Retmoids in cancer REUBEN Departments Center, chemoprevention LOTAN’ of Tumor Houston, Biology Texas 77030, and Clinical Cancer Prevention, Naturally occurring and synthetic vitamin A metabolites and analogs (retinoids) inhibit tumor development in a variety of cellular, animal, and patient studies. They suppress transformation of cells in vitro and inhibit carcinogenesis in various organs in animal models. In a mouse skin carcinogenesis model, topical retinoids exhibit suppressive effects on tumor promotion, but have no effect on tumor initiation. In other models, retinoids administered in the diet suppress tumor development even in an adjuvant setting after excision of the first tumor. Retinoids suppress carcinogenesis in individuals with premalignant lesions and a high risk to develop cancer of the aerodigestive tract. Likewise, retinoids prevent the development of second primary cancers in head/neck and lung cancer patients who had been treated for the first primary. The mechanisms underlying the antic arcinogemc activity of retinoids appear to be associated with the ability of retinoids to modulate the growth, differentiation, and apoptosis of normal, premalignant, and malignant cells in vitro and in vivo. Most of these effects are mediated by nuclear retinoid receptors, but other mechanisms may also be involved. These studies indicate that retinoids are potentially useful agent for cancer chemoprevention.-Lotan, R. Retinoids in cancer chemoprevention. FASEB J. 10, 1031-1039 (1996) ABSTRACT Key Word.s: retinoic acid cancer prevention premalignant lesion (1), the intervention in the process of carcinogenesis by chemical agents that delay, reverse, or block cancer development, has received much attention recently as several clinical trials have demonstrated the efficacy of certain agents (1-4). The interest in developing chemoprevention strategies stems from the severe morbidity and mortality from a variety of cancers, the discouraging low overall 5-year survival rate, and the increasing incidence of certain types of cancer. Many cancers develop as a result of exposure to carcinogens and tumor-promoting agents. The exposure to these substances often leads to histologic changes over large areas of the tissue (e.g., skin or aerodigestive tract epithelium), resulting in a “field cancerization” with potential multifocal unsynchronized premalignant and primary malignant lesions. This may explain the high recurrence rate that follows resection of certain earlystage cancers and the development of second primary tuCANCER CHEMOPREVENTION multistep nRq2-hfmR/9h/n01n-1nm1/n1 cn FASFR The University of Texas M.D. Anderson Cancer USA mors. Thus, novel approaches to control cancer should include treatment of surrounding “condemned” epithehum. Chemoprevention with systemic agents is one of these approaches (1-4). Retinoids are one of the prominent chemopreventive agents that have reached clinical trials (2-4). A strong relationship between vitamin A and cancer development has been established by numerous investigations over the last couple of decades. Vitamin A deficiency in experimental animals has been associated with a higher incidence of cancer and with increased susceptibility to chemical carcinogens (5). Further, epidemiological studies have indicated that individuals with a lower dietary vitamin A intake are at a higher risk to develop cancer (2). These observations have led to the hypothesis that physiological levels of retinoids guard the organism against the development of premalignant and malignant lesions. Experimental models of carcinogenesis have demonstrated the efficacy of pharmacological levels of retinoids in preventing the development of cancers of the skin, oral cavity, lung, mammary gland, prostate, bladder, liver, and pancreas in animals exposed to carcinogenic agents (5). Clinical trials have indicated that retinoids may be useful for prevention of cancers of the upper aerodigestive tract, skin, breast, and ovaries (2, 4, 6). This review highlights the most pertinent studies that have led to the realization that retinoids may be useful agents for cancer chemoprevention and discusses some aspects of the cellular and molecular mechanisms underlying these effects. Due to space restrictions, the author has limited the references to selected recent original reports and to reviews that contain references to earlier reports. INHIBITION BY RETINOIDS OF TRANSFORMATION IN VITRO Retinoids exert various effects on transformation of cells and tissues in organ culture in vitro. They suppress the transforming effects of chemical, physical, and viral carcinogens. 1To whom correspondence at: Department of Tumor Anderson Cancer Center, and reprint requests should he addressed, Biology-108, The University of Texas M.D. 1515 Holcombe Blvd., Houston, TX 77030, USA. 1 All m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() Cells in culture Retinoids inhibit 3-methylcholanthrene (MCA)2 -induced transformation of cultured mouse embryo cells in vitro when added even 7 days after the exposure of the cells to the carcinogen (7). The transformation of such cells by ‘yrays was also inhibited by retinoids when they were added 24 h before and removed 96 after irradiation (8). -All-trans-retinoic acid (ATRA) inhibited transformation of mouse embryo cells by exposure to MCA, followed by 12-O-tetradecanoylphorbol-13-acetate (TPA), as evidenced by suppression of the formation of foci on plastic substratum and colony formation in agar. ATRA and N(4-hydroxyphenyl)retinamide (4HPR) were found to inhibit transformation (colony formation) of rat tracheobronchial epithelial cells exposed to benzo[a}pyrene (B[a]P) (9). Retinoids can also suppress the ability of malignant cells to form colonies in semisolid medium, an anchorage-independent property that is a hallmark of transformed cells (10). Immortalized mouse epidermal cells that can be “promoted” with TPA to cells that form colonies in semisolid medium show suppression of colony formation by ATRA and various other retinoids. ATRA treatment of normal human epidermal keratinocytes, during or immediately after transfection with HPV16, inhibited immortalization by 95%. Further, when HPV16-immortalized cells were treated with ATRA, their growth was suppressed and the expression of the HPV16 oncogenes E6 and E7, as well as the early open reading frames E2 and ES, was suppressed (11). In a model of severe dysplasia (cervical intraepithelial neoplasia, or CIN III) consisting of human papillomavirus type 16-immortalized ectocervical cells grown in an organotypic raft cultures, ATRA prevented the formation of multilayered epithelium resembling CIN III and suppressed the expression of cytokeratins associated with the premalignant lesions producing epithelium consisting of two or three cell layers resembling the normal tissue (12). Organ cultures Retinoids were found to both prevent and reverse histological changes such as hyperplasia and squamous metaplasia induced by chemical carcinogens (e.g., MCA, N-methyl-N-nitro-nitrosoguanidine, B[a]P) or testosterone in mouse prostate gland and hamster trachea in organ culture. In addition, the synthetic retinoid 4HPR inhib- ited prolactin-induced DNA synthesis and end bud proliferation in mouse mammary gland in whole-organ culture and of chemical carcinogen (7-1 2,dimethylbenz[a]anthracene [DMBA] or N-nitrosodiethylamine) -induced nodulelike mammary gland alveolar lesions (5). INHIBITION BY RETINOIDS CARCINOGENESIS IN VIVO Animal OF models Retinoids have been found to be effective in suppressing tumor development in several carcinogenesis models (5). They have been administered either topically or systemically, in the diet or intragastrically, before, concurrently with, or after a carcinogen or a tumor-promoting agent to determine whether they affect tumor initiation, tumor promotion, or both. Many of these studies have demonstrated that certain retinoids possess antipromotion activity. In some studies, in which control animals developed multiple tumors asynchronously, retinoids administered after the first tumor had already appeared and excised were found to suppress the development of second primary tumors. Continuous treatment was required to achieve longterm suppression of carcinogenesis, as the effects of retinoids were reversible when retinoid treatment was started after the carcinogenic insult and discontinued after a few weeks. Initial studies used naturally occurring retinoids such as retinyl palmitate, ATRA, or 13-cia-retinoic acid (13CRA). However, with the increase in the availability of synthetic retinoids, more active compounds have been identified with a lower toxicity than the natural retinoids. Some retinoids were found to be active in certain animal models of carcinogenesis and not in others. The effect of retinoids was not restricted to a specific carcinogen, but rather to the type of tissue involved, suggesting that some retinoids exhibit tissue selectivity. Note that several studies have demonstrated clearly that certain retinoids that are active inhibitors of carcinogenesis in certain tissues can act as enhancers of carcinogenesis in the same tissue in other strain of mice or in another carcinogenesis model. This could be due to different tissue distribution and metabolism of some carcinogens. Some of the specific organs and tissues that are responsive to the anticarcinogenic effects of retinoids are described below. Skin carcinogenesis 2Abbneviations:ATRA, -all-trans-retinoicacid; B[a]P, benzo[a]pyrene; CIN, cervical intraepithelial neoplasia; 9CRA, 9-ci.s-retinoic acid; 13CRA, 13-cis-retinoic acid; DEN, dimethylbenz[alanthracene; DMH, tnimet 4HPR, hylmethoxyphenyl; N-nitrosodiethylamine; DMBA, 1 ,2-dimethylhydrazine; 7,12TMMP, N-(4-hydroxyphenyl)retinamide; E5166, 3,7,11,15-tetramethyl-2,3,6, 10,14-hexadecapentaenoic acid; FANFT, N-[4-(5-nitro-2-furyl)-2-thiazolyl]formamide; HPV, human papillomavirus; MCA, 3-methylcholanthrene; MNU, N-methyl-N-nitrosourea; OH-BBN, N-butyl-N-(hydroxybutyl)nitrosamine; RH, N-(4carboxyphenyl)retinamide; TPA, 12-O-tetradecanoylphorbol-13-acetate; UVB, ultraviolet B. in,, s,...m in i..m.. innr TI... CACCO The two-stage mouse skin carcinogenesis model uses a single topical application of DMBA for initiation and repeated topical applications of TPA for promotion. This model was instrumental in discovering and characterizing the ability of certain retinoids to suppress carcinogenesis (5, 13, 14). Topical retinoids administered concurrently with TPA were found to inhibit the formation of papillomas and carcinomas (13, 14). ATRA added in excess to the diet had no effect on tumor initiation; however, it m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() acted as an antipromoter by reducing the number of papillomas per mouse and by suppressing the conversion of benign papilloma to carcinomas, thereby reducing the incidence of carcinomas (13, 14). Dietary retinoids administered after the appearance of papillomas caused papilloma growth retardation and regression. Similar suppression of promotion was observed when anthralin was used as a tumor promotor instead of TPA. However, retinoids were either ineffective or even enhanced papilloma formation when administered to mice in a “complete carcinogenesis” protocol in which small amounts of DMBA were applied repeatedly without a promoting agent. Surprisingly, vitamin A deficiency was more effective than excess retinoid in inhibiting skin tumorigenesis in the two-stage model using SENCAR mice, a strain selected for enhanced carcinogenesis, and suggests that the formation of papillomas and keratoacanthomas in mouse skin carcinogenesis require physiological ATRA concentrations (14). Nonetheless, in vitamin A-sufficient SENCAR mice, retinoids showed some efficacy in conjunction with a “complete carcinogenesis” protocol. Dietary ATRA decreased papilloma yield by 50% but failed to suppress the conversion of papillomas to carcinomas. ATRA inhibited mouse skin tumor promotion whether the promoter was TPA, okadaic acid, anthraline, or anthrone (chrysarobin), suggesting that it interferes in a biochemical pathway that is common to different tumor promoters. Conflicting results were reported on the effects of retinids in another model of skin carcinogenesis, namely, photocarcinogenesis, in which papillomas and carcinomas are induced by ultraviolet B (UVB) radiation. Several studies actually observed enhancement of tumorigenesis in this model when retinoids were administered topically. In contrast, more recent studies observed suppression of papilloma to carcinoma conversion by topical retinoids in a mouse model in which free radical generating compounds were applied on skin of mice pretreated with UVB for 27 wk (15). Canine solar-induced preneoplastic lesions and squamous cell carcinomas responded to treatment of dogs with oral etretinate (ethylretinoate; 1 mg/kg twice daily for 90 days). Of the ten dogs studied, two had a complete resolution of their preneoplastic lesions, three dogs had a partial response, two maintained a stable disease, and three showed progression of their lesions (16). Mammary gland carcinogenesis DMBAand N-methyl-N-nitrosourea (MNU) -induced mammary tumor in rats have been useful models for prevention studies. Moon and colleagues (5) have made an extensive use of these models and reached conclusions of great importance for clinical trials. They have shown that different retinoids exhibit distinct efficacy in suppressing carcinogenesis. Studies of tissue distribution of retinoids administered in the diet suggested that retinoids that accumulated in the mammary gland and the surrounding fat pad (e.g., retinyl methyl ether, 4HPR) were more effec- tive inhibitors of carcinogenesis than retinoids that failed to concentrate in the target tissue (e.g., retinyl acetate). That the effect of active retinoids was on the promotion step was indicated by the finding that these retinoids were effective even when they were added to the diet 1 wk after the carcinogen, when the initiation phase was completed and no free carcinogen was detectable. Retinoid administration at early phases of carcinogenesis (from 2 wk before until 1 wk after carcinogen) resulted in sustained inhibition of carcinogenesis even after cessation of retinoid treatment. In contrast, a delay in retinoid administration until 1 wk after the carcinogen resulted in the requirement for a continuous treatment with retinoid to maintain response. For reasons that are still poorly understood, pretereatment of rats for 2 months with retinyl acetate or 4HPR before initiation with DMBA or MNU resulted in increased incidence of carcinomas unless retinoid administration continued also after carcinogen exposure during the promotion step. Because in humans the exact time of initiation is usually unknown, it was interesting to determine the length of time after initiation that retinoid treatment could be delayed without loss of efficacy. It was found that when a low dose of carcinogen was used, retinoid treatment could be delayed for up to 12 wk after initiation without a reduction in chemopreventive potency. Another simulation of a clinical situation in women with breast cancer involved administration of retinoids after the surgical removal of the first mammary tumor that developed in rats exposed to carcinogen. The retinoids decreased the development of new tumors and decreased tumor multiplicity. More recently, 9-cis-RA (9CRA) was found to be more effective than ATRA in suppression of MNU-induced breast cancer in rats. Further, the combination of 9CRA and tamoxifen was especially effective in reducing tumor number and tumor burden (17). Oral cavity carcinogenesis The efficacy of retinoids in inhibition of oral carcinogenesis has been examined in several models: the DMBA-induced hamster buccal pouch carcinogenesis model that mimics human oral carcinogenesis in that premalignant lesions resembling leukoplakia precede the development of squamous cell carcinomas (SCCs) (18), the hamster DMBA-induced tongue carcinogenesis, and the 4-nitroquinoline-1-oxide-induced mouse oral squamous cell carcinogenesis model (19). 13CRA was found to inhibit or delay carcinogenesis in these three models. The appearance of oral leukoplakia was delayed and the incidence of carcinomas was decreased in the hamster buccal pouch model. Lung carcinogenesis Vitamin A deficiency in rodents induces squamous metaplasia in the mucosa of the upper aerodigestive tract that is similar to premalignant changes in this mucosa in heavy smokers. Vitamin A supplementation in the diet of these animals reversed tracheal squamous metaplasia in vivo, and m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() various retinoids exhibited similar activity in organ culture of such tracheas in vitro. These findings suggested that retinoids might be effective in inhibiting carcinogenesis in the respiratory tract. However, the results of studies using several different chemical carcinogens and animal species are inconsistent (5). Whereas retinoids administered intragastrically inhibited lung carcinogenesis induced in hamsters by intratracheal instillation of small amounts of B[a]P and in vitamin A-deficient rats by instillation of MCA, no inhibition was observed by dietary supplement of retinoids in Syrian golden hamsters exposed to the direct-acting carcinogen MNU; some retinoids actually enhanced bronchial carcinogenesis in this protocol. More recent studies have indicated that 4HPR is effective in inhibiting the development of lung adenocarcinomas in hamsters exposed to N-nirosodiethylamine (DEN), a carcinogen that requires metabolic activation, although tracheal papillomas were not reversed. Retinol and its precursor p-carotene were ineffective in this model (5). supplemented with azaserine was reduced by retinyl acetate and several retinamides, whereas several retinoids (13CRA, 4HPR, ethylretinamide) were ineffective in suppressing the development of pancreatic cancers in hamsters injected with N-nitrosobis(2-oxopropyl)amine (5). Liver carcinogenesis The induction of esophageal papillomas and dyskeratotic lesions in Syrian hamsters exposed to DMBA was suppressed by retinyl palmitate. However, 13CRA enhanced the incidence of adenomas, while decreasing the incidence of carcinoma in rats exposed to N-methyl-N-benzylnitrosamine (5). Synthetic phenylretinamides inhibited esophageal carcinogenesis induced by N-nitrososarcosine ethyl ester or dinitrosopiperazine. Both suppression and enhancement by retinoids were reported in different models of liver carcinogenesis. Inhibition of hepatocarcinogenesis was observed in rats exposed to 3’-methyl-4-dimethyl-4-aminoazobenzene and fed retinyl acetate, 13CRA, trimethyl methoxyphenyl (TMMP) analog of RA (5), or acyclic retinoid (E-5166; 3,7,11,15tetramethyl-2,4,6, 10, 14-hexadecapentaenoic acid) (21). Carcinogenesis induced in rats by N-nitrosomorpholine was inhibited by twice-weekly intramuscular injections of ATRA. Likewise, certain retinoids, including retinyl acetate and E-5166, suppressed spontaneous liver carcinogenesis in certain mouse strains. However, hepatocarcinogenesis induced in mice with the carcinogen DEN was enhanced by dietary supplementation with ATRA and two retinamides for 1 year in conditions under which these retinoids suppressed carcinogenesis in other tissues. Further, ethyiretinamide induced liver tumors in mice not treated with DEN (5). 4HPR suppressed carcinogenesis in two strains of mice and enhanced carcinogenesis in two other strains. These opposite effects could be due to differences in the metabolism of the retinoids in different strains (5). Gastrointestinal Urinary Esophageal carcinogenesis carcinogenesis The induction of papillomas and carcinomas in the Syrian hamster forestomach by DMBA and B[a}P was suppressed by retinyl esters. Likewise, phenylretinamides suppressed esophageal carcinogenesis induction by N-nitrososarcosine ethyl ester. Further, vitamin A deficiency has been associated with increased incidence of colon cancer in rats exposed to aflatoxin Bi or 1,2-dimethyihydrazine (DMH) relative to animals on a diet supplemented with retinyl palmitate. However, most of the studies indicate that retinoids are not effective in suppressing colon carcinogenesis. For example, various retinoids (ATRA, 13CRA, 4HPR, TMMP ethylretinamide) were ineffective in suppressing tumor development in rats exposed to DMH or MNU. A few studies indicated some efficacy of retinoids in gastrointestinal carcinogenesis. 13CRA inhibited colon carcinogenesis induced by aflatoxin B 1, and both retinyl acetate and 4HPR decreased the number of adenomas that developed in rats exposed to DMH (5). A recent study has shown that 13CRA inhibited the expansion of aberrant crypts (dysplastic lesions) induced in rat colon with azoxymethane (20). Pancreatic Retinoids pancreatic pancreatic carcinogenesis were found to be effective in some models of cancer and not in others. The incidence of adenomas and carcinomas in rats fed a diet bladder carcinogenesis Intragastric instillation of N-butyl-N-(hydroxybutyl)nitrosamine (OH-BBN) in rats or mice results in the development of transitional cell carcinoma of the bladder, which resembles human bladder cancer. In this model, 13CRA suppressed histologic atypia and decreased the incidenceof tumors even when itwas provided in the diet 1 wk after completion of carcinogen administration. Other retinoids-in particular, several retinamides, including 4HPR-were also effective in preventing bladder carcinogenesis. Most of the effective retinoids delayed tumor appearance by suppressing progression of transformed urothelial lesions to rapidly growing carcinomas. However etretinateappeared to affectinitiation, because itwas effective in suppressing bladder carcinogenesis when given before carcinogen and prevented the metabolite 3-carboxypropyl OH-BBN from causing DNA damage in bladder epithelial cells. The studies with different retinoids indicated distinct structure activity relationships in the bladder model that could not be explained on the basis of activities in in vitro assay systems, suggesting that pharmacokinetics, in vivo distribution, and metabolism may be important determinants of activity. Bladder carcinogenesis induced by dietary supplementation with the carci n oge n N-[4-(5-nitro-2-furyl)-2-thiazolyl]formamide (FANF’F) was enhanced by vitamin A deficiency, but retinyl palmitate had no effect on carcinogenesis in rats fed m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() adequate diet, which was surprising. In mice, however, retinyl acetate was found to inhibit FANF’T’-induced bladder carcinogenesis (5). Pros tatic carcinogenesis The effects of retinoids on the development of prostate cancer have been investigated in several animal models. Among the retinoids examined, 4HPR appears to be the most effective in all these models. Thus, 4HPR decreased in Lobund-Wistar rats the incidence of spontaneous prostatic cancer (histologically resembling transitional cell carcinoma, not the prostatic adenocarcinoma characteristic of human prostate cancer) (22). Likewise, 4HPR decreased the incidence and the growth of the tumors in an oncogene-induced mouse prostate reconstitution model system. Dietary 4HPR reduced tumor incidence by 49% and the tumor mass by 52% compared to control diet (23). Human patients Many major cancers (e.g., lung, breast, colon) continue to cause severe morbidity and mortality, and the overall survival of patients has not improved significantly over the last few decades. Therefore, efforts are mounted to develop new strategies of early intervention to prevent the onset of malignant disease (1-4, 24). Most clinical trials of chemoprevention currently target individuals at an increased risk of developing cancer, such as patients who have premalignant lesions or patients who had an earlystage cancer diagnosed and treated but remain at a higher risk to develop a second primary cancer. Retinoids have been implicated in the prevention of various epithelial cancer based on epidemiological studies that demonstrated an inverse relationship between vitamin A intake and cancer incidence (2). Effects of retinoids on premalignant lesions Cutaneous actinic keratoses. Retinoids have been used to treat and prevent a variety of cutaneous premalignant and malignant lesions. Actinic keratoses are premalignant lesions prevalent in older people after years of sun damage. Topical ATRA was effective in reducing the number of such lesions, with a response rate of about 50%. Further, a randomized trial with 40 patients treated with systemic etretinate(75 mg/day) vs. placebo for 2 months showed that etretinate was effective in reversing lesions in 84% of the patients compared to only 5% in the placebo group. Similar results were obtained in a more recent randomized study with 31 patients. Retinol (25,000 lU/day) treatment of patients with skin premalignancies resulted in a significant decrease in the incidence of squamous cell carcinoma compared to the control group (25). Renal transplant recipients often develop numerous actinic keratoses. Forty-four such patients with more than 10 keratotic lesions on the hands and forearms were en- rolled into a randomized double-blind, placebo-controlled trial of 6 months acitretin (30 mg/day) vs. placebo. Eleven of the 38 evaluable patientsdeveloped squamous cell carcinomas, which were distributed unequally between the two groups: 2 of the 19 retinoid-treated group compared to 9 of the 19 placebo group. The treatment also prevented keratotic lesion development in that the number of such lesions decreased by 13.4% in the treatment group and increased 28.2% in the placebo group (26). Topical ATRA with or without low dose of systemic etretinate (10 mg/day) was also effective in suppressing the development of new skin tumors and reduced the number of existingneoplasticlesionsin renal transplant recipients (27). Dysplastic nevi. Dysplastic nevus syndrome patients were treatedwith topicalATRA on halfof the back surfacefor 6 months, followed by excision of nevi from both the treated and untreated sides of the back and clinical and histological evaluation. The treatment resulted in clinical and histological improvement, including a decrease in the clinical atypia of treated lesions and even disappearance of many treated nevi in some patients (28, 29). Oral premalignant lesions (OPLs). OPLs are either white (leukoplakia) or red (erythroplakia) mucosal patches in the oral cavity or oropharynx that progress to malignant lesions in 6-20% of the cases. Surgery is often not an option when extensive or multiple lesions are present. Therefore, patients with extensive lesions are candidates for chemoprevention. 13CRA has been used in several randomized placebo-controlled studies of patients with OPLs. Forty-four subjects were randomized to either a high-dose 13CRA (1-2 mgkg’day) or placebo group for 3 months, with a 6-month follow-up. Major clinical response was observed in 67% of the treatment arm vs. 10% in the placebo control group (2). This study clearly demonstrated that thispremalignant lesion is responsive to retinoids. However, there were two unfavorable aspects of the study: the toxicity of the high-dose 13CRA was not acceptable and resulted in patient dropout; half of the responding patientshad relapsed within 3 months of drug discontinuation. Therefore, a second trial was designed to address these problems, as follows: 70 patients were treated with high-dose 13CRA (1.5 mgkg’day4) for 3 months (induction phase). This resulted in clinical response rate of 55%. The patients were then randomized into two groups for a maintenance phase: one group received low-dose 13CRA (0.5 mgkg’day’), and the other received n-carotene (30 mg/day), for 9 months. The 13CRA group showed an 8%, whereas the n-carotene group showed a progression rate of 55%. These results demonstrated the feasibility of maintenance of initialresponse with low-dose 13CRA and the inability of -carotene to do so (2, 4). Recent studies with heavy smokers demonstrated that -camtene can enhance the incidence of lung cancer, and suggested that this compound should no longer be considered for future cancer prevention trials. In a recent study, four of nine patients treated with m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() 13CRA (1 mgkg’day’) for 3 months had a complete resolution of their oral premalignant lesions. Transforming growth factor a expression, which was elevated in the premalignant lesion relative to adjacent normal before treatment, showed a marked decreased after treatment, which suggests that it can be an intermediate biomarker in prevention studies at this site (30). 4HPR was used to treat eight patients with diffuse nonoperable premalignant oral lesions (e.g., leukoplakia) by topical application twice daily. After 1 month of therapy, two patients had complete remission and the other 6 had a greater than 75% response (31, 32). A much larger study was conducted to evaluate the efficacy of 4HPR in preventing relapses, new localizations, and the development of carcinomas in patients who had been treated surgically for oral leukoplakia. Data from 137 randomized patients who received either 200 mg 4HPR daily for 52 wk or no intervention, with a 1 year follow-up, showed 8 recurrences, 12 new occurrences, and 1 second primary cancer that occurred in the control group, whereas 7 recurrences, 2 new occurrences, and no carcinomas developed in the 4HPR group. Bronchial rnetaplasia. Squamous metaplasia is frequently seen in biopsies of bronchial epithelium from heavy smokers. Although a reversal of such a metaplasia was reported in an uncontrolled trial with etretinate, a more recent, randomized placebo-controlled trial with 13CRA (1 mg/kg daily for 6 months) failed to demonstrate a specific retinoid-induced reversal of metaplasia, as complete reversal of metaplasia was observed in both arms of the study when 69 individuals were reevaluated at the completion of the study. The reversal of mataplasia was associated with smoking cessation and was not observed in those who continued to smoke (33). Several other studies also failed to demonstrate an effect of retinoids on reversal of bronchial metaplasia or on sputum atypiain chronic smokers (2). Laryngeal papillomatosi.s. This disease is a benign growth of polypoid lesions on the vocal cords that requires frequent surgical intervention and may precede the development of squamous carcinoma. Treatment of patients with extensive growth with 13CRA (0.5-2 mgkg’day’) or with etretinate (1 mgkg’day-’) resulted in 50-67% response rates. However, adjuvant treatment of patients failed to prevent recurrence (2). Esophageal cancer. Treatment of a population at high risk for esophageal cancer in Linxian County, Hunan Province, China, with N-(4-ethoxycarbophenyl)retinamide decreased the incidence of this cancer and increased survival (24). Cervical dysplasia. Cancer of the cervix develops in a multistep fashion through a series of premalignant lesions of increasing severity, called cervical intraepithelial neoplasia I, II, and III (CIN I, II, III). A placebo-controlled randomized trial examined the efficacy of ATRA applied topically as a 1 ml dose of 0.372% cream on a collagen sponge within a cervical cap to reverse CIN in 301 women. Patients were treated daily for 4 days at the beginning of the trial and then for 2 days at months 3 and 6. The results showed that ATRA induced the regression rate of CIN II lesions (moderate dysplasia) in 43% of the patients compared to a spontaneous regression of 27% in the control group, but had no effect on more severe dysplasia (34). A study in China used N-(4-carboxyphenyl)retinamide (Rh) administered i ntravaginally in a suppository containing 20 mg RIl once daily for two courses of 50 days each. The treatment caused regression of premalignant lesions in 68% of the patients. Ongoing trials are examining the efficacy of 4HPR in suppressing CIN. Prevention of second primary tumors (SPTs) Xeroderrna pigmentosum. Afflicted with a rare recessive disease of defective DNA repair, xeroderma pigmantosum patients are at a 1000-fold increased risk of developing skin cancers (basal cell carcinoma, squamous cell carcinoma, and melanoma). A group of 5 patients, who had a total of 121 basal or squamous cell carcinomas in 2 years prior to treatment, were rid of all existing tumors surgically, and then were treated with oral 13CRA at a high dose (2 mg.kg’day’) for 2 years and followed for 1 year off the drug. During the treatment period, the patients developed a total of only 25 new tumors. However, after cessation of treatment there was an 8.5-fold increase in tumor frequency. These results indicate that the treatment only suppressed the expression of the premalignant lesions and their conversion into malignant ones, but failed to inhibit the initiation of new lesions during the treatment period (35). The same patients were included in a second study with a lower dose of 13CRA (0.5 mgkg1.day-’) for 1 year and monitored for the incidence of new tumors. The frequency of new tumors decreased in most of the patients, even at this lower dose. Basal cell carcinoma. In a randomized, double-blind, placebo-controlled trial, 981 patients with a history of at least two basal cell carcinomas in the 5 years preceding the trial were treated with low-dose 13CRA (0.14 mg*g ‘day’) or placebo for 3 years. In contrast to the studies with high-dose 13CRA, the low dose was ineffective in decreasing the incidence of basal cell carcinomas (35). Breast cancer. Based on the promising results obtained with 4HPR in the animal models described, this agent was used in a randomized trial, initiated in 1987, with nearly 3000 stage I breast cancer patients to evaluate its efficacy in preventing second primary cancers in the contralateral breast of women who had been previously treated for early breast cancer (32). The results have yet to be published, but an oral presentation by the study investigators indicates suppression of the second primary incidence among the premenapausal women in the study. m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() Head and neck cancer. A randomized study in which 13CRA was evaluated in adjuvant setting for inhibition of recurrence in head and neck cancer patients resulted in the unexpected observation that the incidence of second primary tumors was reduced in the treatment group. After surgery or radiotherapy of stage I to IV head and neck cancer, 103 patients were randomized to 13CRA (50-100 mg/m2/day) or placebo for 1 year. After a 32 months median follow-up, second primary tumors had developed in 4% of the treatment group vs. 24% in the control group. There was no effect of 13CRA on the rate of recurrence or metastasis (2). A more recent analysis revealed at the 55 month follow-up that the rate of second primaries was 7 and 33% in the treatment and control arms, respectively. To confirm these finding in a larger group of patients, another study is under way to compare the effect of low-dose 13CRA to placebo on the incidence of second primary cancers in about 1200 patients with stage I and II head and neck cancer after surgery or radiotherapy. In another trial, etretinate (50 mg/day for the first month and 25 mg/day subsequently for a total of 24 months) was compared to placebo in 316 patients who had been treated with surgery or radiation therapy for an early-stage head and neck squamous cell carcinoma and followed for 5 years. There was no difference in survival, disease-free survival, and the incidence of second cancers between the two groups. Thus, etretinate was ineffective in preventing second primary tumors in the oral cavityand oropharynx (36). Non-small cell lung cancer. Vitamin A was used in a trial with 307 lung cancer patients after resection of stage I non-small cell lung cancer. The patients were randomized to either a retinyl palmitate group (300,000 lU/day) or an observation group. After 1 year, 29 patients in the control group developed second primary tumors compared to only 18 in the treatment group. When the smoking status was taken into account, it was found that after a median follow-up of 46 months, 25 tumors developed in the control group compared to only 13 in the retinyl palmitate group (37). Another clinical trial in lung cancer chemoprevention is currently being conducted with patients who had been treated for an early-stage lung cancer, with a target accrual of 1000 patients to be treated with 13CRA (30 mg/day) vs. placebo for 3 years. Ovarian cancer. An incidental finding made during breast cancer prevention trial with 4HPR was that women developed ovarian cancer, all of whom were in placebo group (6). These findings suggest that 4HPR prevent the development of ovarian cancer. the six the can Bladder cancer. A trial of 13CRA (initially administered at 0.5 mgkg-’day’, and then increased to 1 mg.kg’day-’), in the prevention of recurrent early-stage bladder cancer in 20 eligible patients showed severe toxicity that resulted in 8 patients dropping out of the study before 3 months and 4 before 6 months. Most of the patients had a recurrence within 1 year. The study was terminated due to toxicity and lack of positive results (38). Seventy nine patients with superficial papillary bladder tumors stages T-a and T-1 entered a prospective randomized, double-blind trial of etretinate (25 mg/day) vs. placebo. The time to first recurrence was the same in both groups; however, the mean interval to subsequent recurrence was increased from 12.7 months in the placebo group to 20.3 months in the treatment group. Thus, the number of annual transurethral resections in the treatment group decreased from 2.1 to 0.95, whereas in the control group it decreased from 1.7 to 1.3 only (39). Ongoing trials use 4HPR in patients previously treated with BCG for superficial bladder cancer to assess regression of histologic lesions. Side effects of retinoids and strategies to overcome them. Because the effects of most retinoids used in clinical trials are reversible, patients should be treated for prolonged periods of time. However, some of the currently tested retinoids (e.g., 13CRA) exhibit side effects (dry skin, cheilitis, conjunctivitis, and hypertriglyceridemia) that limit their use to short-term periods because they are unacceptable to patients. Another major concern for women is the teratogenicity of many retinoids. Some strategies to overcome these problem include a search for retinoids with low or, ideally, no side effects. In fact, one of the synthetic retinoids, 4HPR, has minimal side effects as determined from its prolonged use in more than 1300 female patients in a study to prevent second primary breast cancer in contralateral breast of women who had undegone surgery to remove a first breast cancer (32). Another approach is to initiate the prevention trial with a higher dose of a retinoid in an induction phase and after a few months reduce the dose to one that has less side effects for a maintenance phase (2, 4). Yet another approach is to use combinations of different retinoids with distinct nuclear receptor selectivity to achive synergistic activity at lower doses or combinations of retinoids and tamoxifen, vitamin D3, oltipraz, or interferon-a. MECHANISMS OF THE CHEMOPREVENTIVE EFFECTS OF RETINOIDS Cellular aspects Most of the evidence indicates that retinoids act at the stage of tumor promotion rather than initiation. The promotion stage involves expansion of the population of initiated cells to form a preneoplastic lesion and a conversion of the preneoplastic lesion into a malignant one. These processes are associated with dysregulation of cell proliferation and aberrant differentiation, as well as loss of ability or decreased tendency to undergo apoptosis. Retinoids have been reported to exert various effects on cells that could inhibit promotion (10). For example, retinoids can inhibit cell proliferation, modulate cell differentiation, and enhance apoptosis (10, 40). In addition, reti- m www.fasebj.org by Kaohsiung Medical University Library (163.15.154.53) on October 01, 2018. The FASEB Journal Vol. ${article.issue.getVolume()}, No. ${article.issue.getIssueNumber() noids can prevent the conversion of a carcinoma in situ into a locally invasive malignancy by suppressing the invasion and motility of the premalignant cells as well as by inhibiting angiogenesis. Molecular aspects Many of the effects of retinoids result from modulation of expression. Nuclear retinoid receptors, ligand-activated transcription enhancing factors that are members of the steroid receptor superfamily, play a major role in mediating the effects of retinoids on gene expression and consequently on the growth and differentiation of both normal and tumor cells (3). Two types of nuclear retinoid receptors, RA receptors (RARs) and retinoid X receptors (RXRs), have been identified. These receptors exhibit distinct ligand binding properties; the RARs bind ATRA and 9CRA, whereas the RXRs bind 9CRA selectively. The RXRs and RARs form heterodimers that bind to specific DNA sequences, called RA response elements, and enhance the transcription of retinoid-responsive genes. Changes in the expression of specific receptors could abrogate the retinoid signaling pathway and result in enhanced carcinogenesis. Indeed, a selective decrease in RARs and an expansion of cells expressing RXRs were noted during skin carcinogenesis (41). A single application of TPA to the skin decreased the expression of all of the RARs within 3.5 h concurrently with a decrease in RA binding to RARs and an increase in the expression of c-fos, c-jun, and ornithine decarboxylase (42). Thus, the down-regulation of the receptors by TPA may be an essential component of the mechanism of skin tumor promotion and may contribute to skin tumor progression. In comparison with normal epidermis, RARa and RARy were decreased in 94% of the SCCs. RXRa, RXR, and RXRy were decreased in 88%, 70, and 82% of SCCs, respectively. These results indicate that the decreased expression of retinoid receptors may be associated with development and/or progression of squamnous cell carcinornas (43). The expression of RAR is suppressed selectively at early stages of carcinogenesis in the oral cavity and bronchial epithelium. About 50 to 60% of oral premalignant lesions in leukoplakia patients and dysplastic lesions adjacenttohead and neck squamous cell carcinomas failed to express RAR mRNA (44). Treatment of leukoplakia patients with 13CRA caused a marked increase in the proportion of specimens expressing RAR3 (45) and similar results were obtained with bronchial mucosa of 13CRA-treated heavy smokers (X.-C. Xu and R. Lotan, unpublished data). Thus, RAR can serve as an intermediate biomarker because its level decreases during the carcinogenic process, it is up-regulated by the chemopreventive agent (retinoid), and this up-regulation is associated with clinical response. The decrease in RAR in early premalignant lesions may enhance the development of malignancies. Another activity of nuclear retinoid receptors is to antagonize the activity of other transcription factors without gene their binding to DNA. For example, retinoid receptors can, in the presence of ATRA or other ligands, antagonize the action of activator protein-i (AP-1), which is activated by TPA and regulates various genes involved in cell proliferation, differentiation, and invasion (e.g., ornithine decarboxylase, collagenases, stromelysin) (46, 47). Retinoids can also induce the expression of cytokines like transforming growth factor 3 and suppress the expression of transforming growth factor a, and thereby suppress carcinogenesis. CONCLUSIONS Retinoids have been found to suppress carcinogenesis in a variety of animal models and in a few clinical trials with individuals at high risk for developing cancer. Their use in future long-term prevention trials and their eventual application in chemoprevention regimens will require strategies to decrease side effects of existing retinoids or the identification of retinoids with few or no side effects. REFERENCES 1. 2. 3. 4. 5. 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