Perinatal Asphyxia in the Rat has Lifelong Effects on Morphology, Cognitive Functions, and Behavior Rachel Weitzdoerfer, Arnold Pollak, and Barbara Lubec Perinatal asphyxia (PA) is a major determinant of neurological morbidity and mortality in the neonatal period. Many studies have been investigating neurological deficits following PA, including seizures, cerebral palsy, mental retardation, as well as psychiatric deficits. Most research performed so far has been focusing on acute or subacute sequelae and has uncovered a variety of morphological, neurochemical, behavioral, and cognitive changes following PA. However, information on long-term sequelae of animals that underwent a period of PA is scanty. Perinatally asphyxiated rats at the end of their life span present with immunohistochemical and synaptic changes as well as changes in brain protein expression. Furthermore, deficits in cognitive function tested in the Morris water maze and changes in social behavior were described. In this review, we are summarizing and discussing reported effects of global PA on morphology, cognitive functions, and behavior in rats at the end of their life span. © 2004 Elsevier Inc. All rights reserved. erinatal asphyxia (PA) is a major determinant of neurological morbidity in the pediatric population. The incidence of systemic PA is 2-4 per 1000 full-term infants and approaches 60% in premature newborns,1 thus being the most common cause of neurological impairment. PA may lead to a variety of brain disorders, including spasticity, epilepsy, mental retardation, attention deficit disorders,2,3 and minimal brain disorder syndromes, and may form the basis for psychiatric and neurodegenerative diseases later in life.4-6 Much of our current understanding concerning the pathophysiology of PA has come from animal studies over the past three decades providing important information regarding underlying mechanisms of perinatal hypoxic-ischemic brain damage. The immature rat model has proved especially useful for numerous studies of perinatal hypoxic-ischemic brain damage and presently is utilized by many investigators. The 7-day postnatal rat was originally chosen for study because, at this stage of development, the animal’s brain is histologically similar to that of a 32- to 34-week gestation human fetus or newborn infant, ie, cerebral cortical neuronal layering is complete, the germinal matrix is involuting, and white matter as yet has undergone little myelination. Asphyxia has been induced by unilateral carotid artery ligation—this model being exten- P sively used with some variations, by exposure to hypobaric hypoxia7 or by the use of a noninvasive model for graded perinatal asphyxia.8,9 This model, where uterus horns still containing the rat pups are placed into a water bath for various asphyxiating periods, resembles the clinical situation as all criteria of PA as acidosis, hypercapnia, and hypoxia are respected, thus contrasting studies of the brain insult type. This rat model of PA has been well characterized in biochemical, metabolic, morphological, and functional terms.10-12 Most research performed so far has focused on acute sequelae of PA, although the major concern in human hypoxic ischemic encephalopathy (HIE) is the long-term effect on the brain. Reviewing the literature, however, the paucity of long-term neurological and neuropathological outcomes assessed in animal models is surprising. In this review, we intend to summarize and discuss long-term effects of PA on brain morphology, cognitive functions, and behavior in the aged rat. From the Division of Neonatology, Department of Pediatrics, Medical University of Vienna, Vienna, Austria. Address reprint requests to Rachel Weitzdoerfer, MD, University of Vienna, Department of Neonatology, AKH, Waehringer Guertel 18-20, A-1090, Vienna, Austria; e-mail: rachel_weitzdoerfer@ yahoo.com © 2004 Elsevier Inc. All rights reserved. 0146-0005/04/2804-0000$30.00/0 doi:10.1053/j.semperi.2004.08.001 Seminars in Perinatology, Vol 28, No 4 (August), 2004: pp 249-256 249 250 Weitzdoerfer, Pollak, and Lubec Morphological and Immunohistochemical Changes Studies on morphological and biochemical alterations focus on the acute or subacute phase of PA, not extending early adulthood of the rat with a history of PA. Delayed neuronal death in the cerebellum of rat pups with PA has been described previously.13 In the identical rat model of PA at 3 months following the asphyxiating insult, neuronal loss was found in CA1 area of hippocampus,10 and myelination deficits were observed in the cerebellum of animals with 20-minute PA.11 Knowledge on lifelong morphological sequelae of PA in brain regions known to be hypoxia-sensitive is limited to a few reports. In a previous study performed on 24-monthold rats with a history of 20 minutes of PA, neuronal density and white matter structure in the hippocampus were comparable between groups and no difference in GFAP immunoreactivity, used as a marker for astrocytic gliosis, was found. Cerebellar weight and volume of the cerebellar layers as well as stereological results of granular cells and Purkinje cells did not reveal any difference either (see Table 1). Gross morphological changes, such as edema, infarction, scarring, demyelination, or hypointense pathologies indicating apoplexy, could be ruled out by MRI imaging (see Fig 1).14 Van de Berg and coworkers performed a study using stereological methods in 22-monthold rats with PA using the same animal model15: As cognitive ability was shown to be related to the quantity and to the organization of synapses and as ischemia has been described to increase synaptic numbers, they aimed to link the cognitive and behavioral deficits seen in young adult rats with PA12,16 to synaptic bouton number in striatum and cerebellum. Therefore, brains of 22-month-old rats perinatally asphyxiated for the period of 20 minutes were removed from the skull and cut into coronal sections and subsequently stained with synaptophysin, a specific marker of presynaptic boutons. Brain regions were then delineated and stereological tech- Table 1. Cerebellar Weight and Volume of the Cerebellar Layers and Stereological Results on Purkinje Cells and Granular Cells Group (n) Cerebellar weight in mg Molecular layer (mm3) Granular layer (mm3) White matter (mm3) Total Purkinje cell number/cerebellum Total granular cell number/cerebellum Geometric mean volume of the Purkinje cell soma (m3) Geometric mean volume of the Purkinje cell nucleus (m3) Nucleus-Soma Relation (%) Control (7) 10-min asphyxia (6) 20-min asphyxia (7) Median (MinimumMaximum) Median (MinimumMaximum) Median (MinimumMaximum) 273.40 (255.80-296.80) 56.27 (46.70-75.05) 42.94 (31.03-50.52) 29.46 (24.22-30.58) 380439 (244568-468012) 1.613000E⫹08 (1.054000E⫹082.001000E⫹08) 4361.3 (4286.5-4976.7) 283.75 (234.90-300.70) 67.56 (47.82-72.56) 42.90 (31.23-51.09) 31.26 (18.67-32.47) 372497 (348083-463979) 1.552000E⫹08 (1.286000E⫹081.754000E⫹08) 4660.3 (4358.3-5419.5) 288.70 (253.90-298.40) 62.02 (43.44-83.15) 48.59 (31.97-52.31) 30.19 (23.34-35.94) 416424 (217121-464227) 1.731000E⫹08 (1.042000E⫹082.239000E⫹08) 4481.4 (3874.9-5363.0) n.s. 914.0 (737.8-1031.9) 1007.7 (855.3-1178.7) 886.5 (742.5-1149.9) n.s. 28% 29% 27% n.s. *, P ⬍ 0.05; **, P ⬍ 0.01; ***, P ⬍ 0.001; n.s., ⫽ not significant. Reprinted with permission by Birkhäuser AG, Basel.14 Statistical significance (comparison of asphyxiated groups to normoxia group) n.s. n.s. n.s. n.s. n.s. n.s. Effects of Perinatal Asphyxia Figure 1. Reprinted with permission by Birkhäuser AG, Basel.14 (A) A magnetic resonance image in the coronal plane of a rat with 20-minute PA. Abbreviations: CP, Comissura posterior; GD, Gyrus dentatus; LM, Lemniscus medialis; H, Hippocampus; RP, Recessus pinealis; SN, Substantia nigra; V III, 3rd ventricle. No hypointense areas were found in the hippocampal area. Two control and two animals with PA showed hyperintense areas that may be due to edema, infarctions, scarring, or demyelination. Nevertheless, no significant difference in hippocampus was found between control animals and animals with PA. (B) A magnetic resonance image in sagittal plane performed on the brain of a rat exposed to 20 minutes of PA. Abbreviations: CB, Cerebellum; TH, Thalamus; H, Hippocampus; OB, Olfactory bulb. The anatomical structure of the cerebellum is normal and no hypo- or hyperintense areas are visible, indicating that edema, infarction, demyelination, and apoplexy can be ruled out. 251 nique was applied. Van de Berg and coworkers found an increase of striatal volume leading to an increase in presynaptic bouton numbers in this area and in parietal cortex. The authors show that an asphyxiating injury during development of the brain can have a long-lasting effect on the synaptic organization of the brain. The observed region-specific increase in presynaptic bouton numbers in striatum and parietal cortex in asphyxiated rats supports the hypothesis that brain damage during brain development can not only lead to synaptic loss but also to the formation of new synaptic connections. An increase in presynaptic bouton numbers would allow for more neuronal communication and could compensate for a loss of neurons. The mechanisms of this type of synaptic plasticity, though, are not yet known. Moreover, this compensation mechanism could not compensate cognitive impairment in these rats, as discussed below. A cascade of several mechanisms leading to deterioration of brain function and neuronal death in PA has been proposed and several neurotransmitter systems have been incriminated, but information on neuronal transmission is still incomplete. Immunohistochemical investigations at the age of 3 months showed deterioration of the monoaminergic system as reflected by decreased IR-TH in all brain regions investigated, ie, frontal cortex, striatum, cerebellum, hippocampus, thalamus, and a significant increase of IR-VMAT in striatum, possibly reflecting compensation of decreased monoamines by increased monoamine transport, the striatum being particularly susceptible to asphyxiating neuronal damage.17 TH can be used as a marker for the dopaminergic system responsible for a series of psychomotor functions and, indeed, motor behavior was impaired in a study using rats 1 month following PA,18 but impairment was not evident at the age of 3 months, indicating that, clinically, the TH dopaminergic deficit may be compensated.12 Cholinergic and glutamatergic alterations shown by a decrease of IR-VAChT in striatum and an increase of IR-EAAC1 in frontal cortex could be found at the same time, indicating individual susceptibility of individual brain regions to graded PA. The only study evaluating neurotransmitter changes in the aged rat published so far is limited to immunohistochemistry of the hippocam- 252 Weitzdoerfer, Pollak, and Lubec pus showing that IR-VAChT and IR-VMAT is comparable between ashyxiated and control animals, but revealing a statistically significant increase of SERT immunoreactivity in CA2 of rats with a history of 20-minute asphyxia (see Table 2).14 Alterations of the immunoreactivity of SERT—a marker for the serotoninergic system—indicate an aberrant serotoninergic innervations in the CA2 region. As shown in literature, changes in the serotoninergic system are associated with changes in the ability to perform the MWM test as discussed below.19-23 To further elucidate long-term alterations, additional parameters for further evaluation have to be investigated. Changes in Protein Expression There exist several publications indicating deficits of the protein synthetic machinery24,25 and aberrant expression of individual brain proteins following PA or global hypoxic-ischemic states.26-33 All these reports describe changes of individual proteins, focusing on hypoxia-sensitive proteins, including hypoxia inducible factor-1 (HIF-1) in the acute or subacute period of perinatal asphyxia (PA). Long-term changes of protein expression, however, have never been reported before, with the exception of a recent study.34 Hippocampal tissue of 2-year-old rats with PA was dissected from brain, and proteins were run on two-dimensional gel electrophoresis with ingel-digestion and subsequent identification of proteins by MALDI-TOF followed by quantification of protein spots by specific software. A series of 134 proteins have been unambiguously identified; 34 of these 134 proteins were selected for quantification based on criteria for fair spot separation. Stress proteins protein disulfide isomerase A3 precursor and stress-induced phosphoprotein-1 were significantly increased, whereas the microtubule-associated protein dynamin-1 was significantly reduced. As the vast majority of proteins was unchanged, this finding can be considered specific and not due to protein derangement by deficient protein machinery described in PA.25 Increased stress protein levels may represent long-term effects of PA or, alternatively, could reflect conditioning of the stress protein machinery known to occur as a neuroprotective principle following hypoxic-ischemic conditions. Decreased dynamin-1 levels may be considered a long-term effect on the exocytotic system, possibly reflecting or leading to impaired neuronal transport and vesicle-trafficking in PA of the rat of advanced age. Our findings of up-regulated stress proteins and decreased dynamin-1 may be irrelevant for impaired brain function found in parallel experiments14 and are possibly reflecting preconditioning by hypoxia early in life.35 Salchner and coworkers investigated the effects of PA on neuronal responsiveness toward a stressful situation.36 The immediate early gene c-fos is a marker of neuronal activity and has been shown to be induced by a variety of condi- Table 2. Results of Histology and Immunohistochemistry Group GFAP Hippocampus (n) fibers/mm2 vAChT Hippocampus CA1 cells/mm2 (n) vAChT Hippocampus CA2 cells/mm2 (n) vAChT Hippocampus CA3 cells/mm2 (n) vAChT Cerebellum Str. gran. % positive granular cells (n) vMAT Hippocampus (n) white matter dent.gyrus fibers/mm2 vMAT Cerebellum (n) fibers white matter/mm2 Sert Hippocampus CA1 cells/mm2 (n) SERT Hippocampus CA2 cells/mm2 (n) SERT Hippocampus CA3 cells/mm2 (n) SERT Cerebellum % positive Purkinje cells (n) Control 20-min asphyxia Statistical significance 9.14 ⫾ 4.62 (7) 8.74 ⫾ 4.15 (5) 5.46 ⫾ 3.82 (6) 5.46 ⫾ 4.46 (6) 51.86 ⫾ 6.62 (7) 11.65 ⫾ 4.00 (5) 9.86 ⫾ 6.19 (7) 8.34 ⫾ 5.46 (7) 3.09 ⫾ 1.38 (7) 51.43 ⫾ 6.50 (7) n.s. n.s. n.s. n.s. n.s. 913.98 ⫾ 301.67 (6) 917.68 ⫾ 339.12 (5) n.s. 468.10 ⫾ 276.02 (5) 29.12 ⫾ 11.90 (7) 15.07 ⫾ 6.44 (7)* 4.70 ⫾ 4.04 (7) 67.20 ⫾ 17 (5) 335.04 ⫾ 153.91 (7) 33.27 ⫾ 14.49 (7) 29.63 ⫾ 11.61 (7)* 9.86 ⫾ 6.88 (7) 59.58 ⫾ 10.76 (6) n.s. n.s. P ⬍ 0.05 n.s. n.s. *, P ⬍ 0.05; **, P ⬍ 0.01; ***, P ⬍ 0.001; n.s., not significant. Reprinted with permission by Birkhäuser AG, Basel.14 253 Effects of Perinatal Asphyxia tional and unconditional stimuli in the rodent brain.37-41 Taken together, such studies have established a detailed map of the stress-responsive brain circuit. Because several of these studies used swimming as a stressor, it was possible to directly assess the consistency of findings concerning the spatial distribution and relative magnitude of the response.37,38 The pattern of Fos expression as a marker of neuronal activation was therefore evaluated in 24-month-old rats exposed to a 20-minute PA insult postnatally as a response to acute swim stress. Asphyxiated rats displayed a higher number of stress-induced Fospositive cells in certain brain areas as compared with controls. Although it is unclear as to whether or not the observed effects of PA are direct or indirect, the selective nature of its action on c-fos immunoreactivity provides functional anatomical evidence that PA has life-long effects on neuronal communication and leads to an abnormal, augmented neuronal responsiveness to stress in specific brain areas, particularly in the main telencephalic target regions of the mesencephalic dopamine projections as well as in functionally related set of brain region associated with autonomic and neuroendocrine regulation. Cognitive Functions, Behavior, and Neurology Various studies have addressed cognitive, neurological, and behavioral effects produced by PA in the young adult animal. Open field (OF) studies revealed hyperactive behavior in asphyxiated/ hypoxic/anoxic rats. Hershkowitz and coworkers demonstrated that, after postnatal anoxia, 3-week-old rats displayed hyperactivity,42 a finding which was confirmed by studies of Speiser and coworkers, Dell⬘ Ánna and coworkers, as well as Iuvone and coworkers.43-45 At the age of 3 months, Hoeger et al. described reduced anxiety-related behavior of rats tested in the elevated plus-maze (EPM) that underwent a long exposure to PA. OF studies at the same time point did not show any difference in behavior between control and asphyxiated rats.12 Additionally, Loidl and coworkers showed that behavior in the OF of 5-month-old female rats was not affected even by long periods of PA, whereas a significant hypoactivity was found in male rats with severe PA.46 Neurologically, motor deficits possibly linked to cerebellar lesions were observed in rat PA at very early stages ranging from days to several weeks,47 which seem to be compensated at the age of 3 months.12 Nonetheless, there is almost no information that links PA to behavioral, cognitive, and neurological deficits in the aged animal. In the above-mentioned study of Van de Berg,15 the authors show that PA leads to an exaggerated age-related long-term memory impairment in 18-month-old rats using the Morris water maze (MWM). However, PA did not lead to deficits in learning ability or short-term mem- Table 3. Results of Morris Water Maze Group (n) Time to reach the platform (1.trial) Time to reach the platform (2.trial) Time to reach the platform (3.trial) Time to reach the platform (memory) Time to reach the platform (relearning) Control (11) 10-min asphyxia (10) 20-min asphyxia (6) Median (MinimumMaximum) Median (MinimumMaximum) Median (MinimumMaximum) Statistical significance (comparison of asphyxiated groups to normoxia group) 38.0 (2-88) 44.5 (4-120) 54.5 (12-120) n.s. 43.0 (5-120) 49.5 (5-120) 14.0 (5-95) (n ⫽ 5) n.s. 89.0 (11-120) n.s. 69.0 (19-120) 55 (12-120) 29 (14-91) 49.5 (20-120) 58.5 (4-120) n.s. 7.5 (4-36) (n ⫽ 10) 26.5 (3-120) 74** (22-120) **, P ⬍ 0.01 between control and 20-min asphyxia group *, P ⬍ 0.05; **, P ⬍ 0.01; ***, P ⬍ 0.001; n.s., not significant. Reprinted with permission by Birkhäuser AG, Basel.14 254 Weitzdoerfer, Pollak, and Lubec Table 4. Means and SD of the Evaluated Parameters of the Social Interaction Test Frequency of social-sniffing Frequency of social-grooming Frequency of mounting Frequency of rubbing Time spent fighting Time spent resting Time spent running together Time spent running alone Control in interaction with control [Mean ⫾ SD (n ⫽ 9)] Asphyxiated rat in interaction with control [Mean ⫾ SD (n ⫽ 10)] Statistical significance 22.2 ⫾ 10.00 115 ⫾ 73.44 13.1 ⫾ 9.37 15.25 ⫾ 11.15 6.4 ⫾ 2.41 106.41 ⫾ 82.26 39.04 ⫾ 19.68 52.61 ⫾ 41.18 14.81 ⫾ 7.69** 145.02 ⫾ 74.62* 7.13 ⫾ 4.96 8.20 ⫾ 5.70 3.76 ⫾ 1.44* 83.74 ⫾ 79.86 26.80 ⫾ 22.42** 85.07 ⫾ 53.60*** P ⫽ 0.0071 P ⫽ 0.048 n.s. n.s. P ⫽ 0.031 n.s. P ⫽ 0.0064 P ⫽ 0.0006 *, P ⬍ 0.05; **, P ⬍ 0.01; ***, P ⬍ 0.001; n.s., not significant. Reprinted with permission by Karger AG, Basel.48 ory. Weitzdoerfer and coworkers tested cognitive functions in the 2-year-old animal at the end of its life span, revealing a statistically significant reduction in relearning ability of rats with PA in the MWM, indicating deficits in hippocampal function. Impairment of relearning was reflected by swimming in the original training quadrant for a longer period than control animals, remaining in the latter localization of the platform rather than looking for a new possibility to escape (see Table 3).14 Differences in swimming ability and motivation as well as motor deficits could be ruled out because escape latencies during learning and memory trial were comparable as were motor functions, including the rota-rod. Learning ability was shown to be comparable between asphyxiated and control animal, confirming the above discussed results by Van de Berg. A subsequent study investigated whether PA also affected anxiety-related and social behavior in 2-year-old rats with a history of 20-minute PA performing tests in the OF, elevated plus-maze (EPM) and a social interaction test.48 In this setting, significantly decreased social aggressiveness and increased social contact behavior as well as increased anxiety levels in the asphyxiated animals were observed. These findings indicate that the asphyxiating event during the perinatal period potentiates age-related behavioral changes. Taken together, the authors conclude that PA leads to changes in social behavior patterns in the aged animal, resulting in decreased social exploration and aggressiveness, together with increased contact and appeasing behavior (see Table 4). Furthermore, it is proposed that PA increases anxietybased responses in the aged rat. 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