney

5-40

5-10

Max dose 5 mg/d with cyclosporine

Simvastatin

5-40

Liver

5-40

5-40

Avoid use with cyclosporine

BEYOND STATINS

There has been relatively little research into the use of non-statin lipid lowering agents in CKD. There is an emerging interest in niacin in CKD patients for its phosphorus-lowering effects, and niacin has similar lipid-altering efficacy in CKD as opposed to non-CKD subjects. Fibrates are metabolized via the kidney and thus generally contraindicated in CKD. Ezetimibe has been shown to be safe and effective in reducing LDL for patients with CKD; however, studies have typically compared treatment with ezetimibe added to statin therapy vs control and few studies compare ezetimibe monotherapy vs control.  PCSK9-inhibitors have been shown to be safe in CKD and efficacious in lowering LDL but there remains limited data regarding morbidity and mortality outcomes with this therapy.  Newer therapies include bempedoic acid and inclisiran which both remain relatively unstudied in CKD/ESRD. The following sections summarize the available data on the use of other lipid lowering agents in CKD (Table 4).

Niacin

As niacin is not cleared via the kidney it is theoretically safe in CKD; however, its use is limited due to side effects (predominantly flushing) and a lack of data. Several short-term studies have evaluated niacin in CKD patients and it is efficacious in lipid lowering. There is an emerging interest in use of niacin or its analog niacinimide in CKD and ESRD patients for their effects to decrease phosphate levels. A meta-analysis of randomized controlled trials of niacin and niacinamide in dialysis patients found that niacin reduced serum phosphorus but did not change serum calcium levels; furthermore niacin increased HDL levels but had no significant effect on LDL-cholesterol, triglycerides, or total cholesterol levels; no CVD outcomes data were provided (59). Animal studies have suggested a beneficial effect of niacin on renal outcomes (60), and clinical literature is suggestive that this may occur in humans (61). Kang et al treated patients with CKD stages 2-4 with niacin 500mg/d x 6 months; niacin led to increased HDL-cholesterol and decreased triglyceride levels, and improved GFR compared to baseline levels (62). Laropiprant has been developed as an inhibitor of prostaglandin-medicated niacin-induced flushing. In a sub-study examining the use of niacin with laropiprant in dyslipidemic subjects with impaired renal function, the use of niacin resulted in a mean decrease in serum phosphorus of 11% with similar effects between those with eGFR above or below 60 ml/min/1.73 m2 (63); the parent study reported significant reduction in lipid parameters including a decrease in LDL-cholesterol of 18%, decrease in triglycerides of 25%, and an increase in HDL of 20% (64). Thus, there may be an indication for use of niacin in CKD subjects beyond lipid lowering considerations. However, cardiovascular outcome studies evaluating the combination of statin plus niacin have not found any additional benefit compared to statin alone (65, 66); thus, at this time further research is needed in CKD subjects to determine if niacin may be more beneficial than statins, or if the addition of niacin to statin may confer non-CVD benefit, for example, from phosphorus lowering.

Fibrates

Fibric acid derivatives are used primarily to raise HDL-cholesterol and lower triglycerides; thus, they target two major components of CKD associated dyslipidemia. However, fibrates are known to decrease renal blood flow and glomerular filtration and they are cleared renally (67); therefore, there is significant concern regarding their use in CKD. Furthermore, the fibric acid derivatives raise serum creatinine levels and may thus trigger medical investigations into renal disease progression. Thus, there is concern regarding their use in CKD. However, there is a potential for fibric acid derivatives to improve both CVD and CKD outcomes. The acute changes in serum creatinine do not necessarily indicate adverse renal effects. A meta-analysis (68)  examined the use of fibrates in CKD subjects and reported beneficial effects to reduce total cholesterol and triglyceride levels and raise HDL-cholesterol levels with no effect on LDL-cholesterol levels. In addition, 3 trials reporting on > 14,000 patients reported that fibrates reduced risk of albuminuria progression in diabetic subjects, with 2 trials (>2,000 patients) reporting albuminuria regression (69-71). This was associated with a reduction in major cardiovascular events, CVD death, stroke, and all-cause mortality in subjects with moderate renal dysfunction, but not in those with eGFR > 60 ml/min/1.73m2.  Thus, despite the elevations in serum creatinine seen with fibrates, there is the potential for both cardiac and renal benefit, and further studies specifically designed to evaluate these outcomes in CKD subjects are urgently needed. At this point, providers are encouraged to consider fibrate therapy for appropriate subjects, especially if statins are not tolerated or are contra-indicated.

Ezetimibe

Ezetimibe is presently the only member of the class of cholesterol absorption inhibitors. As monotherapy it can lower LDL approximately 15%; however, the majority of research has examined ezetimibe in combination with a statin (primarily simvastatin) where the addition of ezetimibe can induce a further 25% lowering of LDL cholesterol. Ezetimibe is metabolized through intestinal and hepatic metabolism, and does not require any dose adjustment in CKD or ESRD, making it potentially attractive therapy in CKD. The Improved Reduction of Outcomes: Vytorin Efficacy International Trial (IMPROVE IT) study demonstrated that the combination of statin + ezetimibe led to further LDL lowering and improved CVD outcomes compared to statin alone in high-risk patients (72).  A secondary analysis of this study evaluating outcomes based on eGFR shows that compared to statin alone, the combination of statin + ezetimibe was more effective in reducing risk of CVD outcomes in those with eGFR < 60/ml/min/1.73m2(73). The Study of Heart and Renal Protection (SHARP) compared CVD and renal effects in CKD patients treated with statin + ezetimibe versus placebo. There was a reduction in CVD events (39); however, there was no effect on renal disease progression (74). Note, neither of these studies included an ezetimibe only arm; thus, the effects of ezetimibe monotherapy on outcomes are unknown, although it can be expected to reduce CVD events in proportion to its degree of LDL-cholesterol lowering. A small study evaluating ezetimibe monotherapy in CKD patients found it safe and effective (75). Thus, the use of ezetimibe with or without statin is likely to benefit pre-end stage CKD patients in terms of CVD outcomes (given that the impact of ezetimibe is on lowering LDL-cholesterol we can anticipate lack of CVD benefit in ESRD subjects based on the statin studies and SHARP).

Fish Oil

Omega-3 polyunsaturated fatty acids can lower triglyceride levels, making them a potential therapy in CKD. The role of fish oil/ omega-3 supplements in the general population for prevention of CVD events remains unclear, with some studies suggesting benefit but others finding no CVD protection. A recent meta-analysis found no evidence for CVD protection (76) while a meta-analysis of thirteen randomized control trials involving 127,477 patients demonstrated marine omega-3 supplementation was associated with small but significantly lower risk of MI, CHD death, total CHD, CVD death and total CVD with linear relationship to dose (77).  In CKD patients there is little data to support the use of fish oil and much of the data it is conflicting. A small randomized study evaluated omega-3 fish oil supplements, coenzyme Q10, or both in subjects with CKD stage 3 for 8 weeks. The group that received the omega-3 supplements had decreased heart rate and blood pressure and triglycerides, but there was no effect on renal function (eGFR, or albuminuria) (78). Conversely, a study evaluating dietary omega-3 intake found that higher consumption was associated with reduced likelihood of CKD (79). A randomized controlled trial in patients with CKD and microalbuminuria showed that omega-3 fatty acid supplementation had no effect on urine albumin excretion; however, there was a beneficial effect on serum triglyceride levels and pulse wave velocity (80). Fish oil supplementation has not been found to have any clear benefit on hemodialysis arteriovenous graft function (81, 82)or on cardiovascular events or mortality in hemodialysis patients (83). Thus, there is no clear benefit to the use of fish oil supplements in CKD, but further research is needed.

Bile Acid Resins

The bile acid resins tend to be used less commonly than other classes of lipid lowering agents overall, and their use in CKD is limited by a lack of data. Bile acid resins as a class can lower LDL-cholesterol by 10-20% so they are less effective than statins; furthermore, they can raise triglyceride levels and their use is contra-indicated with elevated triglyceride levels, for example > 400-500 mg/dl (>4.5 – 5.6 mmol/L). Thus, overall bile acid resins are rarely used in CKD patients. However, their metabolism is intestinal and thus there are no required modifications for their use in mild-moderate CKD. Although there are no theoretical concerns regarding their use in ESRD there is no data to address safety or efficacy.

PCSK9 Inhibitors

Monoclonal antibodies against proprotein convertase subtilisin/kexin type 9 (PCSK9) have been developed and approved for patients for patients with clinical atherosclerotic CVD not meeting lipid goals despite maximally tolerated statin therapy. This class of drugs lowers LDL-C in addition to statin-mediated lowering and has been shown to decrease CVD events in outcome studies in secondary prevention populations (84). Two PCSK9 monoclonal antibody inhibitors are presently available in the US – evolucumab and alirocumab. PCSK9 plasma levels are not influenced by eGFR in CKD patients (85) but are increased in nephrotic syndrome (86). As monoclonal antibodies the inhibitors are not cleared by the kidney and thus are approved to use in CKD and ESRD with no dose adjustment. The ODYSSEY OUTCOME trial randomized post-acute coronary syndrome patients with LDL > 70mg/dL to maximally tolerated statin with placebo vs alirocumab; the intervention arm with alirocumab had nearly twice the absolute reduction in cardiovascular events (87). Of note patients with eGFR < 30 ml/min/m2 were excluded from the ODYSSEY OUTCOME trial. However, a later subanalysis looked at the effect of alirocumab on major adverse cardiovascular events based on renal function. The subanalysis showed that irrespective of eGFR alirocumab was efficacious in reducing LDL. Further, annualized incidence rates of major adverse cardiovascular events and death increased with decreasing eGFR but rates were lower in the alirocumab group compared to placebo and there was no significant difference in incidence of major adverse cardiovascular events between treatment groups with eGFR < 60 ml/min/m2 (88).  Further, data from a pooled analysis of nine trials comparing alirocumab vs control showed that among patients with ASCVD and LDL > 100 mg/dL those with additional risk factors including CKD had the greatest absolute cardiovascular benefit from alirocumab therapy in addition to maximally tolerated statin compared to placebo (89).  Studies remain ongoing to further look at mortality and morbidity outcome in PCSK-9 inhibitors specifically in at risk patients such as those with CKD. There remains very limited data to use in patients with ESRD and PCSK-9 inhibitor use as monotherapy for dyslipidemia.

Bempedoic Acid

Currently approved for use in combination with maximally tolerated statin therapy, bempedoic acid facilitates further LDL reduction by inhibiting cholesterol synthesis in the liver through blocking adenosine triphosphate-citrate lyase (ACL).  Currently, use in CKD is approved without dosage adjustment for eGFR > 30ml/minute/1.73m2; however, below this eGFR threshold there is insufficient data to guide its use. As bempedoic acid has hepatic metabolism it is presumably safe in CKD.  A 52-week study in very high-risk CVD patients demonstrated that bempedoic acid added to maximally tolerated statin therapy was safe and led to a significant reduction in LDL levels (90).  Further, combination with ezetimibe is safe and can increase the cholesterol-lowering effect more than either agent alone when added to standard therapy (91). A cardiovascular outcome study is presently underway (92) but at this time there are limited data regarding mortality and morbidity benefit and use in ESRD.

Inclisiran

Newest to the market, inclisiran is a small interfering RNA (siRNA) that acts in hepatocytes to break down mRNA for PCSK-9 which increases LDL cholesterol receptor recycling thus increasing LDL cholesterol uptake. It is FDA approved for use in heterozygous familial hypercholesterolemia and in secondary prevention of cardiovascular events as an adjunct to lifestyle and maximally tolerated statin. It is administered by subcutaneous injections at 3 and then 6-month intervals. There are no cardiovascular outcomes studies yet available. There is no recommended dosage adjustment in CKD, but there have been no studies done in patients with ESRD. An analysis of the ORION-1 and ORION-7 studies compared inclisiran in patients with renal impairment and those with normal renal function, and found similar safety and efficacy, suggesting no dose adjustment is needed in CKD (93). However, no patients on dialysis were studied in these trials.

Table 4. Non-Statin Treatments

Agent

Usual dose range (mg/d)

Clearance route

Dose range for CKD stages1-3

Dose range for CKD stages4-5

Use with cyclosporine

Niaspan

500-2000

Hepatic/renal

No data

No data

No data

Gemfibrozil

1200

Renal

Avoid if creatinine > 2.0 mg/dl

Avoid if creatinine > 2.0 mg/dl

Cautious use

Fenofibrate

40-200

renal

40-60

avoid

Cautious use

Ezetimibe

10

Intestinal/hepatic

10

10

Cautious use

Colsevelam

3750 (6 x 625 mg tablets daily)

Intestinal

No change

unknown

May reduce levels of cyclosporine

Fish oil

4000

 

No change

Caution

No data

PCSK9 inhibitors

Alirocumab 75-150mg SC q 2 weeks

Evolocumab 140mg weekly SC - 420mg monthly SC

Unknown

No change

Not defined

No data

Bempedoic acid

180 mg daily

Hepatic

No change

Not defined

No data

Inclisiran

284 mg SC at 0 and 3 months then every 6 months

Nucleases

No change

Not defined

No data

SUMMARY

CVD is the leading cause of mortality in CKD, and as with the non-CKD population dyslipidemia is a significant contributor. The dyslipidemia of CKD comprises primarily high triglyceride levels and low HDL-cholesterol levels; however, emerging data suggests that the composition of the lipoprotein particles is altered by CKD, and that altered composition and/or lipoprotein cargo may be a cause of the increased CVD in CKD. The use of statins has been shown to be safe and efficacious in lipid lowering in CKD, and of benefit in reducing CVD events in individuals with pre-end stage CKD, or post renal transplant, but not in dialysis patients. The various available agents have different clearance routes, and some statins need dose adjustment in CKD. In patients that cannot tolerate or who have contra-indications to statin therapy, there may be some benefit from use of PCSK9 inhibitors, fibrates niacin or newer therapies such as bempedoic acid and inclisiran, but further studies are needed to better investigate their use.

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Immune Checkpoint Inhibitors Related Endocrine Adverse Events

ABSTRACT

 

Immune checkpoint inhibitors (ICIs) are currently used for the treatment of various types of cancers. Despite the important clinical benefits, these medications can lead to a spectrum of side effects called immune-related adverse events (irAEs). Endocrine irAEs are among the most common irAEs that have been reported in clinical trials and post-marketing settings with an overall incidence of around 10% of patients treated with ICIs. These include hypothyroidism, hyperthyroidism, hypophysitis, primary adrenal insufficiency, insulin‐deficient diabetes mellitus, hypogonadism, hypoparathyroidism, hypocalcemia, and other less commonly reported side effects. The symptoms can sometimes be nonspecific but life-threatening. Hence, physicians should be aware of the endocrine irAEs which can occur anytime during treatment or even after discontinuation of the medications. In this chapter, we will be discussing in detail the ICI-related endocrine irAEs and their management. In addition, we will be suggesting an algorithm to be used in the clinical setting for screening and monitoring of the endocrine iRAEs.

 

INTRODUCTION

 

Immune checkpoint inhibitors (ICIs) are currently approved by the US Food and Drug Administration (FDA) for the treatment of various types of cancers and have significantly improved clinical outcomes and survival. Antigen-presenting cells (APCs) process and express antigens (including tumor antigens) on major histocompatibility complexes recognized by receptors on T cells, which then stimulates a cascade either to kill the cell expressing the antigen (via CD8+ effector/cytotoxic T cells) or recruit other components of the immune system (via CD4+ helper cells) (1). Many of the ligands presented by the APCs can bind to multiple receptors and deliver stimulatory or inhibitory signals, the latter being referred to as immune checkpoints. Various ligand-receptor interactions between antigen-presenting cells and T cells regulate the T cell response to the antigen (Figure 1). Agonists of stimulatory receptors or antagonists of inhibitory signals can result in amplification of antigen-specific T-cell responses (2). Cancer cells can develop tolerance to the immune system by upregulating the expression of immune checkpoint molecules like programmed cell death ligand (PD-L1) leading to peripheral T cell exhaustion or lose surface antigen expression leading to immunologic escape. ICIs help overcoming this tolerance by inhibiting the checkpoints and these inhibitory compounds currently used in pharmacologic intervention target three ligands/receptors- CTLA-4, PD-1, and PD-L1 (3).

 

Cytotoxic T-Lymphocyte-Associated Protein 4 (CTLA-4) Inhibitors

 

CTLA-4 was first described by Leach et. al. in 1996 as a receptor on T cells (3), where it acts as a physiologic brake on the T-cell activation. It competes with the CD28 stimulatory receptor present on T cells (1). Both bind CD80 and CD86 ligands (also known as B7.1 and B7.2 respectively, collectively as B7) seen on APCs, but CTLA-4 has a 500-2500 times higher affinity for these ligands than CD28 does. Blocking CTLA-4: B7 interactions favors CD28:B7 interactions, which results in proliferation of T cells, increased T cell survival, activation of T effector cells, and increased diversity of T cell responses on tumors. This is the basis of CTLA-4 inhibitor therapy with ipilimumab (trade name Yervoy) and tremelimumab (4, 5).

 

Programmed Death-1 (PD-1) and Programmed Death-Ligand 1 (PD-L1) Inhibitors

 

PD-1 receptors on the T cell interact with PD-L1 (another member of the B7 family) and inhibit T-cell expression and decrease expression of proinflammatory cytokines such as interferon-gamma (IFN-gamma), tumor necrosis factor-alpha (TNF-alpha), and interleukin -2 (IL-2) similar to CTLA-4. PD-L1 is found on leukocytes, nonlymphoid tissue, and tumor cells and modulates CD8+ T cell function (1). PD-L1 is aberrantly expressed on many cancers, including lung, ovary, colon, head and neck, and breast (6) and results in tumor cells evading the immune system (7).  Inhibition of PD-1: PD-L1 interaction increases the number of T cells and inflammatory markers at tumor sites, creating an environment more conducive to tumor suppression. Drugs that target PD-1 include pembrolizumab (Keytruda), nivolumab (Opdivo), and dostarlimab (Jemperli) while PD-L1 inhibitors include atezolizumab (Tecentriq), avelumab (Bevancio), and Durvalumab (Imfinzi). PDL-2 is expressed on dendritic cells, monocytes, and mast cells and modulates CD4+ function.

Figure 1. Interactions between antigen-presenting cells (APCs) and T cells that regulate T-cell responses. From DM Pardoll (2)

 

Immune checkpoints normally inhibit the function of T cells, which helps prevent autoimmunity but can also benefit cancer cells. ICIs prevent the apoptosis and downregulation of T cells, which allows the immune system to naturally fight malignant cells. Despite the important clinical benefits, this unique mechanism of action itself can lead to a spectrum of side effects called immune-related adverse events (irAEs). Endocrine irAEs are among the most common irAEs that have been reported in clinical trials and post-marketing settings with a meta-analysis of 38 randomized trials showing an overall incidence of endocrinopathies among 10% of patients treated with ICIs (8). These include hypothyroidism, hyperthyroidism, hypophysitis, primary adrenal insufficiency (PAI), and insulin‐deficient diabetes mellitus. Median time to onset of moderate to severe endocrinopathy is 1.75-5 months with ipilimumab and 1.4-4.9 months for any endocrinopathy with PD-1 inhibitors (9, 10). Patients with pre-existing autoimmune disorders are at higher risk of exacerbation of the autoimmune condition as well as development of an unrelated irAEs (11). Multiple large prospective studies and meta-analyses showed that irAEs are associated with improved treatment outcomes suggesting the activated immune system is also concurrently targeting the cancer (12-14).  Hence, the general principle of management of irAEs is to control symptoms with minimum amount of immunosuppression. In this article, we will be discussing in detail the ICI-related endocrine irAEs and its management. We will be suggesting algorithm for screening, monitoring and treatment of the patients and we will be listing a summary of the side effects grading system and incidence in different ICI. (Figure 2-4, Table 3-4).

 

Immune Checkpoint Inhibitor Induced Thyroid Diseases

 

ICI-mediated thyroid disease is one of the common endocrine irAEs. It can manifest as primary hypothyroidism secondary to destructive thyroiditis or as hyperthyroidism due to Graves' disease.

 

HYPOTHYROIDISM

 

ICI-mediated hypothyroidism can present as primary or secondary hypothyroidism (secondary to hypophysitis, which is discussed below). Primary hypothyroidism usually ensues after an occurrence of ICI-induced thyrotoxicosis. In a study by Abdel-Rahman et. al., authors found a higher risk of all-grade hypothyroidism compared to hyperthyroidism associated with ICIs therapy (15).

 

Incidence 

 

The incidence of hypothyroidism with the use of immune checkpoint inhibitors varies based on the type of immune checkpoint inhibitors used and monotherapy vs combination therapy. In the largest meta-analysis of 38 randomized control trials comprising 7551 patients, the overall incidence of hypothyroidism was found to be 6.6%. The incidence of hypothyroidism ranged from 3.8% with ipilimumab to 13.2% (95% CI, 6.9%-23.8%) with combination therapy (8). Various other studies have also found similar findings of higher incidence of hypothyroidism with the use of PD-1 inhibitors (7-21%) compared to CTLA-4 inhibitor (0-6%) ipilimumab (16).

 

Pathophysiology 

 

Anti-thyroid antibodies are often absent in ICI-associated hypothyroidism, suggesting a role of cell-mediated rather than humoral autoimmunity (17). In addition, some studies have suggested an increased risk of ICI-induced thyroid dysfunction among patients with pre-existing anti-thyroid antibodies compared to those without these antibodies suggesting unmasking of autoimmune destruction with the use of ICIs (18, 19). The complete pathophysiology behind the development of thyroid dysfunction is not completely understood, but increased cytokine levels following anti-PD1 therapy have been found to correlate with thyroid dysfunction (20). Fine-needle aspiration biopsy obtained during active ICI-induced thyroiditis showed lymphocytic infiltrate along with CD163+ histiocytes (21).

 

Clinical Characteristics

 

The median time to thyroid dysfunction following initiation of ICIs is 6 weeks and most of the patients develop biochemical hypothyroidism (22). Nonetheless, thyroid dysfunction can happen at any time during therapy. Most of the patient are asymptomatic or have very few symptoms. Common presenting symptoms include fatigue, depressed mood, mild weight gain, and constipation however with severe hypothyroidism, the patient can present with altered mental status (23).

 

Screening and Monitoring

 

Thyroid function tests should be performed in all the patients receiving ICIs, by measuring TSH (thyroid stimulating hormone) and free T4 (free thyroxine). In the setting of abnormal thyroid function tests, routine monitoring is recommended at 4-6 weeks or more frequently if clinically indicated. However, in presence of normal thyroid function tests, the frequency could be increased to every 12-18 weeks. ICI-induced hypothyroidism is diagnosed by the presence of elevated TSH and decreased free T4. However, TSH is the more sensitive and preferred test. Currently, anti-thyroid antibodies have not been proven to be helpful in the screening and treatment of these patients. For patients who have subclinical hypothyroidism (elevated TSH and normal Free T4), routine monitoring is recommended while continuing treatment with immunotherapy.

 

Treatment

 

The diagnosis of primary hypothyroidism is based on elevated TSH (>10 mIU/L) and low free T4 along with clinical symptoms. Once the diagnosis is established, treatment is recommended with levothyroxine supplementation. For young patients with TSH >10 and low free T4, a full replacement dose at 1.6 mcg/kg should be considered. However, in elderly patients or among patients with cardiovascular comorbidities, a lower starting dose of 50 mcg is recommended. The dose should be changed by ~10% every 4-6 weeks to achieve reference range or age-appropriate range TSH and free T4. ICIs are usually continued while treating hypothyroidism with mild to moderate symptoms (24, 25). Although the guidelines to diagnose and treat ICI–associated primary hypothyroidism is well established, the recommendations for the management of patients with subclinical hypothyroidism (mildly elevated TSH with normal free T4) is not well established and should be based on the patient’s symptoms, age, and co-morbid conditions (26, 27).

 

THYROTOXICOSIS

 

ICI-mediated thyrotoxicosis can present as transient thyrotoxicosis or persistent hyperthyroidism. Transient thyrotoxicosis is far more common among patients treated with ICIs and is often followed by primary hypothyroidism; persistent hyperthyroidism is less frequent. Hyperthyroidism is more commonly reported with combination therapy and is rare with PD-L1 inhibitors. Patients with hyperthyroidism can be symptomatic and need supportive care with beta-blockers and anti-thyroid medications in some cases.

 

Incidence 

 

The prevalence of ICI-associated transient thyrotoxicosis has varied significantly among the studies and can range from 3.0-9.0% (23, 28) and is followed by primary hypothyroidism (8). The incidence of transient thyrotoxicosis is higher among patients treated with combination therapy compared to monotherapy with anti-PD1 or anti-PD-L1 therapy (23). In the largest to date meta-analysis, the overall incidence of hyperthyroidism was estimated to be 2.9%. The incidence of hyperthyroidism ranged from 0.6% with the PD-L1 inhibitor to 8.0% with combination therapy. Combination therapy was found to have an increased risk of higher-grade hyperthyroidism compared to monotherapy. Moreover, the risk of hyperthyroidism was greater with PD-1 inhibitors compared to PD-L1 inhibitors (8). ICI-induced Graves’ disease is extremely rare, with only a few reported cases in the literature (29).

 

Pathophysiology 

 

The pathophysiology of ICI-thyrotoxicosis remains poorly understood. Autoimmunity is believed to play a critical role in leading to thyroiditis among patients treated with ICIs. In one study, combination ICI therapy (ipilimumab and nivolumab) resulted in a more robust antibody response compared to monotherapy with nivolumab, leading to faster destruction of the thyroid (30). Moreover, patients with elevated anti-TPO or antithyroglobulin antibodies required a higher dose of levothyroxine compared to those who did not have elevated antibodies. In addition to antibody-mediated thyroid destruction, circulating CD56, CD16, and natural killer cells have been implicated in the development of pembrolizumab-induced thyroiditis in one study (17). Another study found an association between PD-L1 and PD-L2 expression on the thyroid gland and destructive thyroiditis (31). Worsening of pre-existing autoimmune thyroid disease and subclinical hypothyroidism in patients treated with ICIs have also been reported, suggesting synergistic roles of autoimmunity and inflammatory mechanisms (30).

 

Clinical Characteristics

 

Most patients with thyrotoxicosis are asymptomatic or present with symptoms such as palpitation, agitation, anxiety, and insomnia (23). Although uncommon, ICI-induced Graves' disease following use of CTLA-4-inhibitor and PD1-inhibitors have also been reported and can be associated with graves orbitopathy (23). Graves’ orbitopathy can occur with and without TRAb antibodies among patients treated with ICIs (29). ICI-induced thyroid storm is extremely rare and has only been reported a few times in the literature (32, 33). Toxic autonomous nodules or toxic multinodular goiter is not associated with ICIs and if seen among patients treated with ICIs, should be considered a co-incidental finding (23).

 

Screening and Monitoring

 

Screening of ICI-induced thyrotoxicosis is performed by TSH and free T4. Thyrotoxicosis is defined as suppressed TSH and it can either be (i) clinical when free T4 is elevated or (ii) subclinical when free T4 is normal. The most common cause of ICI-induced thyrotoxicosis is thyroiditis, which is due to the destruction of thyroid follicular cells with the release of preformed thyroid hormone. This is often associated with transient thyrotoxicosis and eventually progresses to hypothyroidism in the majority (50 to 90%) of the cases (22, 28). Hence, monitoring of TFTs with TSH and free T4 every 4-6 weeks is recommended. The usual duration of thyrotoxicosis with ICIs is about 4-6 weeks (30, 34) and if thyrotoxicosis persists beyond this period, evaluation for Graves’ disease should be considered by checking thyroid-stimulating hormone receptor antibody (TRAb) or thyroid-stimulating immunoglobulin (TSI) or a thyroid uptake scan (28)( Figure 2).

 

Treatment

 

For patients with minimal symptoms of thyroiditis-associated thyrotoxicosis, and presence of suppressed TSH and elevated free T4, supportive treatment with non-selective beta-blockers such as propranolol should be considered (24). When propranolol is used, the recommended dose is 10-20 mg every 4 to 6 hours for symptomatic management and until thyrotoxicosis resolves. As most of the time, patients with ICI-induced thyrotoxicosis progress to develop primary hypothyroidism (defined by elevated TSH levels), further treatment with thyroid hormone replacement should be considered. However, in the minority of cases (such as prominent initial symptoms, significantly elevated free T4 levels, signs of Graves’ orbitopathy, or persistent thyrotoxicosis), further evaluation and treatment for Graves’ disease should be considered (30, 34). Graves’ disease should be treated with anti-thyroid medications, radioactive iodine, or surgery depending on the clinical setting and patient preference (35). Rarely, patients can develop thyroid storm and high-dose steroids should be used in conjunction with standard management among these patients (34). If asymptomatic or only mildly symptomatic, continuation of ICIs is recommended (24, 25).

Figure 2. Algorithm suggested to diagnose and treat ICI thyroid disease.

Hypophysitis

 

Hypophysitis is one of the more common endocrine side effects reported with the use of ICIs particularly with CTLA-4 antibodies and combination therapy including both CTLA-4 and PD1 or PD-L1 inhibitors. It is less likely with PD-1 or PD-L1 inhibitor monotherapy. Hypophysitis is characterized by infiltration and inflammation of the pituitary gland. It can occur in the first few weeks of treatment with frequent hormonal deficiencies at the time of diagnosis. Pituitary enlargement is considered both a highly sensitive and specific indicator of hypophysitis after ruling out metastatic disease. Moreover, the symptoms of hypophysitis can sometimes be non-specific, hence the importance of close monitoring of these patients for early diagnosis and prompt treatment (36, 37).

 

INCIDENCE

 

Hypophysitis estimated incidence was one in nine million people per year (38). ICI-induced hypophysitis has been reported in 0-17% of ICI-treated patients. Some studies showed the incidence increased up to 25% while using higher doses of ipilimumab of 10 mg/kg (36, 37, 39). There have been some variations in the observed incidence rate of ICI-induced hypophysitis which has been attributed to not only the dose of the medication but also to the difference in the use, the intensity, and the frequency of hormonal monitoring, in addition to clinical awareness of and suspicion for the condition (37, 40).

 

Adrenocorticotropic hormone (ACTH) is one of the most common hormone deficiencies in hypophysitis. In a study of ipilimumab-induced hypophysitis, 80% had central adrenal insufficiency. Lu et. al. found hypophysitis occurred in 3.25% of patients using ICIs. Of these, it was more common with combination therapy at 7.68% followed by anti-CTLA-4 at 4.53% then anti-PD-1 and anti-PD-L1 at less than 1% of cases (41). Chang et. al. found the combination of ipilimumab (anti-CTLA-4) and nivolumab (anti-PD-1) caused hypophysitis in 6.4% of patients. Incidence of anti-CTLA-4 alone was 3.2%, anti-PD-1 alone is 0.4%, and anti-PD-L1 alone was 0.1% (42). Overall, the evidence suggests that combination therapy and anti-CTLA-4 have the highest incidence of hypophysitis, while anti-PD-1 and anti-PD-L1 are less common causes of hypophysitis.

 

PATHOPHYSIOLOGY

 

The actual pathogenesis is not well defined. Since many patients had no previous immune-related disease before the development of ICI-associated hypophysitis, it was suggested that this condition is not triggered by a pre-existing immune condition. Hypophysitis was initially considered a specific irAE of ipilimumab considering the presence of pituitary expression of CTLA-4 antigens in the TSH, follicle stimulating hormone (FSH), ACTH, and prolactin-secreting cells. Now more recent data suggested that it can occur with any ICI target (CTLA-4, PD-1, or PD-L1) (43, 44). Garon Czmin et. al. reported that the time to develop hypophysitis following initiation of ICIs was significantly shorter with ipilimumab alone or combined with nivolumab (83 days) compared to nivolumab or pembrolizumab alone (165 days). Moreover, ICI-associated hypophysitis is more common in men while autoimmune lymphocytic hypophysitis has a higher prevalence in the female population (43, 45). In one study, hypophysitis with anti-CTLA was four times more common in males compared to females. This may be related to more men having melanoma, but studies controlling for this factor have found similar results (42). Corticotrophs and thyrotrophs are the most common cell types affected while gonadotroph deficiency was more common in male patients. The somatotroph axis and prolactin levels were rarely involved (36).

 

CLINICAL CHARACTERISTICS

 

Hypophysitis can occur weeks to months after the initiation of ICIs. In the study by Albarel et. al., mean hypophysitis occurred at 9-9.5 weeks ± 6 weeks after the treatment initiation with a mean age at diagnosis of 55.2 years (36). The initial symptoms are usually related to tumor mass or hormone deficiencies, and rarely visual disturbance or diabetes insipidus. Symptoms may be acute or subacute, but they are usually nonspecific, including headaches, anorexia, dizziness, nausea, weight loss, and/ or fatigue. More serious signs are hypotension, lethargy, confusion, and electrolyte abnormalities including hyponatremia. Hyponatremia occurs due to increased antidiuretic hormone (ADH) stimulated by hypothalamic secretion of CRH. The most common hormone deficiencies include TSH, ACTH, FSH, luteinizing hormone (LH). Panhypopituitarism is less likely to happen. Although hypogonadotropic hypogonadism and central hypothyroidism may resolve, central adrenal insufficiency is permanent requiring lifelong treatment (36, 42). Although, hypo enhancing lesions in the anterior pituitary are characteristic of ICI-associated hypophysitis, a few cases of PD-1/PD-L1 induced-hypophysitis have been reported in the absence of any radiographic abnormalities and just on clinical grounds (46). This suggests that PD-1/PD-L1 may not always show classic pituitary enlargement or enhancement on MRI (47).

 

SCREENING AND MONITORING

 

The National Comprehensive Cancer Network (NCCN) guidelines recommend initial serum pituitary hormonal evaluation including morning cortisol, ACTH, TSH, FT3, LH, FSH, testosterone in men, estrogen in premenopausal women, prolactin, growth hormone, and IGF1. The sodium and potassium levels should also be checked. Cosyntropin stimulation test can be normal in acute secondary adrenal insufficiency. Diagnostics radiology reports of brain MRIs in patients receiving ICIs should routinely include comparisons of pituitary size with prior studies. In case of suspected hypophysitis, a dedicated pituitary MRI is recommended.  MRI usually showed a pituitary enlargement with or without mass effect however some cases showed pituitary adenoma, empty sella syndrome, or a normal pituitary gland on the imaging studies.

 

TREATMENT

 

Once high suspicion for ICI-induced hypophysitis, an endocrinology consult is recommended. High-dose glucocorticoids should be initiated for patients with ipilimumab-induced hypophysitis who have serious mass-effect-related symptoms, such as severe headache, visual-field disturbance, or simultaneously the presence of other irAEs. Patients should be started on methylprednisolone/prednisone at 1-2 mg/kg /day until symptoms resolve, typically 1-2 weeks then taper the steroids rapidly to a physiological dose. In patients without mass effect, studies have suggested that high dose glucocorticoid therapy was not associated with improved outcomes in patients nor change in the natural history of hypophysitis, thus physiological replacement doses can be considered in these patients (28, 36, 48).ICIs should be held until acute symptoms or symptoms related to mass effect have resolved and hormone replacement is initiated (42). One study compared discontinuing ipilimumab to restarting ipilimumab and found no effect on the resolution of hypophysitis (42). In the case of central hypothyroidism, replacement should be started after steroids are initiated. Testosterone and estrogen replacement should be considered in patients with central hypogonadism after discussing the risks and benefits of the medications (28).

 

Adrenalitis

 

Primary adrenal insufficiency (PAI), although being a rare endocrine irAEs is a potentially serious condition with significant morbidity and mortality if not identified early. Metastasis to the adrenal gland should be excluded. Other causes of adrenal insufficiency include sudden withdrawal of glucocorticoids and central adrenal insufficiency related to hypophysitis (49).

 

INCIDENCE

 

PAI is a rare side effect of ICIs, but early identification is essential given the risk of severe outcomes including death. Early evidence of adrenal insufficiency from ICIs came from case reports, but increasingly more evidence is available from larger studies and meta-analyses (50).

A review and meta-analysis by Barroso-Sousa et. al. that included 62 studies with 5831 patients, found the incidence of PAI was 0.7% for single ICI and 4.2% for combinations of ICIs (8). Another review and meta-analysis by Lu et. al. that included 160 studies and 40,432 patients, examined the rate of pituitary-adrenal dysfunction but did not distinguish the cause of adrenal insufficiency. One complicating factor in the study of PAI is that similar symptoms could occur from hypophysitis or discontinuation of steroids (41). Lu et. al. found adrenal insufficiency occurred in patients on ICIs in 2.43% of cases (ranging from 0-6.4% in studies) with serious grade adrenal effects in 0.15% of cases (ranging from 0-3.3%). Anti-CTLA-4 was associated with higher rates of adrenal insufficiency at 5.32% and serious grade events at 0.42%. Combination therapy also resulted in higher rates of adrenal insufficiency at 4.05%. Anti-PD-1 and anti-PD-L1 accounted for a smaller proportion of events at 0.49% and 0.43% respectively (41).

 

Grouthier et. al. used the World Health Organization global database, VigiBase, to examine individual safety reports for PAI and ICIs (4). The study found 451 cases of PAI, of which 45 were definite PAI and 406 possible PAI. In the study, 90% of cases involved significant morbidity including prolonged hospitalization, life-threatening illness, and disability. The mortality rate was 7.3%. Importantly the mortality rate appeared to be similar across immunotherapy treatments and combination treatments (4). This suggests that despite a relatively low incidence rate of PAI from ICIs, providers need to be able to identify these cases to prevent the significant risk of morbidity and mortality. 

 

PATHOPHYSIOLOGY

 

PAI is most frequently caused by autoimmune adrenal insufficiency (AI). Autoimmune AI is seen predominantly in women who make up between 54% to 83% of cases. In contrast, males accounted for the majority of ICI-related PAI cases at 58%, while females accounted for 36% of cases. In the remaining 6%, sex was unspecified. Autoimmune AI generally occurs between 30 to 50 years of age. In contrast, the age of onset with PAI caused by ICIs was 66 years on average with a range of 30-95 years old (1). In autoimmune AI, antibodies to the adrenal cortex including anti-21-hydroxylase are found in 83% to 88% of cases (4). The same antibodies have been found in case reports of ICI-related PAI (42). Adrenal metastasis should be excluded during the workup of adrenal insufficiency.

 

CLINICAL CHARACTERISTICS

 

Symptoms of PAI related to ICIs are similar to PAI from other causes. Symptoms include fatigue, postural dizziness, orthostatic hypotension, anorexia, weight loss, and abdominal pain. Adrenal crisis is suggested by altered mental status, weakness, syncope, nausea, and vomiting (42). In 52% of cases, other irAEs were also present. Other endocrinopathies made up 14.9% of these irAEs. The median time to onset was 120 days (ranging from 6-576 days) from starting the ICIs (4). Lab findings include hyponatremia, hyperkalemia, hypoglycemia, hypercalcemia, low aldosterone, elevated renin, elevated ACTH, and low to low normal cortisol. Imaging may reveal adrenalitis with enlarged adrenal glands. Interestingly, one case report found imaging evidence of adrenalitis present on a positron emission tomography (PET) scan after starting ipilimumab, but no symptoms or biochemical evidence of adrenal insufficiency. Repeat imaging revealed normal adrenal glands months later. This case suggests adrenalitis may occur without adrenal insufficiency (42).

 

SCREENING AND MONITORING

 

The NCCN guidelines recommend checking morning cortisol before each treatment or every four weeks during treatment. Additionally, follow-up testing is recommended for an additional six to twelve weeks. If cortisol is low or subnormal, ACTH monitoring is recommended. To monitor for pituitary and thyroid dysfunction, TSH and T4 monitoring at similar intervals are also recommended (28). In a review by Chang et. al., monitoring was recommended only in symptomatic patients, but a low index for suspicion was recommended as symptoms are nonspecific. When a patient has suspicious symptoms for adrenal dysfunction, ACTH and cortisol should be obtained before corticosteroid treatment only if this can be done safely. Additionally, measuring renin and aldosterone is helpful to determine if mineralocorticoid deficiency is present. This can be particularly helpful as case reports of central and PAI coexisting have been reported. The utility of adrenal autoantibodies, including 21-hydroxylase, is not well-established (42).

 

TREATMENT

 

PAI caused by ICIs is treated the same as other causes of PAI. If adrenal crisis or other critical illness is present, stress dose steroids with 100mg IV then 50mg IV every six hours is initiated. In stable patients, 15-25mg hydrocortisone is started in divided doses. Fludrocortisone is used to treat mineralocorticoid deficiency in PAI starting at 0.5-1mg daily. Additionally, patients will need to be educated on sick day rules and be provided with medical alert bracelets, and have high-dose corticosteroids for emergency purposes (28). The other important aspect of treatment is the decision to continue the ICIs. Holding the ICIs is recommended upon identification of adrenal insufficiency. Restarting immunotherapy can be considered after stabilization on hydrocortisone and fludrocortisone replacement.

 

Type 1 Diabetes

 

Rapid onset of autoimmune diabetes has been reported with ICIs use.  It is a rare but life-threatening side effect as it can present with diabetic ketoacidosis (DKA). The diabetes is permanent and requires lifelong treatment with insulin therapy (51). Notably, ICI-induced type 1 diabetes (T1D) has been reported with all clinically available PD-1 (nivolumab, pembrolizumab) and PD-L1 inhibitors (avelumab, durvalumab, atezolizumab) but rarely with the CTLA-4 inhibitor (ipilimumab).

 

INCIDENCE

 

The incidence of ICI-induced T1D comes from large case series at academic medical centers reporting 27 cases out of 2960 patients receiving ICI therapy (0.9%) (52) and 1/1163 (1.8%) (53).  Additionally, the prescription label for nivolumab reports that 17/1994 (0.9%) cases developed T1D (54). However, when examining the clinical trials evaluating the efficacy of PD-1 and PD-L1 inhibitors, there is a wide range of reported hyperglycemia and diabetes (55-64) (Table 1). From this analysis, hyperglycemia or diabetes was reported in approximately 2.5% of treated individuals.

 

Table 1. Clinical Trials Reporting Hyperglycemia/Diabetes with ICIs Use

Authors, Journal and Publication Year

Cases (n)

Study

Participants

(n)

Sideeffect (%)

Side effect

Drug

Cancer Type

Hamid et. al. NEJM, 2013 (55)

4

135

2.96

Hyperglycemia

Lambrolizumab

Melanoma

Borghaei et. al. NEJM, 2015 (56)

13

287

4.52

Hyperglycemia

Nivolumab

Lung

Motzer et. al. NEJM, 2015 (57)

9

406

2.21

Hyperglycemia

Nivolumab

Renal cell

Robert et. al. NEJM, 2016 (58)

1

206

0.48

Diabetes

Nivolumab

Melanoma

Nghiem et. al. NEJM, 2016 (59)

1

26

3.84

Hyperglycemia

Pembrolizumab

Merkel-cell

Kaufman et. al. Lancet, 2016 (60)

1

88

1.13

Type 1 Diabetes

Avelumab

Merkel-cell

Reck et. al. NEJM, 2016 (61)

1

154

0.64

Type 1 Diabetes

Pembrolizumab

Lung

Heery et. al. Lancet, 2017 (62)

3

53

5.66

Hyperglycemia

Avelumab

Solid tumors

Weber et. al. NEJM, 2017 (63)

2

452

0.44

Diabetes

Nivolumab

Melanoma

Choueiri et. al. Lancet, 2018 (64)

7

55

12.7

Hyperglycemia

Avelumab

Renal cell

 

Of note, most of the clinical trials in Table 1 excluded patients with a preexisting autoimmune condition, and some even excluded patients with a family history of autoimmunity. As these therapies are now being more widely used in clinical practice, there is an increased reporting of ICIs-induced diabetes (65). This is likely due to the increasing use of ICIs therapy and differences in patient populations between phase 2/3 clinical trials and clinical practice. Although T1D is a relatively rare occurrence with ICIs therapy, the events are clinically significant.

 

PATHOPHYSIOLOGY

 

The first case series reporting ICIs-induced autoimmune diabetes was described in 2015 (66). In this series of five patients, both humoral and cellular diabetes-associated autoimmunity were described. Some patients had positive T1D associated autoantibodies and diabetes-specific CD8+ T cells in the peripheral blood, consistent with findings from childhood-onset T1D (66).

The role of the PD-1/PD-L1 pathway in preclinical animal models of T1D has been appreciated for over a decade. Non-obese-diabetic (NOD) mice develop spontaneous autoimmune diabetes so it has been used extensively as an animal model to understand the mechanisms of T1D development (67). NOD mice with a knockout of either PD-1 or PD-L1 (but not PD-L2) have accelerated onset of diabetes with lymphocytic infiltration of the pancreatic islets (e.g., insulitis) compared to mice with these immune regulatory molecules (68, 69). Furthermore, administration of anti-PD-1or PD-L1 monoclonal antibodies to NOD mice also accelerated the onset of T1D (70). When examining the islets in NOD mice, insulin-producing beta-cells express PD-L1 during the progression of autoimmune diabetes (71). Similar to NOD mice, human islets from T1D organ donors exhibit upregulation of PD-L1, which was strongly associated with insulitis (72). This likely represents a protective mechanism for beta-cells to lessen their autoimmune destruction. These studies may explain why anti-PD-1/PD-L1 therapies induce T1D, while there is an absence of diabetes with anti-CTLA-4 therapy, whose ligands are CD80 and CD86 on antigen-presenting cells such as B cells, dendritic cells, and macrophages.

 

CLINICAL CHARACTERISTICS

 

Over the last 4 years, cases have described rapid-onset insulin-dependent diabetes with undetectable C-peptide levels (a measure of residual beta-cell function) and both positive and negative T1D associated autoantibodies at presentation (73, 74). Cases of ICIs-induced T1D have remained insulin-dependent even upon stopping therapy. Steroid treatment has not been able to reverse T1D, and as expected, blood glucose worsens with steroid administration (75, 76).

 

ICIs-induced T1D is mostly reported in older patients (50-70 years old) due to the nature of end-stage cancers developing later in life. More cases have been reported with anti-PD-1 therapies (nivolumab and pembrolizumab) as these agents were approved before monoclonal antibodies targeting anti-PD-L1 (51, 66, 73, 74, 77). Melanoma is the most common cancer in patients that present with ICIs-induced T1D, likely due to this being the first approved indication for ICIs therapy, and more patients with melanoma have been exposed to ICIs therapy compared to other cancer types. However, with the expanding indications and recent approval of ICIs therapy for use in pediatric cancers, ICIs-induced T1D may increase and present in younger individuals (78).

 

METABOLIC FEATURES

 

ICIs-induced T1D presents within days to a year after the initiation of PD-1 or PD-L1 therapy. HbA1c, which is a measure of the average blood glucose over the preceding three months, is generally lower than 10% at presentation with most patients presenting between 7 to 8%. As these values are mildly elevated, this suggests significant hyperglycemia over a short period rather than a gradual increase in hyperglycemia over a longer period. Most of the patients present with severe DKA that can be life-threatening. In most cases, C-peptide levels were inappropriately low for the presenting blood glucose or undetectable; ‘honeymoon’ periods tend to be absent after diagnosis. These observations suggest a destruction of beta-cell mass. In some patients, increased amylase and/or lipase has beenreported, suggesting more generalized pancreatic inflammation (52, 79).

 

IMMUNOLOGIC FEATURES

 

At least one T1D associated autoantibody, directed against insulin, glutamic acid decarboxylase (GAD), islet antigen-2 (IA-2), and zinc transporter 8 (ZnT8), was reported in 40-50% of the cases (52, 79). Almost all antibody-positive cases had GADA antibodies; however, not all four major autoantibodies were reported or measured in these case series. It is speculated that there is an association between antibody presence and earlier onset of ICIs-induced T1D in a subset of patients. In one case, positive conversion of antibodies after ICIs therapy was reported (52). Polyclonal and predominantly IgG1 subclass for GADA was shown at the presentation of another case that developed T1D five days after the initiation of PD-1 inhibitor therapy. Since IgG antibodies are involved in memory immune response and the short time interval from the initiation of anti-PD-1 treatment to the onset of T1D, these antibodies were likely present before the start of therapy (51). Based on these findings, a subset of patients developing ICIs-induced T1D likely have preexisting T1D associated antibodies which may be an early form of latent autoimmune diabetes of adulthood (LADA); however, prospective studies measuring T1D associated antibodies before the start of ICIs therapy are needed to evaluate this hypothesis.

 

GENETIC RISKS

 

Human leukocyte antigen (HLA) genes on chromosome 6 confer genetic risk for many autoimmune disorders including childhood-onset T1D (80). The polymorphic class II HLA genes (DQ, DR, and DP) confer this risk, especially the DR4-DQ8 and DR3-DQ2 haplotypes (81, 82). Only a small number of cases with ICIs-induced T1D have reported HLA genes with some having T1D risk alleles. In one case series, the frequency of HLA-DR4 was found to be enriched in those with ICIs-induced T1D compared to rates among Caucasians in the US population (52, 79). Further research is necessary to identify HLA and other genetic variants that may confer risk for ICIs-induced T1D.

 

COMPARISON TO CHILDHOOD-ONSET TYPE 1 DIABETES

 

We believe it is useful to compare the current knowledge of ICIs-induced T1D to prototypical childhood-onset T1D (Table 2). The age of onset is distinctly different between the two types of diabetes. Presentation with DKA is more common and the onset of diabetes more rapid than traditional T1D. T1D associated autoantibodies are present in ~90% of children and adolescents with T1D compared to half of the reported cases in ICIs-induced T1D. There is a predominance of GAD autoantibodies at the presentation of ICIs-induced T1D; however, more research is needed to measure all four major T1D associated autoantibodies in these patients and those directed against post-translationally modified antigens may also reveal insights into the pathogenesis of the disorder. C-peptide levels are low or undetected in those treated with ICIs therapy that develops T1D compared to C-peptide levels that vary and gradually go down after the diagnosis of childhood T1D. As a corollary, the honeymoon phase is generally absent in ICIs-induced T1D (80-83).

 

Table 2. Comparison Between Prototypical and Immune Checkpoint Inhibitor-Induced Type 1 Diabetes

Characteristics

Prototypical Type 1 Diabetes

Immune Checkpoint Inhibitor-Induced Type 1 Diabetes

Age of Onset

Peak in early childhood & adolescence

Later adulthood, 60’s

Diabetic ketoacidosis at Onset

Common

Very common

Pathophysiology

Autoimmune (years)

Autoimmune (days to months)

Autoantibodies

Present in 90-95%

Present in ~50%*

HLA Risk Genes

~90%

75-80%+

C-peptide at presentation

Varies

Low/absent

Honeymoon phase

Present

Absent

*Predominantly GADA antibodies;

+Small sample size, as not all cases report HLA alleles; there is an association with HLA-DR4

 

SCREENING AND MONITORING

 

The most updated recommendation on screening for diabetes in patient receiving ICIss comes from 2018 American Society of Clinical Oncology (ASCO) clinical practice guidelines, which recommends monitoring blood glucose at baseline, with each treatment cycle for 12 weeks and then every 3-6 weeks thereafter (24). In cases with suspected T1DM such as new onset hyperglycemia >200 mg/dl, random blood sugar >250 or history of T2DM with glucose levels >250 mg/dl, further testing for ketosis and anion gap is recommended (24). Discussing the risk of developing T1D with patients and educating them about the signs and symptoms of diabetes and DKA are recommended. Based on the current evidence, patients who have positive T1D associated antibodies and certain HLA alleles may have an increased risk to develop diabetes, so screening antibodies and reporting HLA alleles before the initiation of treatment may identify these patients with greater risk.

 

A retrospective study evaluated fasting blood glucose levels of patients receiving ICIs treatment during patient visits and showed no detectable upward drift of glycemia before DKA presentation (83). This is likely due to the rapid onset and progression of ICI-induced T1D. However, we believe monitoring blood glucose and HbA1c levels during patient visits are still necessary. Considering the rapid onset of diabetes, this approach alone may miss a significant amount of hyperglycemia and DKA. We recommend routine self-monitoring of blood glucose by patients and/or using continuous glucose monitoring to recognize hyperglycemia before DKA presentation. Close monitoring of patients with preexisting autoimmunity may also be useful (51). Our suggested screening and monitoring algorithm is depicted in Figure 3.

 

Figure 3. Proposed algorithm to screen and manage patients for ICI-induced T1D. (DKA = diabetic ketoacidosis; HbA1c = Hemoglobin A1c, T1D= Type 1 diabetes, HLA = human leukocyte antigen, CGM = continuous glucose monitor)

Hypogonadism

 

The effects of ICIs on sexual function are not very well known. ICI-induced primary hypogonadism is rare but a life-changing side effect, as it can potentially lead to infertility. Notably, gonadal dysfunction has been reported for ipilimumab monotherapy or in combination with PD-1/PD-L1 inhibitors (84). The long-term effects are still largely unknown. ICI-induced male hypogonadism is characterized by a deficiency in testosterone, which can be due to testicular, hypothalamic, or pituitary abnormalities. ICI-associated hypophysitis is discussed separately, and this section will primarily focus on ICI-induced primary hypogonadism.

 

INCIDENCE

 

Although, ICI-associated hypogonadism can be seen in patients who develop panhypopituitarism secondary to ICI-associated hypophysitis, the true occurrence of primary hypogonadism is uncommon and is based on a few case reports and ongoing studies (84-86). A recent analysis of VigiBase, the WHO global database of individual case safety reports between 2011 and 2019, found only 1 case of primary hypogonadism (87). This surprisingly low incidence may in fact be due to lack of proper evaluation looking for primary hypogonadism. For example, many studies reporting occurrence of secondary hypogonadism lacked data on the levels of pituitary gonadotropins, FSH and LH, which is necessary to differentiate between primary and secondary hypogonadism (43). Moreover, the majority of the pivotal trials leading to FDA approval of ICIs lacked information regarding fertility, menopause status, sex hormone levels, or sexual health-related quality of life. Additionally, not much is known about ICI-associated infertility. In a study of patients with malignant melanoma treated with ICIs, 6 of 7 men (86%) with testicular autopsy tissue samples had impaired spermatogenesis (88). This may suggest higher prevalence of infertility among men receiving ICIs. No data on potential effects on female fertility are currently available.

 

PATHOPHYSIOLOGY

 

ICIs may cause irAEs affecting any organ in the body by blocking regulators of self-tolerance. The understanding of pathophysiologic mechanism of ICI-induced primary hypogonadism comes from limited number of cases reports (85, 86). In the first case, the patient developed bilateral orchitis two weeks following administration of nivolumab and laboratory workup confirmed diagnosis of primary hypogonadism (decreased testosterone with elevated LH) (85). However, it self-resolved within one week without use of steroids or any other therapy, and there was no recurrence.  The intensity and timing of the orchitis suggests an intense immune stimulation leading to orchitis and primary hypogonadism (85). In another case, the patient developed bilateral epididymo-orchitis following administration of the third dose of pembrolizumab and needed high-dose steroids resulting in complete resolution (86). The testis is considered an immune-privileged organ due to its ability to tolerate autoantigens. The use of experimental autoimmune orchitis (EAO) in rats has allowed analysis of the autoimmune inflammatory response to spermatic antigens, providing a steppingstone towards understanding the ICI-induced primary hypogonadism. The main mechanisms responsible for preventing autoimmune disease of testes are: (a) secretion of immunosuppressive factors by macrophages, Sertoli cells, and Leydig cells, (b) presence of blood-testis barrier (BTB), and (c) presence of regulatory T cells. There is a fine equilibrium between dendritic cells, macrophages, T cells, and cytokines in maintaining immunosuppression in testes. While there have been no studies to date specifically evaluating the mechanism of ICI-induced orchitis, the examination of the normal and altered autoimmune immunobiology elucidates the possible mechanisms involved (89). This is briefly described below:

 

Secretion of Immunosuppressive Factors

 

In the normal testis macrophages, Sertoli and Leydig cells create an immunosuppressor microenvironment by secreting factors and cytokines that inhibit immune reactions. These include transforming growth factor-beta, granulocyte-macrophage colony stimulating factor, alpha-endorphin, and insulin-growth factor-1 (89, 90). In the setting of EAO, there is increased recruitment and activation of immune cells to the interstitium which bring along with them secretion of pro-inflammatory cytokines (IL-6, IFN-gamma, TNF-alpha, IL-17, IL-23). This brings about a cascade of events leading to germ cell apoptosis, primarily via the section of TNF-alpha (89, 91)

 

Blood-Testis Barrier (BTB)

 

In the normal testis, the BTB limits the interaction between germ cell antigens and interstitial immune cells. Secretion of pro-inflammatory cytokines mentioned above act on adherens and tight junctions, altering the BTB permeability (92). After crossing the BTB, these cytokines enter the seminiferous tubules inducing apoptosis of germ cells and facilitating the release of spermatic antigens, which then go on to interact with interstitial immune cells (92).

 

Presence of Regulatory T Cells (Tregs)

 

In the normal testis, there are several subsets of T cells present, regulating immune responses. Tregs specifically, mediate tolerance to self-antigens and their suppression sets the stage for autoimmunity. While there are increased Tregs seen in chronic inflamed testis, these are overwhelmed by the inhibitory effects of effector T cells, affecting the ability of Tregs to control autoimmunity (93). CTLA-4 inhibits effector T cells and PD-1/PDL-1 binding promotes the conversion of Teff to Treg. Therefore, it is plausible that the use of the combination of ipilimumab with an anti-PD-1/PDL-1 antibody, tips the balance between Tregs and effector cells toward the effector T cells. Consequently, creating a pro-inflammatory state resulting in orchitis.         

 

LONG-TERM OUTCOMES AND TREATMENT

 

It is well established that inflammation and infection of the male reproductive tract may lead to infertility in males (94). Therefore, it is reasonable to postulate that ICI-induced orchitis may also lead to male infertility, a consequence that should be addressed by providers. The long-term outcomes of ICIs are just beginning to be explored. One retrospective review assessed patients who became infertile after ICI therapy and subsequently died. Retrospective cohort cadaver study analyzing tissue specimens of the testes showed 86% of men who received ICI therapy had impaired spermatogenesis (88).  Notably, there was no increased peritubular hyalinization or fibrosis in the treated group, and no changes in Leydig cells (88). These findings support the previously mentioned pathophysiology of ICI-induced orchitis and address the possibility of infertility as a long-term consequence. Given the limited information on the effects of ICIs in spermatogenesis, providers should provide patients with their options, such as sperm banking and cryopreservation (95).

 

Other Uncommon Endocrine Side Effects  

 

ACQUIRED GENERALIZED LIPODYSTROPHY

 

Lipodystrophy is characterized by absent of visceral or subcutaneous adipose tissue in the settings of normal non-starvation nutritional state. It is a known common side effect from certain medications such as older HIV protease inhibitor, which is a reversible side effect. While the mechanism of lipodystrophy from ICIs is currently unclear, it is believed that the medication may induced an autoimmune process that leads to fat destruction by forming anti-adipocyte antibodies. In ICI-induced lipodystrophy, the more common form appears to be acquired generalized lipodystrophy (AGL) in which all fat tissues are affected but may spare the neck and face region. Onset of AGL, can be as early as 2-4 months which is roughly after 4-5 doses of ICIs. Currently, most of the cases of ICI-induced AGL are associated with nivolumab therapy (96, 97).

 

HYPOPARATHYROIDISM AND HYPOCALCEMIA  

 

Another rare but crucial endocrine irAEs is hypocalcemia secondary to hypoparathyroidism. While the exact mechanism is unclear, the proposed etiology is due to calcium-sensing receptor (CaSR) activating autoantibodies. This antibody is also present in patients with autoimmune polyendocrine syndrome type 1 (APS1) or idiopathic hypoparathyroidism. The clinical presentation can be as abrupt as an acute symptomatic hypocalcemia episode which includes paresthesia, tetany, and potential arrhythmias requiring hospitalization but may also present as very mild to asymptomatic hypocalcemia. For both circumstances, calcium and vitamin D replacement are adequate therapy but patients should be closely monitored for severe symptoms (98).

 

CENTRAL DIABETES INSIPIDUS  

 

Posterior pituitary hormone secretion can also be affected with ICIs, mainly antidiuretic hormones (ADH), which can subsequently lead to sodium and water dysregulation. To our knowledge only 3 cases of central diabetes insipidus (CDI) has been reported with the use of nivolumab (PD-1 inhibitor) and Azelumab (PD-L1 inhibitor) (99-101).The patients presented with classic polyuria/polydipsia symptoms along with hypernatremia which responded well to desmopressin (99-101). In the case report described by Fosci et. al., the authors described coexistence of metastatic localization and infundibulo-neurohypophysitis on MRI (100) while in the case report by Deligiori et. al., there was no signs of hypophysitis on imaging (99). Thus, further investigation is needed to fully understand the possible mechanisms for CDI.

 

SYNDROME OF INAPPROPRIATE ANTIDIURETIC HORMONE SECRETION (SIADH)

 

SIADH is the opposite scenario in which patients present with euvolemic hyponatremia. It is somewhat difficult to distinguish for certain that SIADH is truly from ICIs since SIADH is quite common in patients with underlying malignancies. Additionally, pain in patients with cancer itself can be the underlying cause of SIADH. Additionally, there are some reports of hyponatremia as a manifestation of adrenal insufficiency in patients on ICIs and hence it is crucial to rule out adrenal insufficiency for any patient with hyponatremia, as immediate recognition and treatment can be lifesaving (102, 103).

 

VITILIGO

 

Depigmentation of skin or vitiligo is thought to be from inducing an immune response to normal melanocyte antigens leading to the destructive process. While vitiligo itself may not be directly endocrine-related, its presence has been strongly associated with common endocrinopathies such as thyroid and adrenal disease as well as autoimmune diabetes. Interestingly, when vitiligo is present as one of the side effects from ICIs, this may represent a better prognosis in melanoma cases (104).

Figure 4. Proposed algorithm to screen and manage patients with endocrine irAEs

 

Table 3. Summary of the Common Terminology Criteria for Adverse Events (28)

Grade

Severity of Adverse events

Management

1

Mild (asymptomatic or mild symptoms)

Clinical or diagnostic observation

2

Moderate

Minimal, local or noninvasive intervention indicated

3

Severe or medically significant but not immediate life threatening

Intervention is required

4

Life threatening

Urgent intervention indication

5

Death

 

 

Table 4. Summary of the Incidence of Endocrine iRAEs (8,16,23, 41, 55-64, 105)

irAEs

PD-1/L1 inhibitors

CTLA-4 inhibitors

Combination

Hypophysitis

Less than 1 %

0-17%

 

 

 

More common than single drug use. 

Hypothyroidism

7-21%

0-6%

hyperthyroidism

Higher in PD1 inhibitors compared to PDL1 inhibitors

Less common than PD-1/PDL1 inhibitors

Primary adrenal insufficiency

Less common than CTLA-4 inhibitors

More common than PD-1/PDL1 inhibitors

Diabetes

Around 2.5%

None reported

 

CONCLUSION

 

Considering the increasing use of immune checkpoint inhibitors in clinical practice, health care providers and patients should be aware of endocrine irAEs. Educating patients receiving and providers using these state-of-the-art therapies about the signs and symptoms of different endocrinopathies is critical for an early diagnosis to prevent life-threatening complications. Developing screening and monitoring guidelines are essential to identify at-risk patients for close monitoring of these unwanted side effect.

 

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